Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2006/10?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2021-01-23T23:13:50-08:00 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/2006/10/31/E6-18257.html Proposed Rule - Definition of Eligible Portfolio Company Under the Investment Company Act of 1940 2006-10-31T00:00:00-08:00 2006-10-31T00:00:00-08:00 E6-18257 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-10-31/pdf/E6-18257.pdf https://regulations.justia.com/regulations/fedreg/2006/10/31/E6-18256.html Notice - Tactical Allocation Services, LLC, et al.; 2006-10-31T00:00:00-08:00 2006-10-31T00:00:00-08:00 E6-18256 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-31/pdf/E6-18256.pdf https://regulations.justia.com/regulations/fedreg/2006/10/31/E6-18255.html Rule - Definition of Eligible Portfolio Company Under the Investment Company Act of 1940 2006-10-31T00:00:00-08:00 2006-10-31T00:00:00-08:00 E6-18255 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-10-31/pdf/E6-18255.pdf https://regulations.justia.com/regulations/fedreg/2006/10/31/E6-18254.html Notice - 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) 2006-10-31T00:00:00-08:00 2006-10-31T00:00:00-08:00 E6-18254 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-31/pdf/E6-18254.pdf https://regulations.justia.com/regulations/fedreg/2006/10/31/E6-18252.html Notice - 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 Exchange 2006-10-31T00:00:00-08:00 2006-10-31T00:00:00-08:00 E6-18252 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-31/pdf/E6-18252.pdf https://regulations.justia.com/regulations/fedreg/2006/10/31/E6-18250.html Notice - 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) 2006-10-31T00:00:00-08:00 2006-10-31T00:00:00-08:00 E6-18250 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-31/pdf/E6-18250.pdf https://regulations.justia.com/regulations/fedreg/2006/10/31/E6-18234.html Notice - Privacy Act of 1974: Establishment of a New System of Records: Photographic Files (SEC-54) 2006-10-31T00:00:00-08:00 2006-10-31T00:00:00-08:00 E6-18234 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-31/pdf/E6-18234.pdf https://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18143.html Notice - AXA Equitable Life Insurance Company, et al.; Notice of Application 2006-10-30T00:00:00-08:00 2006-10-30T00:00:00-08:00 E6-18143 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18143.pdf https://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18142.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Quoting Obligations 2006-10-30T00:00:00-08:00 2006-10-30T00:00:00-08:00 E6-18142 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18142.pdf https://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18141.html Notice - Submissions for OMB Review; Comment Request 2006-10-30T00:00:00-08:00 2006-10-30T00:00:00-08:00 E6-18141 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18141.pdf https://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18088.html Notice - Integrated ARROs Fund I, et al.; Notice of Application 2006-10-30T00:00:00-08:00 2006-10-30T00:00:00-08:00 E6-18088 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18088.pdf https://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18083.html Notice - 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 Participant 2006-10-30T00:00:00-08:00 2006-10-30T00:00:00-08:00 E6-18083 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18083.pdf https://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18082.html Notice - 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 Classes 2006-10-30T00:00:00-08:00 2006-10-30T00:00:00-08:00 E6-18082 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18082.pdf https://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18081.html Notice - 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 sm 2006-10-30T00:00:00-08:00 2006-10-30T00:00:00-08:00 E6-18081 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18081.pdf https://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18080.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Correction of Erroneous Cross References 2006-10-30T00:00:00-08:00 2006-10-30T00:00:00-08:00 E6-18080 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18080.pdf https://regulations.justia.com/regulations/fedreg/2006/10/30/E6-18079.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Relating to Market Maker Orders 2006-10-30T00:00:00-08:00 2006-10-30T00:00:00-08:00 E6-18079 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-30/pdf/E6-18079.pdf https://regulations.justia.com/regulations/fedreg/2006/10/27/E6-17997.html Notice - Investment Technology Group, Inc.; Notice of Application 2006-10-27T00:00:00-07:00 2006-10-27T00:00:00-07:00 E6-17997 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-27/pdf/E6-17997.pdf https://regulations.justia.com/regulations/fedreg/2006/10/27/E6-17996.html Notice - 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 Securities 2006-10-27T00:00:00-07:00 2006-10-27T00:00:00-07:00 E6-17996 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-27/pdf/E6-17996.pdf https://regulations.justia.com/regulations/fedreg/2006/10/27/E6-17995.html Notice - 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 Securities 2006-10-27T00:00:00-07:00 2006-10-27T00:00:00-07:00 E6-17995 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-27/pdf/E6-17995.pdf https://regulations.justia.com/regulations/fedreg/2006/10/27/E6-17994.html Notice - 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 Reporting 2006-10-27T00:00:00-07:00 2006-10-27T00:00:00-07:00 E6-17994 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-27/pdf/E6-17994.pdf https://regulations.justia.com/regulations/fedreg/2006/10/27/E6-17992.