Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2006/09?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2020-10-22T15:34:11-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2006/09/29/E6-16028.html Notice - 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 Tools 2006-09-29T00:00:00-07:00 2006-09-29T00:00:00-07:00 E6-16028 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-29/pdf/E6-16028.pdf https://regulations.justia.com/regulations/fedreg/2006/09/29/E6-15986.html Notice - 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 Plan 2006-09-29T00:00:00-07:00 2006-09-29T00:00:00-07:00 E6-15986 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-29/pdf/E6-15986.pdf https://regulations.justia.com/regulations/fedreg/2006/09/29/E6-15985.html Notice - 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 Trades 2006-09-29T00:00:00-07:00 2006-09-29T00:00:00-07:00 E6-15985 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-29/pdf/E6-15985.pdf https://regulations.justia.com/regulations/fedreg/2006/09/29/E6-15984.html Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of a Proposed Rule Change Relating to the Definition of a Margin Member 2006-09-29T00:00:00-07:00 2006-09-29T00:00:00-07:00 E6-15984 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-29/pdf/E6-15984.pdf https://regulations.justia.com/regulations/fedreg/2006/09/29/06-8397.html Notice - 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 MARKETSM 2006-09-29T00:00:00-07:00 2006-09-29T00:00:00-07:00 06-8397 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-29/pdf/06-8397.pdf https://regulations.justia.com/regulations/fedreg/2006/09/29/06-8396.html Notice - 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 Trading 2006-09-29T00:00:00-07:00 2006-09-29T00:00:00-07:00 06-8396 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-29/pdf/06-8396.pdf https://regulations.justia.com/regulations/fedreg/2006/09/28/E6-15926.html Notice - 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 Cap 2006-09-28T00:00:00-07:00 2006-09-28T00:00:00-07:00 E6-15926 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-28/pdf/E6-15926.pdf https://regulations.justia.com/regulations/fedreg/2006/09/28/E6-15925.html Notice - 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 Traders 2006-09-28T00:00:00-07:00 2006-09-28T00:00:00-07:00 E6-15925 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-28/pdf/E6-15925.pdf https://regulations.justia.com/regulations/fedreg/2006/09/28/E6-15897.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To Eliminate Registration of Foreign Associates Under Nasdaq Membership Rules 2006-09-28T00:00:00-07:00 2006-09-28T00:00:00-07:00 E6-15897 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-28/pdf/E6-15897.pdf https://regulations.justia.com/regulations/fedreg/2006/09/28/06-8365.html Notice - In the Matter of China Energy Savings Technology, Inc.; Order of Suspension of Trading 2006-09-28T00:00:00-07:00 2006-09-28T00:00:00-07:00 06-8365 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-28/pdf/06-8365.pdf https://regulations.justia.com/regulations/fedreg/2006/09/28/06-8355.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating To Exchange Rule 104.10 (“Dealings by Specialists”) 2006-09-28T00:00:00-07:00 2006-09-28T00:00:00-07:00 06-8355 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-28/pdf/06-8355.pdf https://regulations.justia.com/regulations/fedreg/2006/09/27/E6-15799.html Notice - 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 Securities 2006-09-27T00:00:00-07:00 2006-09-27T00:00:00-07:00 E6-15799 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-27/pdf/E6-15799.pdf https://regulations.justia.com/regulations/fedreg/2006/09/27/E6-15794.html Notice - 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 Program 2006-09-27T00:00:00-07:00 2006-09-27T00:00:00-07:00 E6-15794 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-27/pdf/E6-15794.pdf https://regulations.justia.com/regulations/fedreg/2006/09/27/E6-15793.html Notice - 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 Rule 2006-09-27T00:00:00-07:00 2006-09-27T00:00:00-07:00 E6-15793 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-27/pdf/E6-15793.pdf https://regulations.justia.com/regulations/fedreg/2006/09/27/E6-15792.html Notice - 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 Exchange 2006-09-27T00:00:00-07:00 2006-09-27T00:00:00-07:00 E6-15792 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-27/pdf/E6-15792.pdf https://regulations.justia.com/regulations/fedreg/2006/09/26/E6-15709.html Notice - Quaker Investment Trust and Quaker Funds, Inc.; Notice of Application 2006-09-26T00:00:00-07:00 2006-09-26T00:00:00-07:00 E6-15709 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/E6-15709.pdf https://regulations.justia.com/regulations/fedreg/2006/09/26/C6-7661.html Rule - Alaska Native Veteran Allotments 2006-09-26T00:00:00-07:00 2006-09-26T00:00:00-07:00 C6-7661 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/C6-7661.pdf https://regulations.justia.com/regulations/fedreg/2006/09/26/C6-6968.html Rule - Executive Compensation and Related Person Disclosure 2006-09-26T00:00:00-07:00 2006-09-26T00:00:00-07:00 C6-6968 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/C6-6968.pdf https://regulations.justia.com/regulations/fedreg/2006/09/26/06-8244.html Notice - 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 Order 2006-09-26T00:00:00-07:00 2006-09-26T00:00:00-07:00 06-8244 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/06-8244.pdf https://regulations.justia.com/regulations/fedreg/2006/09/26/06-8239.html Notice - 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 Requests 2006-09-26T00:00:00-07:00 2006-09-26T00:00:00-07:00 06-8239 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/06-8239.pdf https://regulations.justia.com/regulations/fedreg/2006/09/26/06-8238.