Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2006/10?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-04T21:41:37-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2006/10/31/E6-18257.htmlProposed Rule - Definition of Eligible Portfolio Company Under the Investment Company Act of 19402006-10-31T00:00:00-08:002006-10-31T00:00:00-08:00E6-18257Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-31/pdf/E6-18257.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/31/E6-18256.htmlNotice - Tactical Allocation Services, LLC, et al.;2006-10-31T00:00:00-08:002006-10-31T00:00:00-08:00E6-18256Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-31/pdf/E6-18256.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/31/E6-18255.htmlRule - Definition of Eligible Portfolio Company Under the Investment Company Act of 19402006-10-31T00:00:00-08:002006-10-31T00:00:00-08:00E6-18255Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-31/pdf/E6-18255.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/31/E6-18254.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to NYSE Listed Company Manual Section 703.16 (Investment Company Units)2006-10-31T00:00:00-08:002006-10-31T00:00:00-08:00E6-18254Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-31/pdf/E6-18254.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/31/E6-18252.htmlNotice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance the Flexibility of Nasdaq's INET Facility Order Routing Process for Reactive Only DOT Orders That Currently Are Ultimately Directed to the New York Stock Exchange or the American Stock Exchange2006-10-31T00:00:00-08:002006-10-31T00:00:00-08:00E6-18252Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-31/pdf/E6-18252.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/31/E6-18250.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Amendments to Rule 2320(g) (Three Quote Rule) and Corresponding Recordkeeping Requirements Under Rule 3110(b)2006-10-31T00:00:00-08:002006-10-31T00:00:00-08:00E6-18250Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-31/pdf/E6-18250.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/31/E6-18234.htmlNotice - Privacy Act of 1974: Establishment of a New System of Records: Photographic Files (SEC-54)2006-10-31T00:00:00-08:002006-10-31T00:00:00-08:00E6-18234Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-31/pdf/E6-18234.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18143.htmlNotice - AXA Equitable Life Insurance Company, et al.; Notice of Application2006-10-30T00:00:00-08:002006-10-30T00:00:00-08:00E6-18143Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18143.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18142.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Quoting Obligations2006-10-30T00:00:00-08:002006-10-30T00:00:00-08:00E6-18142Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18142.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18141.htmlNotice - Submissions for OMB Review; Comment Request2006-10-30T00:00:00-08:002006-10-30T00:00:00-08:00E6-18141Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18141.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18088.htmlNotice - Integrated ARROs Fund I, et al.; Notice of Application2006-10-30T00:00:00-08:002006-10-30T00:00:00-08:00E6-18088Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18088.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18083.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Permit Routing From the Matching System to a Destination Selected by a Participant2006-10-30T00:00:00-08:002006-10-30T00:00:00-08:00E6-18083Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18083.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18082.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Appointment Costs of Certain Hybrid 2.0 Classes2006-10-30T00:00:00-08:002006-10-30T00:00:00-08:00E6-18082Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18082.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18081.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Certain of its Rules To Provide for the Listing and Trading of Options on the CBOE Russell 2000 Volatility Index sm2006-10-30T00:00:00-08:002006-10-30T00:00:00-08:00E6-18081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18081.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18080.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Correction of Erroneous Cross References2006-10-30T00:00:00-08:002006-10-30T00:00:00-08:00E6-18080Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18080.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18079.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Relating to Market Maker Orders2006-10-30T00:00:00-08:002006-10-30T00:00:00-08:00E6-18079Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18079.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/27/E6-17997.htmlNotice - Investment Technology Group, Inc.; Notice of Application2006-10-27T00:00:00-07:002006-10-27T00:00:00-07:00E6-17997Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-27/pdf/E6-17997.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/27/E6-17996.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Relating to the Exchange's Generic Listing Standards for Index-Linked Securities2006-10-27T00:00:00-07:002006-10-27T00:00:00-07:00E6-17996Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-27/pdf/E6-17996.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/27/E6-17995.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Amendments to the Exchange's Generic Listing Standards for Index-Linked Securities2006-10-27T00:00:00-07:002006-10-27T00:00:00-07:00E6-17995Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-27/pdf/E6-17995.