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Its Regulatory Oversight Committee 2006-10-27T00:00:00-07:00 2006-10-27T00:00:00-07:00 E6-17992 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-27/pdf/E6-17992.pdf https://regulations.justia.com/regulations/fedreg/2006/10/27/06-8963.html Notice - Sunshine Act Meeting 2006-10-27T00:00:00-07:00 2006-10-27T00:00:00-07:00 06-8963 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-27/pdf/06-8963.pdf https://regulations.justia.com/regulations/fedreg/2006/10/26/E6-17989.html Notice - 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 Fund 2006-10-26T00:00:00-07:00 2006-10-26T00:00:00-07:00 E6-17989 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-26/pdf/E6-17989.pdf https://regulations.justia.com/regulations/fedreg/2006/10/26/E6-17929.html Notice - Proposed Collection; Comment Request 2006-10-26T00:00:00-07:00 2006-10-26T00:00:00-07:00 E6-17929 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-26/pdf/E6-17929.pdf https://regulations.justia.com/regulations/fedreg/2006/10/26/E6-17928.html Notice - Notice of Intention To Cancel Registrations of Certain Transfer Agents 2006-10-26T00:00:00-07:00 2006-10-26T00:00:00-07:00 E6-17928 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-26/pdf/E6-17928.pdf https://regulations.justia.com/regulations/fedreg/2006/10/26/E6-17927.html Notice - Submission for OMB Review; Comment Request 2006-10-26T00:00:00-07:00 2006-10-26T00:00:00-07:00 E6-17927 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-26/pdf/E6-17927.pdf https://regulations.justia.com/regulations/fedreg/2006/10/26/E6-17913.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Federal Reserve's National Settlement Service 2006-10-26T00:00:00-07:00 2006-10-26T00:00:00-07:00 E6-17913 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-26/pdf/E6-17913.pdf https://regulations.justia.com/regulations/fedreg/2006/10/26/06-8939.html Notice - In the Matter of Conversion Solutions Holdings Corp.; Order of Suspension of Trading 2006-10-26T00:00:00-07:00 2006-10-26T00:00:00-07:00 06-8939 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-26/pdf/06-8939.pdf https://regulations.justia.com/regulations/fedreg/2006/10/25/E6-17846.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to a Proposed Rule Change Relating to Disciplinary and Delisting Procedures; Correction 2006-10-25T00:00:00-07:00 2006-10-25T00:00:00-07:00 E6-17846 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-25/pdf/E6-17846.pdf https://regulations.justia.com/regulations/fedreg/2006/10/25/E6-17845.html Notice - 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 Fund 2006-10-25T00:00:00-07:00 2006-10-25T00:00:00-07:00 E6-17845 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-25/pdf/E6-17845.pdf https://regulations.justia.com/regulations/fedreg/2006/10/25/E6-17844.html Notice - 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 Business 2006-10-25T00:00:00-07:00 2006-10-25T00:00:00-07:00 E6-17844 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-25/pdf/E6-17844.pdf https://regulations.justia.com/regulations/fedreg/2006/10/25/E6-17837.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating To Providing Certain Reports to its Members 2006-10-25T00:00:00-07:00 2006-10-25T00:00:00-07:00 E6-17837 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-25/pdf/E6-17837.pdf https://regulations.justia.com/regulations/fedreg/2006/10/25/E6-17836.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Codification of Exchange Policy Regarding Specialist Commissions 2006-10-25T00:00:00-07:00 2006-10-25T00:00:00-07:00 E6-17836 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-25/pdf/E6-17836.pdf https://regulations.justia.com/regulations/fedreg/2006/10/25/E6-17833.