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Adopt New NASD Rule 5150 Relating to Trade-Throughs 2006-09-26T00:00:00-07:00 2006-09-26T00:00:00-07:00 06-8238 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/06-8238.pdf https://regulations.justia.com/regulations/fedreg/2006/09/26/06-8237.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reduced Discounted Clearing Fees 2006-09-26T00:00:00-07:00 2006-09-26T00:00:00-07:00 06-8237 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/06-8237.pdf https://regulations.justia.com/regulations/fedreg/2006/09/26/06-8236.html Notice - 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 Privileges 2006-09-26T00:00:00-07:00 2006-09-26T00:00:00-07:00 06-8236 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/06-8236.pdf https://regulations.justia.com/regulations/fedreg/2006/09/25/06-8143.html Notice - 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 Exchange 2006-09-25T00:00:00-07:00 2006-09-25T00:00:00-07:00 06-8143 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-25/pdf/06-8143.pdf https://regulations.justia.com/regulations/fedreg/2006/09/25/06-8142.html Notice - 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 Facility 2006-09-25T00:00:00-07:00 2006-09-25T00:00:00-07:00 06-8142 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-25/pdf/06-8142.pdf https://regulations.justia.com/regulations/fedreg/2006/09/25/06-8141.html Notice - 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 Documents 2006-09-25T00:00:00-07:00 2006-09-25T00:00:00-07:00 06-8141 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-25/pdf/06-8141.pdf https://regulations.justia.com/regulations/fedreg/2006/09/25/06-8140.html Notice - Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC; Notice of Application 2006-09-25T00:00:00-07:00 2006-09-25T00:00:00-07:00 06-8140 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-25/pdf/06-8140.pdf https://regulations.justia.com/regulations/fedreg/2006/09/25/06-8137.html Notice - Submission for OMB Review; Comment Request 2006-09-25T00:00:00-07:00 2006-09-25T00:00:00-07:00 06-8137 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-25/pdf/06-8137.pdf https://regulations.justia.com/regulations/fedreg/2006/09/25/06-8136.html Notice - Submission for OMB Review; Comment Request 2006-09-25T00:00:00-07:00 2006-09-25T00:00:00-07:00 06-8136 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-25/pdf/06-8136.pdf https://regulations.justia.com/regulations/fedreg/2006/09/25/06-8135.html Notice - Submissions for OMB Review; Comment Request 2006-09-25T00:00:00-07:00 2006-09-25T00:00:00-07:00 06-8135 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-25/pdf/06-8135.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8043.html Notice - 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 Securities 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-8043 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8043.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8040.html Notice - 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 Electronically 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-8040 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8040.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8038.html Notice - 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 Program 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-8038 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8038.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8037.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Marketing Fee Program 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-8037 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8037.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8036.html Notice - 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 Exchange 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-8036 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8036.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8003.html Notice - Self-Regulatory Organization; OneChicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Block Trades 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-8003 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8003.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8002.html Notice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Listing Standards of Security Futures Products 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-8002 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8002.