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/27/E6-17994.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Minor Rule Violations in Connection With Trade Reporting2006-10-27T00:00:00-07:002006-10-27T00:00:00-07:00E6-17994Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-27/pdf/E6-17994.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/27/E6-17992.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Its Regulatory Oversight Committee2006-10-27T00:00:00-07:002006-10-27T00:00:00-07:00E6-17992Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-27/pdf/E6-17992.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/27/06-8963.htmlNotice - Sunshine Act Meeting2006-10-27T00:00:00-07:002006-10-27T00:00:00-07:0006-8963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-27/pdf/06-8963.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/26/E6-17989.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Vanguard Emerging Markets Stock Index Fund2006-10-26T00:00:00-07:002006-10-26T00:00:00-07:00E6-17989Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-26/pdf/E6-17989.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/26/E6-17929.htmlNotice - Proposed Collection; Comment Request2006-10-26T00:00:00-07:002006-10-26T00:00:00-07:00E6-17929Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-26/pdf/E6-17929.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/26/E6-17928.htmlNotice - Notice of Intention To Cancel Registrations of Certain Transfer Agents2006-10-26T00:00:00-07:002006-10-26T00:00:00-07:00E6-17928Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-26/pdf/E6-17928.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/26/E6-17927.htmlNotice - Submission for OMB Review; Comment Request2006-10-26T00:00:00-07:002006-10-26T00:00:00-07:00E6-17927Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-26/pdf/E6-17927.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/26/E6-17913.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Federal Reserve's National Settlement Service2006-10-26T00:00:00-07:002006-10-26T00:00:00-07:00E6-17913Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-26/pdf/E6-17913.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/26/06-8939.htmlNotice - In the Matter of Conversion Solutions Holdings Corp.; Order of Suspension of Trading2006-10-26T00:00:00-07:002006-10-26T00:00:00-07:0006-8939Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-26/pdf/06-8939.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/25/E6-17846.htmlNotice - 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; Correction2006-10-25T00:00:00-07:002006-10-25T00:00:00-07:00E6-17846Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-25/pdf/E6-17846.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/25/E6-17845.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Vanguard Emerging Markets Stock Index Fund2006-10-25T00:00:00-07:002006-10-25T00:00:00-07:00E6-17845Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-25/pdf/E6-17845.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/25/E6-17844.htmlNotice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete Firm-Element Continuing Education To Qualify To Engage in a Security Futures Business2006-10-25T00:00:00-07:002006-10-25T00:00:00-07:00E6-17844Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-25/pdf/E6-17844.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/25/E6-17837.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating To Providing Certain Reports to its Members2006-10-25T00:00:00-07:002006-10-25T00:00:00-07:00E6-17837Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-25/pdf/E6-17837.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/25/E6-17836.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Codification of Exchange Policy Regarding Specialist Commissions2006-10-25T00:00:00-07:002006-10-25T00:00:00-07:00E6-17836Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-25/pdf/E6-17836.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/25/E6-17833.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges2006-10-25T00:00:00-07:002006-10-25T00:00:00-07:00E6-17833Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-25/pdf/E6-17833.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/25/E6-17832.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 13 (Definitions of Orders)2006-10-25T00:00:00-07:002006-10-25T00:00:00-07:00E6-17832Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-25/pdf/E6-17832.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/24/E6-17745.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Exchange Rule 86 (Automated Bond System®)2006-10-24T00:00:00-07:002006-10-24T00:00:00-07:00E6-17745Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-24/pdf/E6-17745.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/24/E6-17744.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC and the National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to NYSE Rule 472 and NASD Rule 27112006-10-24T00:00:00-07:002006-10-24T00:00:00-07:00E6-17744Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-24/pdf/E6-17744.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/24/E6-17734.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Operations of Its Recently-Approved “Single Book” Execution System2006-10-24T00:00:00-07:002006-10-24T00:00:00-07:00E6-17734Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-24/pdf/E6-17734.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/24/E6-17733.