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges 2006-10-25T00:00:00-07:00 2006-10-25T00:00:00-07:00 E6-17833 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-25/pdf/E6-17833.pdf https://regulations.justia.com/regulations/fedreg/2006/10/25/E6-17832.html Notice - 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) 2006-10-25T00:00:00-07:00 2006-10-25T00:00:00-07:00 E6-17832 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-25/pdf/E6-17832.pdf https://regulations.justia.com/regulations/fedreg/2006/10/24/E6-17745.html Notice - 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®) 2006-10-24T00:00:00-07:00 2006-10-24T00:00:00-07:00 E6-17745 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-24/pdf/E6-17745.pdf https://regulations.justia.com/regulations/fedreg/2006/10/24/E6-17744.html Notice - 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 2711 2006-10-24T00:00:00-07:00 2006-10-24T00:00:00-07:00 E6-17744 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-24/pdf/E6-17744.pdf https://regulations.justia.com/regulations/fedreg/2006/10/24/E6-17734.html Notice - 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 System 2006-10-24T00:00:00-07:00 2006-10-24T00:00:00-07:00 E6-17734 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-24/pdf/E6-17734.pdf https://regulations.justia.com/regulations/fedreg/2006/10/24/E6-17733.html Notice - 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 Order 2006-10-24T00:00:00-07:00 2006-10-24T00:00:00-07:00 E6-17733 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-24/pdf/E6-17733.pdf https://regulations.justia.com/regulations/fedreg/2006/10/24/E6-17731.html Notice - 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 Activity 2006-10-24T00:00:00-07:00 2006-10-24T00:00:00-07:00 E6-17731 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-24/pdf/E6-17731.pdf https://regulations.justia.com/regulations/fedreg/2006/10/23/Z6-11390.html Notice - 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 System 2006-10-23T00:00:00-07:00 2006-10-23T00:00:00-07:00 Z6-11390 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/Z6-11390.pdf https://regulations.justia.com/regulations/fedreg/2006/10/23/E6-17674.html Notice - 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 NMS 2006-10-23T00:00:00-07:00 2006-10-23T00:00:00-07:00 E6-17674 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/E6-17674.pdf https://regulations.justia.com/regulations/fedreg/2006/10/23/E6-17673.html Notice - 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 MARKETSM 2006-10-23T00:00:00-07:00 2006-10-23T00:00:00-07:00 E6-17673 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/E6-17673.pdf https://regulations.justia.com/regulations/fedreg/2006/10/23/E6-17668.html Notice - 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” Transactions 2006-10-23T00:00:00-07:00 2006-10-23T00:00:00-07:00 E6-17668 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/E6-17668.pdf https://regulations.justia.com/regulations/fedreg/2006/10/23/E6-17619.html Notice - Pioneer America Income Trust, et al., Notice of Application 2006-10-23T00:00:00-07:00 2006-10-23T00:00:00-07:00 E6-17619 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/E6-17619.pdf https://regulations.justia.com/regulations/fedreg/2006/10/23/E6-17618.html Notice - Proposed Collection; Comment Request 2006-10-23T00:00:00-07:00 2006-10-23T00:00:00-07:00 E6-17618 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/E6-17618.pdf https://regulations.justia.com/regulations/fedreg/2006/10/23/C6-8667.html Notice - Notice of Availability of the Fort Bliss, Texas and New Mexico, Mission Master Plan Supplemental Programmatic Environmental Impact Statement 2006-10-23T00:00:00-07:00 2006-10-23T00:00:00-07:00 C6-8667 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/C6-8667.pdf https://regulations.justia.com/regulations/fedreg/2006/10/23/06-8861.html Notice - Sunshine Act Meeting 2006-10-23T00:00:00-07:00 2006-10-23T00:00:00-07:00 06-8861 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-23/pdf/06-8861.pdf https://regulations.justia.com/regulations/fedreg/2006/10/20/Z6-16921.html Notice - Evaluation of the Carcinogenicity of Ethylene Oxide 2006-10-20T00:00:00-07:00 2006-10-20T00:00:00-07:00 Z6-16921 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-20/pdf/Z6-16921.pdf https://regulations.justia.com/regulations/fedreg/2006/10/20/E6-17564.html Notice - 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 Pennies 2006-10-20T00:00:00-07:00 2006-10-20T00:00:00-07:00 E6-17564 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-20/pdf/E6-17564.pdf https://regulations.justia.com/regulations/fedreg/2006/10/20/E6-17563.html Notice - 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 Procedure 2006-10-20T00:00:00-07:00 2006-10-20T00:00:00-07:00 E6-17563 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-20/pdf/E6-17563.pdf https://regulations.justia.com/regulations/fedreg/2006/10/20/E6-17562.html Notice - 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 Rules 2006-10-20T00:00:00-07:00 2006-10-20T00:00:00-07:00 E6-17562 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-20/pdf/E6-17562.pdf https://regulations.justia.com/regulations/fedreg/2006/10/20/E6-17539.