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8001.html Notice - 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 Hearings 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-8001 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8001.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8000.html Notice - Proposed Collection; Comment Request 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-8000 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8000.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-7999.html Notice - Submission for OMB Review; Comment Request 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-7999 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-7999.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-7998.html Notice - Claymore Securities, Inc. and Claymore Securities Defined Portfolios, Notice of Application 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-7998 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-7998.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-7997.html Notice - Submission for OMB Review; Comment Request 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-7997 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-7997.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-7996.html Notice - Submission for OMB Review 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-7996 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-7996.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-7995.html Notice - Submission for OMB Review; Comment Request 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-7995 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-7995.pdf https://regulations.justia.com/regulations/fedreg/2006/09/22/06-7994.html Notice - Proposed Collections; Comment Request 2006-09-22T00:00:00-07:00 2006-09-22T00:00:00-07:00 06-7994 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-7994.pdf https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7897.html Notice - State Farm Mutual Fund Trust, et al.; Notice of Application September 15, 2006. 2006-09-21T00:00:00-07:00 2006-09-21T00:00:00-07:00 06-7897 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7897.pdf https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7896.html Notice - 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 Funds 2006-09-21T00:00:00-07:00 2006-09-21T00:00:00-07:00 06-7896 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7896.pdf https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7845.html Notice - 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 Securities 2006-09-21T00:00:00-07:00 2006-09-21T00:00:00-07:00 06-7845 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7845.pdf https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7844.html Notice - 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 Ratio 2006-09-21T00:00:00-07:00 2006-09-21T00:00:00-07:00 06-7844 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7844.pdf https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7843.html Notice - 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-DPMs 2006-09-21T00:00:00-07:00 2006-09-21T00:00:00-07:00 06-7843 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7843.pdf https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7842.html Notice - 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 Charges 2006-09-21T00:00:00-07:00 2006-09-21T00:00:00-07:00 06-7842 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7842.pdf https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7841.html Notice - 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 Fund 2006-09-21T00:00:00-07:00 2006-09-21T00:00:00-07:00 06-7841 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7841.pdf https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7840.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 777 Regarding Depository Eligibility 2006-09-21T00:00:00-07:00 2006-09-21T00:00:00-07:00 06-7840 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7840.pdf https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7839.html Notice - 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 Service 2006-09-21T00:00:00-07:00 2006-09-21T00:00:00-07:00 06-7839 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7839.pdf https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7838.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Providing Financial Reports to Participants 2006-09-21T00:00:00-07:00 2006-09-21T00:00:00-07:00 06-7838 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7838.pdf https://regulations.justia.com/regulations/fedreg/2006/09/20/E6-15588.html Notice - 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 Procedures 2006-09-20T00:00:00-07:00 2006-09-20T00:00:00-07:00 E6-15588 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-20/pdf/E6-15588.pdf https://regulations.justia.com/regulations/fedreg/2006/09/20/E6-15587.html Notice - 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 Securities 2006-09-20T00:00:00-07:00 2006-09-20T00:00:00-07:00 E6-15587 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-20/pdf/E6-15587.pdf https://regulations.justia.com/regulations/fedreg/2006/09/20/E6-15586.html Notice - Proposed Collection; Comment Request 2006-09-20T00:00:00-07:00 2006-09-20T00:00:00-07:00 E6-15586 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-20/pdf/E6-15586.pdf https://regulations.justia.com/regulations/fedreg/2006/09/20/E6-15585.html Notice - Proposed Collection; Comment Request 2006-09-20T00:00:00-07:00 2006-09-20T00:00:00-07:00 E6-15585 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-20/pdf/E6-15585.pdf https://regulations.justia.com/regulations/fedreg/2006/09/20/E6-15572.html Notice - 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) 2006-09-20T00:00:00-07:00 2006-09-20T00:00:00-07:00 E6-15572 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-20/pdf/E6-15572.pdf https://regulations.justia.com/regulations/fedreg/2006/09/19/E6-15515.html Notice - 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. 