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance the Brut Directed Cross Order2006-10-24T00:00:00-07:002006-10-24T00:00:00-07:00E6-17733Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-24/pdf/E6-17733.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/24/E6-17731.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating To Establishing New Reporting Processes To Support the Bilateral Comparison of Pool Details Associated With Specified Pool Trade Activity2006-10-24T00:00:00-07:002006-10-24T00:00:00-07:00E6-17731Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-24/pdf/E6-17731.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/23/Z6-11390.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a System Change to the Options Floor Broker Management System2006-10-23T00:00:00-07:002006-10-23T00:00:00-07:00Z6-11390Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/Z6-11390.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/23/E6-17674.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 13 (“Definitions of Orders “) To Clarify That an Immediate or Cancel Order Must Be Designated “Regulation NMS-compliant Immediate or Cancel” in Order To Be so Executed, and To Modify the Definition of an “At the Opening” or “At the Opening Only” Order To Ensure That It Complies With the Securities and Exchange Commission's Regulation NMS2006-10-23T00:00:00-07:002006-10-23T00:00:00-07:00E6-17674Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/E6-17674.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/23/E6-17673.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pilot To Put Into Operation Certain Rule Changes Pending Before the Securities and Exchange Commission to Coincide With the Exchange's Implementation of Phase 3 of the NYSE HYBRID MARKETSM2006-10-23T00:00:00-07:002006-10-23T00:00:00-07:00E6-17673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/E6-17673.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/23/E6-17668.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change to MSRB Rule G-14 RTRS Procedures Relating to “List Offering Price” and “Takedown” Transactions2006-10-23T00:00:00-07:002006-10-23T00:00:00-07:00E6-17668Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/E6-17668.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/23/E6-17619.htmlNotice - Pioneer America Income Trust, et al., Notice of Application2006-10-23T00:00:00-07:002006-10-23T00:00:00-07:00E6-17619Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/E6-17619.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/23/E6-17618.htmlNotice - Proposed Collection; Comment Request2006-10-23T00:00:00-07:002006-10-23T00:00:00-07:00E6-17618Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/E6-17618.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/23/C6-8667.htmlNotice - Notice of Availability of the Fort Bliss, Texas and New Mexico, Mission Master Plan Supplemental Programmatic Environmental Impact Statement2006-10-23T00:00:00-07:002006-10-23T00:00:00-07:00C6-8667Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/C6-8667.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/23/06-8861.htmlNotice - Sunshine Act Meeting2006-10-23T00:00:00-07:002006-10-23T00:00:00-07:0006-8861Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/06-8861.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/20/Z6-16921.htmlNotice - Evaluation of the Carcinogenicity of Ethylene Oxide2006-10-20T00:00:00-07:002006-10-20T00:00:00-07:00Z6-16921Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-20/pdf/Z6-16921.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/20/E6-17564.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Implement a Pilot Program To Quote and To Trade Certain Options in Pennies2006-10-20T00:00:00-07:002006-10-20T00:00:00-07:00E6-17564Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-20/pdf/E6-17564.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/20/E6-17563.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Classification of Arbitrators Pursuant To Rule 10308 of the NASD Code of Arbitration Procedure2006-10-20T00:00:00-07:002006-10-20T00:00:00-07:00E6-17563Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-20/pdf/E6-17563.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/20/E6-17562.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 4 and 5 Thereto Relating to Amendments to the Obvious Error Rules2006-10-20T00:00:00-07:002006-10-20T00:00:00-07:00E6-17562Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-20/pdf/E6-17562.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/20/E6-17539.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to NYSE Arca Data2006-10-20T00:00:00-07:002006-10-20T00:00:00-07:00E6-17539Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-20/pdf/E6-17539.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/20/E6-17537.htmlNotice - Proposed Collection; Comment Request2006-10-20T00:00:00-07:002006-10-20T00:00:00-07:00E6-17537Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-20/pdf/E6-17537.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/20/C6-8646.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change and Admendment No. 1 Relating to Customer Fees for Certain Complex Orders2006-10-20T00:00:00-07:002006-10-20T00:00:00-07:00C6-8646Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-20/pdf/C6-8646.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/19/E6-17441.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Modify NASDAQ Rules 3350 and 47552006-10-19T00:00:00-07:002006-10-19T00:00:00-07:00E6-17441Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-19/pdf/E6-17441.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/19/E6-17440.