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to NYSE Arca Data 2006-10-20T00:00:00-07:00 2006-10-20T00:00:00-07:00 E6-17539 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-20/pdf/E6-17539.pdf https://regulations.justia.com/regulations/fedreg/2006/10/20/E6-17537.html Notice - Proposed Collection; Comment Request 2006-10-20T00:00:00-07:00 2006-10-20T00:00:00-07:00 E6-17537 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-20/pdf/E6-17537.pdf https://regulations.justia.com/regulations/fedreg/2006/10/20/C6-8646.html Notice - 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 Orders 2006-10-20T00:00:00-07:00 2006-10-20T00:00:00-07:00 C6-8646 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-20/pdf/C6-8646.pdf https://regulations.justia.com/regulations/fedreg/2006/10/19/E6-17441.html Notice - 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 4755 2006-10-19T00:00:00-07:00 2006-10-19T00:00:00-07:00 E6-17441 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-19/pdf/E6-17441.pdf https://regulations.justia.com/regulations/fedreg/2006/10/19/E6-17440.html Notice - 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 Network 2006-10-19T00:00:00-07:00 2006-10-19T00:00:00-07:00 E6-17440 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-19/pdf/E6-17440.pdf https://regulations.justia.com/regulations/fedreg/2006/10/19/E6-17397.html Notice - Submission for OMB Review; Comment Request 2006-10-19T00:00:00-07:00 2006-10-19T00:00:00-07:00 E6-17397 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-19/pdf/E6-17397.pdf https://regulations.justia.com/regulations/fedreg/2006/10/19/E6-17396.html Notice - 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 Indexes 2006-10-19T00:00:00-07:00 2006-10-19T00:00:00-07:00 E6-17396 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-19/pdf/E6-17396.pdf https://regulations.justia.com/regulations/fedreg/2006/10/19/E6-17394.html Notice - 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 OpenBookTM 2006-10-19T00:00:00-07:00 2006-10-19T00:00:00-07:00 E6-17394 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-19/pdf/E6-17394.pdf https://regulations.justia.com/regulations/fedreg/2006/10/19/E6-17392.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Electronic Access Fee 2006-10-19T00:00:00-07:00 2006-10-19T00:00:00-07:00 E6-17392 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-19/pdf/E6-17392.pdf https://regulations.justia.com/regulations/fedreg/2006/10/18/E6-17321.html Notice - 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) 2006-10-18T00:00:00-07:00 2006-10-18T00:00:00-07:00 E6-17321 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-18/pdf/E6-17321.pdf https://regulations.justia.com/regulations/fedreg/2006/10/18/E6-17319.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 Boston Stock Exchange 2006-10-18T00:00:00-07:00 2006-10-18T00:00:00-07:00 E6-17319 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-18/pdf/E6-17319.pdf https://regulations.justia.com/regulations/fedreg/2006/10/18/E6-17317.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Create a Penny Pilot Program for Options Trading 2006-10-18T00:00:00-07:00 2006-10-18T00:00:00-07:00 E6-17317 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-18/pdf/E6-17317.pdf https://regulations.justia.com/regulations/fedreg/2006/10/18/E6-17316.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2006-10-18T00:00:00-07:00 2006-10-18T00:00:00-07:00 E6-17316 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-18/pdf/E6-17316.pdf https://regulations.justia.com/regulations/fedreg/2006/10/18/E6-17315.html Notice - 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 Plan 2006-10-18T00:00:00-07:00 2006-10-18T00:00:00-07:00 E6-17315 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-18/pdf/E6-17315.pdf https://regulations.justia.com/regulations/fedreg/2006/10/17/E6-17236.html Notice - MONY Life Insurance Company of America, et al. 2006-10-17T00:00:00-07:00 2006-10-17T00:00:00-07:00 E6-17236 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-17/pdf/E6-17236.pdf https://regulations.justia.com/regulations/fedreg/2006/10/17/E6-17180.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change Relating to Rule 2340 Concerning Customer Account Statements 2006-10-17T00:00:00-07:00 2006-10-17T00:00:00-07:00 E6-17180 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-17/pdf/E6-17180.pdf https://regulations.justia.com/regulations/fedreg/2006/10/17/E6-17169.html Notice - 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 Receipts 2006-10-17T00:00:00-07:00 2006-10-17T00:00:00-07:00 E6-17169 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-17/pdf/E6-17169.pdf https://regulations.justia.com/regulations/fedreg/2006/10/17/E6-17168.html Notice - 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 Decision 2006-10-17T00:00:00-07:00 2006-10-17T00:00:00-07:00 E6-17168 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-17/pdf/E6-17168.pdf https://regulations.justia.com/regulations/fedreg/2006/10/17/E6-17167.html Notice - 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 Securities 2006-10-17T00:00:00-07:00 2006-10-17T00:00:00-07:00 E6-17167 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-17/pdf/E6-17167.pdf https://regulations.justia.com/regulations/fedreg/2006/10/16/E6-17083.