2006-09-19T00:00:00-07:00 2006-09-19T00:00:00-07:00 E6-15515 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-19/pdf/E6-15515.pdf https://regulations.justia.com/regulations/fedreg/2006/09/19/E6-15513.html Notice - Marshall Funds, Inc. and M&I Investment Management Corp.; Notice of Application 2006-09-19T00:00:00-07:00 2006-09-19T00:00:00-07:00 E6-15513 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-19/pdf/E6-15513.pdf https://regulations.justia.com/regulations/fedreg/2006/09/19/E6-15499.html Notice - 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) 2006-09-19T00:00:00-07:00 2006-09-19T00:00:00-07:00 E6-15499 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-19/pdf/E6-15499.pdf https://regulations.justia.com/regulations/fedreg/2006/09/19/E6-15498.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Quoting Obligations 2006-09-19T00:00:00-07:00 2006-09-19T00:00:00-07:00 E6-15498 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-19/pdf/E6-15498.pdf https://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15459.html Notice - Proposed Collection; Comment Request 2006-09-18T00:00:00-07:00 2006-09-18T00:00:00-07:00 E6-15459 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15459.pdf https://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15458.html Notice - Submission for OMB Review; Comment Request 2006-09-18T00:00:00-07:00 2006-09-18T00:00:00-07:00 E6-15458 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15458.pdf https://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15457.html Rule - Staff Accounting Bulletin No. 108 2006-09-18T00:00:00-07:00 2006-09-18T00:00:00-07:00 E6-15457 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15457.pdf https://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15453.html Notice - Submissions for OMB Review; Comment Request 2006-09-18T00:00:00-07:00 2006-09-18T00:00:00-07:00 E6-15453 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15453.pdf https://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15449.html Notice - Submission for OMB Review; Comment Request 2006-09-18T00:00:00-07:00 2006-09-18T00:00:00-07:00 E6-15449 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15449.pdf https://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15446.html Notice - 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 Member 2006-09-18T00:00:00-07:00 2006-09-18T00:00:00-07:00 E6-15446 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15446.pdf https://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15441.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain Transitional Corporate Governance Rules 2006-09-18T00:00:00-07:00 2006-09-18T00:00:00-07:00 E6-15441 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15441.pdf https://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15405.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Fees and Charges 2006-09-18T00:00:00-07:00 2006-09-18T00:00:00-07:00 E6-15405 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15405.pdf https://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15404.html Notice - 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 Charge 2006-09-18T00:00:00-07:00 2006-09-18T00:00:00-07:00 E6-15404 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15404.pdf https://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15402.html Notice - 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 Program 2006-09-18T00:00:00-07:00 2006-09-18T00:00:00-07:00 E6-15402 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15402.pdf https://regulations.justia.com/regulations/fedreg/2006/09/15/E6-15322.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2006-09-15T00:00:00-07:00 2006-09-15T00:00:00-07:00 E6-15322 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/E6-15322.pdf https://regulations.justia.com/regulations/fedreg/2006/09/15/E6-15321.html Notice - 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 Securities 2006-09-15T00:00:00-07:00 2006-09-15T00:00:00-07:00 E6-15321 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/E6-15321.pdf https://regulations.justia.com/regulations/fedreg/2006/09/15/E6-15320.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of a Directed Order 2006-09-15T00:00:00-07:00 2006-09-15T00:00:00-07:00 E6-15320 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/E6-15320.pdf https://regulations.justia.com/regulations/fedreg/2006/09/15/E6-15319.html Notice - Proposed Collections; Comment Request 2006-09-15T00:00:00-07:00 2006-09-15T00:00:00-07:00 E6-15319 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/E6-15319.pdf https://regulations.justia.com/regulations/fedreg/2006/09/15/E6-15299.