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Nasdaq Rule 4760 Relating to the Operation of the Nasdaq Crossing Network2006-10-19T00:00:00-07:002006-10-19T00:00:00-07:00E6-17440Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-19/pdf/E6-17440.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/19/E6-17397.htmlNotice - Submission for OMB Review; Comment Request2006-10-19T00:00:00-07:002006-10-19T00:00:00-07:00E6-17397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-19/pdf/E6-17397.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/19/E6-17396.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Generic Listing Standards for Series of Portfolio Depositary Receipts and Index Fund Shares Based On International or Global Indexes2006-10-19T00:00:00-07:002006-10-19T00:00:00-07:00E6-17396Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-19/pdf/E6-17396.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/19/E6-17394.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Addition of Real-Time Quotation Information to the NYSE OpenBookTM2006-10-19T00:00:00-07:002006-10-19T00:00:00-07:00E6-17394Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-19/pdf/E6-17394.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/19/E6-17392.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Electronic Access Fee2006-10-19T00:00:00-07:002006-10-19T00:00:00-07:00E6-17392Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-19/pdf/E6-17392.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/18/E6-17321.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc. (n/k/a New York Stock Exchange LLC); Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to NYSE Rule 116 (“Stop” Constitutes Guarantee) and NYSE Rule 123B (Exchange Automated Order Routing Systems)2006-10-18T00:00:00-07:002006-10-18T00:00:00-07:00E6-17321Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-18/pdf/E6-17321.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/18/E6-17319.htmlNotice - 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 Boston Stock Exchange2006-10-18T00:00:00-07:002006-10-18T00:00:00-07:00E6-17319Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-18/pdf/E6-17319.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/18/E6-17317.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Create a Penny Pilot Program for Options Trading2006-10-18T00:00:00-07:002006-10-18T00:00:00-07:00E6-17317Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-18/pdf/E6-17317.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/18/E6-17316.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2006-10-18T00:00:00-07:002006-10-18T00:00:00-07:00E6-17316Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-18/pdf/E6-17316.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/18/E6-17315.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Tenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Seventh Substantive Amendment to the Restated Consolidated Quotation Plan2006-10-18T00:00:00-07:002006-10-18T00:00:00-07:00E6-17315Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-18/pdf/E6-17315.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/17/E6-17236.htmlNotice - MONY Life Insurance Company of America, et al.2006-10-17T00:00:00-07:002006-10-17T00:00:00-07:00E6-17236Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-17/pdf/E6-17236.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/17/E6-17180.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change Relating to Rule 2340 Concerning Customer Account Statements2006-10-17T00:00:00-07:002006-10-17T00:00:00-07:00E6-17180Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-17/pdf/E6-17180.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/17/E6-17169.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change Relating to Stop Orders for Exchange Traded Funds and Trust Issued Receipts2006-10-17T00:00:00-07:002006-10-17T00:00:00-07:00E6-17169Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-17/pdf/E6-17169.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/17/E6-17168.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Appeals From a Hearing Officer or Hearing Panel Decision2006-10-17T00:00:00-07:002006-10-17T00:00:00-07:00E6-17168Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-17/pdf/E6-17168.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/17/E6-17167.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto Relating to Expansion of OATS Reporting Requirements to OTC Equity Securities2006-10-17T00:00:00-07:002006-10-17T00:00:00-07:00E6-17167Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-17/pdf/E6-17167.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/16/E6-17083.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Establishment of the Second Market2006-10-16T00:00:00-07:002006-10-16T00:00:00-07:00E6-17083Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/E6-17083.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/16/E6-17082.htmlNotice - Delaware Management Business Trust, et al.;2006-10-16T00:00:00-07:002006-10-16T00:00:00-07:00E6-17082Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/E6-17082.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/16/E6-17081.htmlNotice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Reporting Required When Nasdaq Lists the Security of an Affiliate2006-10-16T00:00:00-07:002006-10-16T00:00:00-07:00E6-17081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/E6-17081.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/16/E6-17080.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto to Modify Certain of Nasdaq's Corporate Governance Standards, Including the Definition of Independent Director2006-10-16T00:00:00-07:002006-10-16T00:00:00-07:00E6-17080Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/E6-17080.