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Establishment of the Second Market 2006-10-16T00:00:00-07:00 2006-10-16T00:00:00-07:00 E6-17083 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/E6-17083.pdf https://regulations.justia.com/regulations/fedreg/2006/10/16/E6-17082.html Notice - Delaware Management Business Trust, et al.; 2006-10-16T00:00:00-07:00 2006-10-16T00:00:00-07:00 E6-17082 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/E6-17082.pdf https://regulations.justia.com/regulations/fedreg/2006/10/16/E6-17081.html Notice - 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 Affiliate 2006-10-16T00:00:00-07:00 2006-10-16T00:00:00-07:00 E6-17081 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/E6-17081.pdf https://regulations.justia.com/regulations/fedreg/2006/10/16/E6-17080.html Notice - 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 Director 2006-10-16T00:00:00-07:00 2006-10-16T00:00:00-07:00 E6-17080 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/E6-17080.pdf https://regulations.justia.com/regulations/fedreg/2006/10/16/E6-17067.html Notice - 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) 2006-10-16T00:00:00-07:00 2006-10-16T00:00:00-07:00 E6-17067 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/E6-17067.pdf https://regulations.justia.com/regulations/fedreg/2006/10/16/E6-17064.html Notice - 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 Statements 2006-10-16T00:00:00-07:00 2006-10-16T00:00:00-07:00 E6-17064 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/E6-17064.pdf https://regulations.justia.com/regulations/fedreg/2006/10/16/E6-17060.html Notice - SSgA Funds Management, Inc., et al.; Notice of Application 2006-10-16T00:00:00-07:00 2006-10-16T00:00:00-07:00 E6-17060 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/E6-17060.pdf https://regulations.justia.com/regulations/fedreg/2006/10/16/06-8718.html Notice - Sunshine Act Meeting 2006-10-16T00:00:00-07:00 2006-10-16T00:00:00-07:00 06-8718 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-16/pdf/06-8718.pdf https://regulations.justia.com/regulations/fedreg/2006/10/13/E6-16956.html Proposed Rule - Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers Also Registered as Futures Commission Merchants 2006-10-13T00:00:00-07:00 2006-10-13T00:00:00-07:00 E6-16956 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-10-13/pdf/E6-16956.pdf https://regulations.justia.com/regulations/fedreg/2006/10/13/E6-16952.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 the PowerShares DB G10 Currency Harvest Fund Pursuant to Unlisted Trading Privileges 2006-10-13T00:00:00-07:00 2006-10-13T00:00:00-07:00 E6-16952 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-13/pdf/E6-16952.pdf https://regulations.justia.com/regulations/fedreg/2006/10/13/E6-16950.html Notice - 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 Act 2006-10-13T00:00:00-07:00 2006-10-13T00:00:00-07:00 E6-16950 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-13/pdf/E6-16950.pdf https://regulations.justia.com/regulations/fedreg/2006/10/13/E6-16948.html Notice - 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 Banks 2006-10-13T00:00:00-07:00 2006-10-13T00:00:00-07:00 E6-16948 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-13/pdf/E6-16948.pdf https://regulations.justia.com/regulations/fedreg/2006/10/13/06-8646.html Notice - 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 Orders 2006-10-13T00:00:00-07:00 2006-10-13T00:00:00-07:00 06-8646 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-13/pdf/06-8646.pdf https://regulations.justia.com/regulations/fedreg/2006/10/12/E6-16897.html Notice - 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 MARKETSM 2006-10-12T00:00:00-07:00 2006-10-12T00:00:00-07:00 E6-16897 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-12/pdf/E6-16897.pdf https://regulations.justia.com/regulations/fedreg/2006/10/12/E6-16888.html Notice - 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) 2006-10-12T00:00:00-07:00 2006-10-12T00:00:00-07:00 E6-16888 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-12/pdf/E6-16888.pdf https://regulations.justia.com/regulations/fedreg/2006/10/12/E6-16853.html Notice - 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 Fee 2006-10-12T00:00:00-07:00 2006-10-12T00:00:00-07:00 E6-16853 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-12/pdf/E6-16853.pdf https://regulations.justia.com/regulations/fedreg/2006/10/12/E6-16849.html Notice - Proposed Collections; Comment Request 2006-10-12T00:00:00-07:00 2006-10-12T00:00:00-07:00 E6-16849 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-12/pdf/E6-16849.pdf https://regulations.justia.com/regulations/fedreg/2006/10/12/E6-16848.html Notice - 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) 2006-10-12T00:00:00-07:00 2006-10-12T00:00:00-07:00 E6-16848 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-12/pdf/E6-16848.pdf https://regulations.justia.com/regulations/fedreg/2006/10/12/E6-16847.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 17 2006-10-12T00:00:00-07:00 2006-10-12T00:00:00-07:00 E6-16847 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-12/pdf/E6-16847.pdf https://regulations.justia.com/regulations/fedreg/2006/10/12/E6-16846.html Notice - 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) 2006-10-12T00:00:00-07:00 2006-10-12T00:00:00-07:00 E6-16846 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-12/pdf/E6-16846.pdf https://regulations.justia.com/regulations/fedreg/2006/10/11/E6-16729.