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Fees and Charges 2006-09-15T00:00:00-07:00 2006-09-15T00:00:00-07:00 E6-15299 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/E6-15299.pdf https://regulations.justia.com/regulations/fedreg/2006/09/15/E6-15298.html Notice - IDS Life Insurance Company, et al., Notice of Application 2006-09-15T00:00:00-07:00 2006-09-15T00:00:00-07:00 E6-15298 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/E6-15298.pdf https://regulations.justia.com/regulations/fedreg/2006/09/15/06-7728.html Notice - Sunshine Act Meetings 2006-09-15T00:00:00-07:00 2006-09-15T00:00:00-07:00 06-7728 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/06-7728.pdf https://regulations.justia.com/regulations/fedreg/2006/09/15/06-7725.html Notice - In the Matter of Indigenous Global Development Corporation; Order of Suspension of Trading 2006-09-15T00:00:00-07:00 2006-09-15T00:00:00-07:00 06-7725 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/06-7725.pdf https://regulations.justia.com/regulations/fedreg/2006/09/14/E6-15273.html Notice - 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) 2006-09-14T00:00:00-07:00 2006-09-14T00:00:00-07:00 E6-15273 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-14/pdf/E6-15273.pdf https://regulations.justia.com/regulations/fedreg/2006/09/14/E6-15268.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Market Maker Orders 2006-09-14T00:00:00-07:00 2006-09-14T00:00:00-07:00 E6-15268 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-14/pdf/E6-15268.pdf https://regulations.justia.com/regulations/fedreg/2006/09/14/E6-15241.html Notice - 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 Funds 2006-09-14T00:00:00-07:00 2006-09-14T00:00:00-07:00 E6-15241 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-14/pdf/E6-15241.pdf https://regulations.justia.com/regulations/fedreg/2006/09/14/E6-15230.html Notice - 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” Transactions 2006-09-14T00:00:00-07:00 2006-09-14T00:00:00-07:00 E6-15230 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-14/pdf/E6-15230.pdf https://regulations.justia.com/regulations/fedreg/2006/09/14/E6-15229.html Notice - 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 System 2006-09-14T00:00:00-07:00 2006-09-14T00:00:00-07:00 E6-15229 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-14/pdf/E6-15229.pdf https://regulations.justia.com/regulations/fedreg/2006/09/14/06-7641.html Notice - National Life Insurance Company, et al. 2006-09-14T00:00:00-07:00 2006-09-14T00:00:00-07:00 06-7641 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-14/pdf/06-7641.pdf https://regulations.justia.com/regulations/fedreg/2006/09/13/E6-15191.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the LENS Service 2006-09-13T00:00:00-07:00 2006-09-13T00:00:00-07:00 E6-15191 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-13/pdf/E6-15191.pdf https://regulations.justia.com/regulations/fedreg/2006/09/13/E6-15189.html Notice - 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 Market 2006-09-13T00:00:00-07:00 2006-09-13T00:00:00-07:00 E6-15189 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-13/pdf/E6-15189.pdf https://regulations.justia.com/regulations/fedreg/2006/09/13/E6-15187.html Notice - 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 Industry 2006-09-13T00:00:00-07:00 2006-09-13T00:00:00-07:00 E6-15187 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-13/pdf/E6-15187.pdf https://regulations.justia.com/regulations/fedreg/2006/09/13/E6-15186.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change Relating to Rule 2340 Concerning Customer Account Statements 2006-09-13T00:00:00-07:00 2006-09-13T00:00:00-07:00 E6-15186 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-13/pdf/E6-15186.pdf https://regulations.justia.com/regulations/fedreg/2006/09/13/06-7654.html Notice - In the Matter of Southwestern Medical Solutions, Inc.; Order of Suspension of Trading 2006-09-13T00:00:00-07:00 2006-09-13T00:00:00-07:00 06-7654 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-13/pdf/06-7654.pdf https://regulations.justia.com/regulations/fedreg/2006/09/12/E6-15054.html Notice - 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, Inc 2006-09-12T00:00:00-07:00 2006-09-12T00:00:00-07:00 E6-15054 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-12/pdf/E6-15054.pdf https://regulations.justia.com/regulations/fedreg/2006/09/12/E6-15051.html Notice - Self-Regulatory Organizations; the International Securities Exchange, Inc., Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Short Sales 2006-09-12T00:00:00-07:00 2006-09-12T00:00:00-07:00 E6-15051 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-12/pdf/E6-15051.pdf https://regulations.justia.com/regulations/fedreg/2006/09/12/06-7607.html Notice - Sunshine Act Meeting 2006-09-12T00:00:00-07:00 2006-09-12T00:00:00-07:00 06-7607 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-12/pdf/06-7607.pdf https://regulations.justia.com/regulations/fedreg/2006/09/11/Z6-14304.html