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/16/E6-17067.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc. (a/k/a New York Stock Exchange LLC); Notice of Filing of Proposed Rule Change and Amendments No. 1 & 2 Thereto Relating to the Treasury Share Exception in NYSE Listed Company Manual Section 312.03, Section 312.04 and Section 703.01(A)2006-10-16T00:00:00-07:002006-10-16T00:00:00-07:00E6-17067Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/E6-17067.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/16/E6-17064.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Allow Certain Institutional Customers To Elect Not To Receive Account Statements2006-10-16T00:00:00-07:002006-10-16T00:00:00-07:00E6-17064Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/E6-17064.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/16/E6-17060.htmlNotice - SSgA Funds Management, Inc., et al.; Notice of Application2006-10-16T00:00:00-07:002006-10-16T00:00:00-07:00E6-17060Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/E6-17060.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/16/06-8718.htmlNotice - Sunshine Act Meeting2006-10-16T00:00:00-07:002006-10-16T00:00:00-07:0006-8718Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/06-8718.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/13/E6-16956.htmlProposed Rule - Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers Also Registered as Futures Commission Merchants2006-10-13T00:00:00-07:002006-10-13T00:00:00-07:00E6-16956Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-13/pdf/E6-16956.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/13/E6-16952.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Trading Shares of the PowerShares DB G10 Currency Harvest Fund Pursuant to Unlisted Trading Privileges2006-10-13T00:00:00-07:002006-10-13T00:00:00-07:00E6-16952Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-13/pdf/E6-16952.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/13/E6-16950.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Financial Responsibility, Operational Capability, Insolvency, and Ceasing To Act2006-10-13T00:00:00-07:002006-10-13T00:00:00-07:00E6-16950Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-13/pdf/E6-16950.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/13/E6-16948.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to an Escrow Program Fee To Be Charged to Escrow Banks2006-10-13T00:00:00-07:002006-10-13T00:00:00-07:00E6-16948Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-13/pdf/E6-16948.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/13/06-8646.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Relating to Customer Fees for Certain Complex Orders2006-10-13T00:00:00-07:002006-10-13T00:00:00-07:0006-8646Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-13/pdf/06-8646.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/12/E6-16897.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to A Pilot Until 10/31/06 to Put Into Operation Certain Rule Changes Pending Before the Securities and Exchange Commission to Coincide With the Exchange's Implementation of Phase 3 of the NYSE HYBRID MARKETSM2006-10-12T00:00:00-07:002006-10-12T00:00:00-07:00E6-16897Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-12/pdf/E6-16897.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/12/E6-16888.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Provide Floor Brokers With the Ability To Enter Discretionary Instructions and/or Pegging Instructions With Respect to Floor Broker Agency Interest Files (e-Quotes)2006-10-12T00:00:00-07:002006-10-12T00:00:00-07:00E6-16888Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-12/pdf/E6-16888.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/12/E6-16853.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange and Regulatory Bulletin Annual Subscription Fee2006-10-12T00:00:00-07:002006-10-12T00:00:00-07:00E6-16853Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-12/pdf/E6-16853.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/12/E6-16849.htmlNotice - Proposed Collections; Comment Request2006-10-12T00:00:00-07:002006-10-12T00:00:00-07:00E6-16849Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-12/pdf/E6-16849.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/12/E6-16848.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Suspension of Transaction Charges for Specialist Orders in the Nasdaq-100 Tracking Stocksup® (QQQQ)2006-10-12T00:00:00-07:002006-10-12T00:00:00-07:00E6-16848Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-12/pdf/E6-16848.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/12/E6-16847.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 172006-10-12T00:00:00-07:002006-10-12T00:00:00-07:00E6-16847Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-12/pdf/E6-16847.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/12/E6-16846.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 19 (Locking or Crossing Protected Quotations in NMS Stocks)2006-10-12T00:00:00-07:002006-10-12T00:00:00-07:00E6-16846Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-12/pdf/E6-16846.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/11/E6-16729.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ISE Stock Exchange Fees2006-10-11T00:00:00-07:002006-10-11T00:00:00-07:00E6-16729Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-11/pdf/E6-16729.