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ISE Stock Exchange Fees 2006-10-11T00:00:00-07:00 2006-10-11T00:00:00-07:00 E6-16729 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-11/pdf/E6-16729.pdf https://regulations.justia.com/regulations/fedreg/2006/10/11/E6-16717.html Notice - 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 9559 2006-10-11T00:00:00-07:00 2006-10-11T00:00:00-07:00 E6-16717 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-11/pdf/E6-16717.pdf https://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16646.html Notice - Proposed Collection; Comment Request 2006-10-10T00:00:00-07:00 2006-10-10T00:00:00-07:00 E6-16646 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16646.pdf https://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16645.html Notice - 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 Plan 2006-10-10T00:00:00-07:00 2006-10-10T00:00:00-07:00 E6-16645 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16645.pdf https://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16644.html Notice - 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 5100 2006-10-10T00:00:00-07:00 2006-10-10T00:00:00-07:00 E6-16644 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16644.pdf https://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16631.html Notice - 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 Fee 2006-10-10T00:00:00-07:00 2006-10-10T00:00:00-07:00 E6-16631 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16631.pdf https://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16630.html Notice - 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 Index 2006-10-10T00:00:00-07:00 2006-10-10T00:00:00-07:00 E6-16630 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16630.pdf https://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16628.html Notice - 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 AEMISM 2006-10-10T00:00:00-07:00 2006-10-10T00:00:00-07:00 E6-16628 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16628.pdf https://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16626.html Notice - 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 Model 2006-10-10T00:00:00-07:00 2006-10-10T00:00:00-07:00 E6-16626 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16626.pdf https://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16625.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exercise Deadline for Quarterly Options Series 2006-10-10T00:00:00-07:00 2006-10-10T00:00:00-07:00 E6-16625 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16625.pdf https://regulations.justia.com/regulations/fedreg/2006/10/10/E6-16624.html Notice - Proposed Collection; Comment Request 2006-10-10T00:00:00-07:00 2006-10-10T00:00:00-07:00 E6-16624 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/E6-16624.pdf https://regulations.justia.com/regulations/fedreg/2006/10/10/06-8597.html Notice - In the Matter of Pretory USA, Inc. (n/k/a Sunrise Petroleum Resources, Inc.); Order of Suspension of Trading 2006-10-10T00:00:00-07:00 2006-10-10T00:00:00-07:00 06-8597 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-10/pdf/06-8597.pdf https://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16583.html Notice - 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 Series 2006-10-06T00:00:00-07:00 2006-10-06T00:00:00-07:00 E6-16583 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16583.pdf https://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16582.html Notice - 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 NMS 2006-10-06T00:00:00-07:00 2006-10-06T00:00:00-07:00 E6-16582 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16582.pdf https://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16580.html Notice - 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 System 2006-10-06T00:00:00-07:00 2006-10-06T00:00:00-07:00 E6-16580 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16580.pdf https://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16579.html Notice - 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 Platform 2006-10-06T00:00:00-07:00 2006-10-06T00:00:00-07:00 E6-16579 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16579.pdf https://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16576.html Notice - Proposed Collection; Comment Request 2006-10-06T00:00:00-07:00 2006-10-06T00:00:00-07:00 E6-16576 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16576.pdf https://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16565.html Notice - 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 Plan 2006-10-06T00:00:00-07:00 2006-10-06T00:00:00-07:00 E6-16565 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16565.pdf https://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16550.html