Notice - 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 Fund 2006-09-11T00:00:00-07:00 2006-09-11T00:00:00-07:00 Z6-14304 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-11/pdf/Z6-14304.pdf https://regulations.justia.com/regulations/fedreg/2006/09/11/E6-14948.html Notice - Submission for OMB Review; Comment Request 2006-09-11T00:00:00-07:00 2006-09-11T00:00:00-07:00 E6-14948 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-11/pdf/E6-14948.pdf https://regulations.justia.com/regulations/fedreg/2006/09/11/E6-14947.html Notice - 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 Public 2006-09-11T00:00:00-07:00 2006-09-11T00:00:00-07:00 E6-14947 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-11/pdf/E6-14947.pdf https://regulations.justia.com/regulations/fedreg/2006/09/11/06-7269.html Proposed Rule - Electronic Filing of Transfer Agent Forms 2006-09-11T00:00:00-07:00 2006-09-11T00:00:00-07:00 06-7269 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-09-11/pdf/06-7269.pdf https://regulations.justia.com/regulations/fedreg/2006/09/08/E6-14879.html Notice - Delaware Investments Dividend and Income Fund, Inc., et al., Notice of Intention To Rescind an Order 2006-09-08T00:00:00-07:00 2006-09-08T00:00:00-07:00 E6-14879 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/E6-14879.pdf https://regulations.justia.com/regulations/fedreg/2006/09/08/E6-14878.html Notice - 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 Exchange 2006-09-08T00:00:00-07:00 2006-09-08T00:00:00-07:00 E6-14878 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/E6-14878.pdf https://regulations.justia.com/regulations/fedreg/2006/09/08/E6-14877.html Notice - 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 Program 2006-09-08T00:00:00-07:00 2006-09-08T00:00:00-07:00 E6-14877 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/E6-14877.pdf https://regulations.justia.com/regulations/fedreg/2006/09/08/E6-14876.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Declaration of Effectiveness of the Philadelphia Stock Exchange Fingerprinting Plan 2006-09-08T00:00:00-07:00 2006-09-08T00:00:00-07:00 E6-14876 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/E6-14876.pdf https://regulations.justia.com/regulations/fedreg/2006/09/08/E6-14857.html Notice - 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 Liquidation 2006-09-08T00:00:00-07:00 2006-09-08T00:00:00-07:00 E6-14857 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/E6-14857.pdf https://regulations.justia.com/regulations/fedreg/2006/09/08/E6-14855.html Notice - 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 Algorithm 2006-09-08T00:00:00-07:00 2006-09-08T00:00:00-07:00 E6-14855 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/E6-14855.pdf https://regulations.justia.com/regulations/fedreg/2006/09/08/E6-14854.html Notice - Submission for OMB Review; Comment Request 2006-09-08T00:00:00-07:00 2006-09-08T00:00:00-07:00 E6-14854 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/E6-14854.pdf https://regulations.justia.com/regulations/fedreg/2006/09/08/06-7405.html Proposed Rule - Executive Compensation Disclosure 2006-09-08T00:00:00-07:00 2006-09-08T00:00:00-07:00 06-7405 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/06-7405.pdf https://regulations.justia.com/regulations/fedreg/2006/09/08/06-6968.html Rule - Executive Compensation and Related Person Disclosure 2006-09-08T00:00:00-07:00 2006-09-08T00:00:00-07:00 06-6968 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/06-6968.pdf https://regulations.justia.com/regulations/fedreg/2006/09/07/E6-14808.html Notice - 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 Changes 2006-09-07T00:00:00-07:00 2006-09-07T00:00:00-07:00 E6-14808 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-07/pdf/E6-14808.pdf https://regulations.justia.com/regulations/fedreg/2006/09/07/E6-14806.html Notice - Order Granting an Exemption for Qualified Contingent Trades From Rule 611(a) of Regulation NMS Under the Securities Exchange Act of 1934 2006-09-07T00:00:00-07:00 2006-09-07T00:00:00-07:00 E6-14806 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-07/pdf/E6-14806.pdf https://regulations.justia.com/regulations/fedreg/2006/09/07/E6-14805.html Notice - 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 Program 2006-09-07T00:00:00-07:00 2006-09-07T00:00:00-07:00 E6-14805 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-07/pdf/E6-14805.pdf https://regulations.justia.com/regulations/fedreg/2006/09/07/E6-14794.html Notice - 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 Stock 2006-09-07T00:00:00-07:00 2006-09-07T00:00:00-07:00 E6-14794 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-07/pdf/E6-14794.pdf https://regulations.justia.com/regulations/fedreg/2006/09/07/E6-14793.html Notice - 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 Limits 2006-09-07T00:00:00-07:00 2006-09-07T00:00:00-07:00 E6-14793 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-07/pdf/E6-14793.pdf https://regulations.justia.com/regulations/fedreg/2006/09/07/E6-14792.html Notice - 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 Traded 2006-09-07T00:00:00-07:00 2006-09-07T00:00:00-07:00 E6-14792 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-07/pdf/E6-14792.pdf https://regulations.justia.com/regulations/fedreg/2006/09/07/E6-14784.html Notice - 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. 