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/11/E6-16717.htmlNotice - Self Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amending the Citation to Section 19 of the Securities Exchange Act in NASD Rule 95592006-10-11T00:00:00-07:002006-10-11T00:00:00-07:00E6-16717Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-11/pdf/E6-16717.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16646.htmlNotice - Proposed Collection; Comment Request2006-10-10T00:00:00-07:002006-10-10T00:00:00-07:00E6-16646Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16646.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16645.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Its Minor Rule Violation Plan2006-10-10T00:00:00-07:002006-10-10T00:00:00-07:00E6-16645Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16645.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16644.htmlNotice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; 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 NASD Rule 51002006-10-10T00:00:00-07:002006-10-10T00:00:00-07:00E6-16644Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16644.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16631.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to NMS Linkage and Phlx's Covered Sale Fee2006-10-10T00:00:00-07:002006-10-10T00:00:00-07:00E6-16631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16631.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16630.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Extension of the Pilot Period Applicable to the Listing and Trading of Options on the iShares MSCI Emerging Markets Index2006-10-10T00:00:00-07:002006-10-10T00:00:00-07:00E6-16630Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16630.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16628.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 6, To Establish a New Hybrid Trading System Known as AEMISM2006-10-10T00:00:00-07:002006-10-10T00:00:00-07:00E6-16628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16628.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16626.htmlNotice - Self-Regulatory Organizations; Chicago 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 No. 2 Thereto to Implement a New Trading Model2006-10-10T00:00:00-07:002006-10-10T00:00:00-07:00E6-16626Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16626.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16625.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exercise Deadline for Quarterly Options Series2006-10-10T00:00:00-07:002006-10-10T00:00:00-07:00E6-16625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16625.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16624.htmlNotice - Proposed Collection; Comment Request2006-10-10T00:00:00-07:002006-10-10T00:00:00-07:00E6-16624Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16624.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/10/06-8597.htmlNotice - In the Matter of Pretory USA, Inc. (n/k/a Sunrise Petroleum Resources, Inc.); Order of Suspension of Trading2006-10-10T00:00:00-07:002006-10-10T00:00:00-07:0006-8597Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/06-8597.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16583.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exercise Deadline for Quarterly Options Series2006-10-06T00:00:00-07:002006-10-06T00:00:00-07:00E6-16583Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16583.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16582.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating To Adoption of Regulation NMS2006-10-06T00:00:00-07:002006-10-06T00:00:00-07:00E6-16582Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16582.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16580.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Relating to the Implementation of the Second Phase of the Boston Equities Exchange (“BeX”) Trading System2006-10-06T00:00:00-07:002006-10-06T00:00:00-07:00E6-16580Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16580.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16579.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include DXL Options on the Hybrid 2.0 Platform2006-10-06T00:00:00-07:002006-10-06T00:00:00-07:00E6-16579Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16579.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16576.htmlNotice - Proposed Collection; Comment Request2006-10-06T00:00:00-07:002006-10-06T00:00:00-07:00E6-16576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16576.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16565.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Boston Stock Exchange, Inc.; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; NASDAQ Stock Market LLC; National Stock Exchange, Inc.; NYSE Arca, Inc., and Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes Relating to Exchange to Exchange Billing Under the Linkage Plan2006-10-06T00:00:00-07:002006-10-06T00:00:00-07:00E6-16565Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16565.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16550.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to the Exchange's New Equity Trading System, XLE2006-10-06T00:00:00-07:002006-10-06T00:00:00-07:00E6-16550Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16550.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16549.htmlNotice - Proposed Collection; Comment Request2006-10-06T00:00:00-07:002006-10-06T00:00:00-07:00E6-16549Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16549.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16548.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Amendment No. 