Notice - 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, XLE 2006-10-06T00:00:00-07:00 2006-10-06T00:00:00-07:00 E6-16550 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16550.pdf https://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16549.html Notice - Proposed Collection; Comment Request 2006-10-06T00:00:00-07:00 2006-10-06T00:00:00-07:00 E6-16549 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16549.pdf https://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16548.html Notice - 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 NMS 2006-10-06T00:00:00-07:00 2006-10-06T00:00:00-07:00 E6-16548 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16548.pdf https://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16547.html Notice - 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 Series 2006-10-06T00:00:00-07:00 2006-10-06T00:00:00-07:00 E6-16547 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16547.pdf https://regulations.justia.com/regulations/fedreg/2006/10/06/E6-16545.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Relating to Directed Orders 2006-10-06T00:00:00-07:00 2006-10-06T00:00:00-07:00 E6-16545 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/E6-16545.pdf https://regulations.justia.com/regulations/fedreg/2006/10/06/06-8580.html Notice - Sunshine Act Meetings 2006-10-06T00:00:00-07:00 2006-10-06T00:00:00-07:00 06-8580 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/06-8580.pdf https://regulations.justia.com/regulations/fedreg/2006/10/06/06-8543.html Notice - 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. 2006-10-06T00:00:00-07:00 2006-10-06T00:00:00-07:00 06-8543 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-06/pdf/06-8543.pdf https://regulations.justia.com/regulations/fedreg/2006/10/05/E6-16461.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2006-10-05T00:00:00-07:00 2006-10-05T00:00:00-07:00 E6-16461 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-05/pdf/E6-16461.pdf https://regulations.justia.com/regulations/fedreg/2006/10/05/E6-16460.html Notice - 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 Basis 2006-10-05T00:00:00-07:00 2006-10-05T00:00:00-07:00 E6-16460 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-05/pdf/E6-16460.pdf https://regulations.justia.com/regulations/fedreg/2006/10/05/E6-16443.html Notice - 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 1934 2006-10-05T00:00:00-07:00 2006-10-05T00:00:00-07:00 E6-16443 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-05/pdf/E6-16443.pdf https://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16367.html Notice - 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 Reopenings 2006-10-04T00:00:00-07:00 2006-10-04T00:00:00-07:00 E6-16367 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16367.pdf https://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16366.html Notice - 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 Equities 2006-10-04T00:00:00-07:00 2006-10-04T00:00:00-07:00 E6-16366 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16366.pdf https://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16365.html Notice - RiverSource Diversified Income Series, Inc., et al.; Notice of Application 2006-10-04T00:00:00-07:00 2006-10-04T00:00:00-07:00 E6-16365 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16365.pdf https://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16364.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto To Adopt Rules Relating to Regulation NMS 2006-10-04T00:00:00-07:00 2006-10-04T00:00:00-07:00 E6-16364 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16364.pdf https://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16363.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Block Order Mechanism 2006-10-04T00:00:00-07:00 2006-10-04T00:00:00-07:00 E6-16363 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16363.pdf https://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16332.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to Expiration Date Exercise Procedures 2006-10-04T00:00:00-07:00 2006-10-04T00:00:00-07:00 E6-16332 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16332.pdf https://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16331.html Notice - SEC Government-Business Forum on Small Business Capital Formation 2006-10-04T00:00:00-07:00 2006-10-04T00:00:00-07:00 E6-16331 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16331.pdf https://regulations.justia.com/regulations/fedreg/2006/10/04/E6-16330.html Notice - Proposed Collection; Comment Request 2006-10-04T00:00:00-07:00 2006-10-04T00:00:00-07:00 E6-16330 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-04/pdf/E6-16330.pdf https://regulations.justia.com/regulations/fedreg/2006/10/03/E6-16273.html Rule - Mutual Fund Redemption Fees 2006-10-03T00:00:00-07:00 2006-10-03T00:00:00-07:00 E6-16273 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-10-03/pdf/E6-16273.pdf https://regulations.justia.com/regulations/fedreg/2006/10/03/E6-16251.html Notice - 