2006-09-07T00:00:00-07:00 2006-09-07T00:00:00-07:00 E6-14784 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-07/pdf/E6-14784.pdf https://regulations.justia.com/regulations/fedreg/2006/09/06/E6-14699.html Notice - Principal Life Insurance Company; et al., Notice of Application 2006-09-06T00:00:00-07:00 2006-09-06T00:00:00-07:00 E6-14699 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-06/pdf/E6-14699.pdf https://regulations.justia.com/regulations/fedreg/2006/09/06/E6-14698.html Notice - 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 Strategies 2006-09-06T00:00:00-07:00 2006-09-06T00:00:00-07:00 E6-14698 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-06/pdf/E6-14698.pdf https://regulations.justia.com/regulations/fedreg/2006/09/06/E6-14697.html Notice - Submission for OMB Review; Comment Request 2006-09-06T00:00:00-07:00 2006-09-06T00:00:00-07:00 E6-14697 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-06/pdf/E6-14697.pdf https://regulations.justia.com/regulations/fedreg/2006/09/06/E6-14696.html Notice - AdvisorOne Funds and Dunham & Associates Investment Counsel, Inc.; Notice of Application 2006-09-06T00:00:00-07:00 2006-09-06T00:00:00-07:00 E6-14696 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-06/pdf/E6-14696.pdf https://regulations.justia.com/regulations/fedreg/2006/09/05/E6-14651.html Notice - 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 Requirements 2006-09-05T00:00:00-07:00 2006-09-05T00:00:00-07:00 E6-14651 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-05/pdf/E6-14651.pdf https://regulations.justia.com/regulations/fedreg/2006/09/05/E6-14599.html Notice - 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 LLC 2006-09-05T00:00:00-07:00 2006-09-05T00:00:00-07:00 E6-14599 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-05/pdf/E6-14599.pdf https://regulations.justia.com/regulations/fedreg/2006/09/05/E6-14598.html Notice - 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 Facilities 2006-09-05T00:00:00-07:00 2006-09-05T00:00:00-07:00 E6-14598 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-05/pdf/E6-14598.pdf https://regulations.justia.com/regulations/fedreg/2006/09/05/E6-14597.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Regarding Market-Maker Appointments 2006-09-05T00:00:00-07:00 2006-09-05T00:00:00-07:00 E6-14597 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-05/pdf/E6-14597.pdf https://regulations.justia.com/regulations/fedreg/2006/09/05/E6-14596.html Notice - Proposed Collection; Comment Request 2006-09-05T00:00:00-07:00 2006-09-05T00:00:00-07:00 E6-14596 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-05/pdf/E6-14596.pdf https://regulations.justia.com/regulations/fedreg/2006/09/05/06-7442.html Notice - Sunshine Act Meeting 2006-09-05T00:00:00-07:00 2006-09-05T00:00:00-07:00 06-7442 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-05/pdf/06-7442.pdf https://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14564.html Notice - 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 System 2006-09-01T00:00:00-07:00 2006-09-01T00:00:00-07:00 E6-14564 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14564.pdf https://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14563.html Notice - 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 Organizations 2006-09-01T00:00:00-07:00 2006-09-01T00:00:00-07:00 E6-14563 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14563.pdf https://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14552.html Notice - 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 Agreements 2006-09-01T00:00:00-07:00 2006-09-01T00:00:00-07:00 E6-14552 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14552.pdf https://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14538.html Notice - Merrill Lynch Life Insurance Company, et al; Notice of Application 2006-09-01T00:00:00-07:00 2006-09-01T00:00:00-07:00 E6-14538 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14538.pdf https://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14531.html Notice - 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, LLC 2006-09-01T00:00:00-07:00 2006-09-01T00:00:00-07:00 E6-14531 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14531.pdf https://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14530.html Notice - 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 Plan 2006-09-01T00:00:00-07:00 2006-09-01T00:00:00-07:00 E6-14530 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14530.pdf https://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14529.html Notice - 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 Offer 2006-09-01T00:00:00-07:00 2006-09-01T00:00:00-07:00 E6-14529 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14529.pdf https://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14528.html Notice - 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 System 2006-09-01T00:00:00-07:00 2006-09-01T00:00:00-07:00 E6-14528 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14528.pdf