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto to Align NASD Rules With Regulation NMS2006-10-06T00:00:00-07:002006-10-06T00:00:00-07:00E6-16548Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16548.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16547.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exercise Deadline for Quarterly Options Series2006-10-06T00:00:00-07:002006-10-06T00:00:00-07:00E6-16547Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16547.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16545.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Relating to Directed Orders2006-10-06T00:00:00-07:002006-10-06T00:00:00-07:00E6-16545Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16545.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/06/06-8580.htmlNotice - Sunshine Act Meetings2006-10-06T00:00:00-07:002006-10-06T00:00:00-07:0006-8580Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/06-8580.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/06/06-8543.htmlNotice - Joint Industry Plan; Order Approving NMS Linkage Plan Filed by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., The NASDAQ Stock Market LLC, National Stock Exchange, New York Stock Exchange LLC, NYSE Arca, Inc., and Philadelphia Stock Exchange, Inc.2006-10-06T00:00:00-07:002006-10-06T00:00:00-07:0006-8543Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/06-8543.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/05/E6-16461.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402006-10-05T00:00:00-07:002006-10-05T00:00:00-07:00E6-16461Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-05/pdf/E6-16461.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/05/E6-16460.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Approving Proposed Rule Change To Allow the Primary Market Print Protection Rule To Be Applied on an Optional Basis2006-10-05T00:00:00-07:002006-10-05T00:00:00-07:00E6-16460Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-05/pdf/E6-16460.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/05/E6-16443.htmlNotice - Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks From the Definition of “Broker” Under Section 3(a)(4) of the Securities Exchange Act of 19342006-10-05T00:00:00-07:002006-10-05T00:00:00-07:00E6-16443Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-05/pdf/E6-16443.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16367.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amending Rule 123D (Openings and Halts in Trading) and Rule 15 To Shorten the Minimum Required Time Periods Between Tape Indications and Openings or Reopenings2006-10-04T00:00:00-07:002006-10-04T00:00:00-07:00E6-16367Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16367.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16366.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc. (n/k/a International Securities Exchange, LLC); Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Thereto Relating to the Adoption of Rules To Govern Its Electronic Trading System for Equities2006-10-04T00:00:00-07:002006-10-04T00:00:00-07:00E6-16366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16366.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16365.htmlNotice - RiverSource Diversified Income Series, Inc., et al.; Notice of Application2006-10-04T00:00:00-07:002006-10-04T00:00:00-07:00E6-16365Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16365.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16364.htmlNotice - 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. 1 Thereto To Adopt Rules Relating to Regulation NMS2006-10-04T00:00:00-07:002006-10-04T00:00:00-07:00E6-16364Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16364.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16363.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Block Order Mechanism2006-10-04T00:00:00-07:002006-10-04T00:00:00-07:00E6-16363Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16363.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16332.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to Expiration Date Exercise Procedures2006-10-04T00:00:00-07:002006-10-04T00:00:00-07:00E6-16332Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16332.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16331.htmlNotice - SEC Government-Business Forum on Small Business Capital Formation2006-10-04T00:00:00-07:002006-10-04T00:00:00-07:00E6-16331Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16331.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16330.htmlNotice - Proposed Collection; Comment Request2006-10-04T00:00:00-07:002006-10-04T00:00:00-07:00E6-16330Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16330.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/03/E6-16273.htmlRule - Mutual Fund Redemption Fees2006-10-03T00:00:00-07:002006-10-03T00:00:00-07:00E6-16273Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-03/pdf/E6-16273.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/03/E6-16251.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Allow the Inventory Management System To Accept Real-Time and Late Affirmed Trades From Omgeo2006-10-03T00:00:00-07:002006-10-03T00:00:00-07:00E6-16251Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-03/pdf/E6-16251.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/03/E6-16250.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Apply Certain Provisions of Its Minor Rule Violation Plan to Registered Options Traders, Supplemental Registered Options Traders, and Remote Registered Options Traders2006-10-03T00:00:00-07:002006-10-03T00:00:00-07:00E6-16250Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-03/pdf/E6-16250.