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

Results 1 - 50 of 134
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
Document Number: E6-16028
Type: Notice
Date: 2006-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/29/E6-16028.html
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
Document Number: E6-15986
Type: Notice
Date: 2006-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/29/E6-15986.html
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
Document Number: E6-15985
Type: Notice
Date: 2006-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/29/E6-15985.html
Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of a Proposed Rule Change Relating to the Definition of a Margin Member
Document Number: E6-15984
Type: Notice
Date: 2006-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/29/E6-15984.html
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
Document Number: 06-8397
Type: Notice
Date: 2006-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/29/06-8397.html
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
Document Number: 06-8396
Type: Notice
Date: 2006-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/29/06-8396.html
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
Document Number: E6-15926
Type: Notice
Date: 2006-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/28/E6-15926.html
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
Document Number: E6-15925
Type: Notice
Date: 2006-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/28/E6-15925.html
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
Document Number: E6-15897
Type: Notice
Date: 2006-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/28/E6-15897.html
In the Matter of China Energy Savings Technology, Inc.; Order of Suspension of Trading
Document Number: 06-8365
Type: Notice
Date: 2006-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/28/06-8365.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating To Exchange Rule 104.10 (“Dealings by Specialists”)
Document Number: 06-8355
Type: Notice
Date: 2006-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/28/06-8355.html
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
Document Number: E6-15799
Type: Notice
Date: 2006-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/27/E6-15799.html
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
Document Number: E6-15794
Type: Notice
Date: 2006-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/27/E6-15794.html
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
Document Number: E6-15793
Type: Notice
Date: 2006-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/27/E6-15793.html
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
Document Number: E6-15792
Type: Notice
Date: 2006-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/27/E6-15792.html
Quaker Investment Trust and Quaker Funds, Inc.; Notice of Application
Document Number: E6-15709
Type: Notice
Date: 2006-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/26/E6-15709.html
Alaska Native Veteran Allotments
Document Number: C6-7661
Type: Rule
Date: 2006-09-26
Agency: Department of the Interior, Internal Revenue Service, Department of Treasury, Securities and Exchange Commission, Agencies and Commissions, Bureau of Land Management, Department of the Treasury, Bureau of Reclamation, Land Management Bureau
https://regulations.justia.com/regulations/fedreg/2006/09/26/C6-7661.html
Executive Compensation and Related Person Disclosure
Document Number: C6-6968
Type: Rule
Date: 2006-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/26/C6-6968.html
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
Document Number: 06-8244
Type: Notice
Date: 2006-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/26/06-8244.html
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
Document Number: 06-8239
Type: Notice
Date: 2006-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/26/06-8239.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Adopt New NASD Rule 5150 Relating to Trade-Throughs
Document Number: 06-8238
Type: Notice
Date: 2006-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/26/06-8238.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reduced Discounted Clearing Fees
Document Number: 06-8237
Type: Notice
Date: 2006-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/26/06-8237.html
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
Document Number: 06-8236
Type: Notice
Date: 2006-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/26/06-8236.html
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
Document Number: 06-8143
Type: Notice
Date: 2006-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/25/06-8143.html
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
Document Number: 06-8142
Type: Notice
Date: 2006-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/25/06-8142.html
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
Document Number: 06-8141
Type: Notice
Date: 2006-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/25/06-8141.html
Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC; Notice of Application
Document Number: 06-8140
Type: Notice
Date: 2006-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/25/06-8140.html
Submission for OMB Review; Comment Request
Document Number: 06-8137
Type: Notice
Date: 2006-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/25/06-8137.html
Submission for OMB Review; Comment Request
Document Number: 06-8136
Type: Notice
Date: 2006-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/25/06-8136.html
Submissions for OMB Review; Comment Request
Document Number: 06-8135
Type: Notice
Date: 2006-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/25/06-8135.html
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
Document Number: 06-8043
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8043.html
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
Document Number: 06-8040
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8040.html
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
Document Number: 06-8038
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8038.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Marketing Fee Program
Document Number: 06-8037
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8037.html
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
Document Number: 06-8036
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8036.html
Self-Regulatory Organization; OneChicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Block Trades
Document Number: 06-8003
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commisison, Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8003.html
Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Listing Standards of Security Futures Products
Document Number: 06-8002
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commisison, Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8002.html
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
Document Number: 06-8001
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8001.html
Proposed Collection; Comment Request
Document Number: 06-8000
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-8000.html
Submission for OMB Review; Comment Request
Document Number: 06-7999
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-7999.html
Claymore Securities, Inc. and Claymore Securities Defined Portfolios, Notice of Application
Document Number: 06-7998
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-7998.html
Submission for OMB Review; Comment Request
Document Number: 06-7997
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-7997.html
Submission for OMB Review
Document Number: 06-7996
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-7996.html
Submission for OMB Review; Comment Request
Document Number: 06-7995
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-7995.html
Proposed Collections; Comment Request
Document Number: 06-7994
Type: Notice
Date: 2006-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/22/06-7994.html
State Farm Mutual Fund Trust, et al.; Notice of Application September 15, 2006.
Document Number: 06-7897
Type: Notice
Date: 2006-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7897.html
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
Document Number: 06-7896
Type: Notice
Date: 2006-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7896.html
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
Document Number: 06-7845
Type: Notice
Date: 2006-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7845.html
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
Document Number: 06-7844
Type: Notice
Date: 2006-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7844.html
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
Document Number: 06-7843
Type: Notice
Date: 2006-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/09/21/06-7843.html
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