Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

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 2024-05-20T12:20:47-07:00 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