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/03/E6-16249.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Expand the Broker Marketing Alliance To Include Non-Broker-Dealers With Regard to the Enhanced Sentiment Market Data Offering2006-10-03T00:00:00-07:002006-10-03T00:00:00-07:00E6-16249Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-03/pdf/E6-16249.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/03/E6-16248.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, Prohibiting a Participant Firm From Earning Credits When Its Exchange Bill Is More Than 30 Days Past Due2006-10-03T00:00:00-07:002006-10-03T00:00:00-07:00E6-16248Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-03/pdf/E6-16248.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/03/E6-16247.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.); Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 3 and 4 To Create a New Order Type-Passive Liquidity Orders-for Use on NYSE Arca Marketplace2006-10-03T00:00:00-07:002006-10-03T00:00:00-07:00E6-16247Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-03/pdf/E6-16247.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/03/06-8473.htmlNotice - Sunshine Act Meeting2006-10-03T00:00:00-07:002006-10-03T00:00:00-07:0006-8473Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-03/pdf/06-8473.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16170.htmlNotice - Joint Industry Plan; Notice of Filing and Order Granting Temporary Effectiveness of Amendment To Plan Establishing Procedures Under Rule 605 of Regulation NMS2006-10-02T00:00:00-07:002006-10-02T00:00:00-07:00E6-16170Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16170.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16168.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding Fees for the New Nasdaq Workstation and Weblink ACT2006-10-02T00:00:00-07:002006-10-02T00:00:00-07:00E6-16168Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16168.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16166.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Regarding Fees for Non-NASD Member Subscribers to the New Nasdaq Workstation and Weblink ACT2006-10-02T00:00:00-07:002006-10-02T00:00:00-07:00E6-16166Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16166.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16165.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Information Submitted to the Exchange2006-10-02T00:00:00-07:002006-10-02T00:00:00-07:00E6-16165Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16165.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16164.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Market Opening Pilot Program for the Boston Options Exchange Facility2006-10-02T00:00:00-07:002006-10-02T00:00:00-07:00E6-16164Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16164.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16162.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Generic Listing and Maintenance Standards for Broad-Based Index Options2006-10-02T00:00:00-07:002006-10-02T00:00:00-07:00E6-16162Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16162.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16117.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Amended Regarding Pricing for Non-Members Using the New Nasdaq Workstation and Weblink ACT2006-10-02T00:00:00-07:002006-10-02T00:00:00-07:00E6-16117Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16117.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16115.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding Fees for the New Nasdaq Workstation and Weblink ACT2006-10-02T00:00:00-07:002006-10-02T00:00:00-07:00E6-16115Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16115.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16114.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change Relating to Retroactive Application of Participant Fees and Credits2006-10-02T00:00:00-07:002006-10-02T00:00:00-07:00E6-16114Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16114.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16113.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Regarding Amendments to the Exchange's Bylaws and Other Governance Changes2006-10-02T00:00:00-07:002006-10-02T00:00:00-07:00E6-16113Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16113.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16112.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc. (n/k/a New York Stock Exchange LLC); Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Rule 409 Regarding Statements of Accounts to Customers and Proposed New Rule 409A Regarding SIPC Disclosure2006-10-02T00:00:00-07:002006-10-02T00:00:00-07:00E6-16112Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16112.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16111.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Existing Rules for Investment Company Units2006-10-02T00:00:00-07:002006-10-02T00:00:00-07:00E6-16111Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16111.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16109.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change Relating to Assumption of Blind Brokered Fails by Its Government Securities Division2006-10-02T00:00:00-07:002006-10-02T00:00:00-07:00E6-16109Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16109.pdfhttps://regulations.justia.com/regulations/fedreg/2006/10/02/06-8414.htmlNotice - In the Matter of China Energy Savings Technology, Inc.; Corrected Order of Suspension of Trading2006-10-02T00:00:00-07:002006-10-02T00:00:00-07:0006-8414Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/06-8414.pdf