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 Omgeo 2006-10-03T00:00:00-07:00 2006-10-03T00:00:00-07:00 E6-16251 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-03/pdf/E6-16251.pdf https://regulations.justia.com/regulations/fedreg/2006/10/03/E6-16250.html Notice - 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 Traders 2006-10-03T00:00:00-07:00 2006-10-03T00:00:00-07:00 E6-16250 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-03/pdf/E6-16250.pdf https://regulations.justia.com/regulations/fedreg/2006/10/03/E6-16249.html Notice - 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 Offering 2006-10-03T00:00:00-07:00 2006-10-03T00:00:00-07:00 E6-16249 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-03/pdf/E6-16249.pdf https://regulations.justia.com/regulations/fedreg/2006/10/03/E6-16248.html Notice - 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 Due 2006-10-03T00:00:00-07:00 2006-10-03T00:00:00-07:00 E6-16248 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-03/pdf/E6-16248.pdf https://regulations.justia.com/regulations/fedreg/2006/10/03/E6-16247.html Notice - 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 Marketplace 2006-10-03T00:00:00-07:00 2006-10-03T00:00:00-07:00 E6-16247 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-03/pdf/E6-16247.pdf https://regulations.justia.com/regulations/fedreg/2006/10/03/06-8473.html Notice - Sunshine Act Meeting 2006-10-03T00:00:00-07:00 2006-10-03T00:00:00-07:00 06-8473 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-03/pdf/06-8473.pdf https://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16170.html Notice - Joint Industry Plan; Notice of Filing and Order Granting Temporary Effectiveness of Amendment To Plan Establishing Procedures Under Rule 605 of Regulation NMS 2006-10-02T00:00:00-07:00 2006-10-02T00:00:00-07:00 E6-16170 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16170.pdf https://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16168.html Notice - 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 ACT 2006-10-02T00:00:00-07:00 2006-10-02T00:00:00-07:00 E6-16168 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16168.pdf https://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16166.html Notice - 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 ACT 2006-10-02T00:00:00-07:00 2006-10-02T00:00:00-07:00 E6-16166 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16166.pdf https://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16165.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Information Submitted to the Exchange 2006-10-02T00:00:00-07:00 2006-10-02T00:00:00-07:00 E6-16165 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16165.pdf https://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16164.html Notice - 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 Facility 2006-10-02T00:00:00-07:00 2006-10-02T00:00:00-07:00 E6-16164 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16164.pdf https://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16162.html Notice - 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 Options 2006-10-02T00:00:00-07:00 2006-10-02T00:00:00-07:00 E6-16162 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16162.pdf https://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16117.html Notice - 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 ACT 2006-10-02T00:00:00-07:00 2006-10-02T00:00:00-07:00 E6-16117 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16117.pdf https://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16115.html Notice - 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 ACT 2006-10-02T00:00:00-07:00 2006-10-02T00:00:00-07:00 E6-16115 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16115.pdf https://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16114.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change Relating to Retroactive Application of Participant Fees and Credits 2006-10-02T00:00:00-07:00 2006-10-02T00:00:00-07:00 E6-16114 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16114.pdf https://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16113.html Notice - 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 Changes 2006-10-02T00:00:00-07:00 2006-10-02T00:00:00-07:00 E6-16113 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16113.pdf https://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16112.html Notice - 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 Disclosure 2006-10-02T00:00:00-07:00 2006-10-02T00:00:00-07:00 E6-16112 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16112.pdf https://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16111.html Notice - 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 Units 2006-10-02T00:00:00-07:00 2006-10-02T00:00:00-07:00 E6-16111 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16111.pdf https://regulations.justia.com/regulations/fedreg/2006/10/02/E6-16109.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change Relating to Assumption of Blind Brokered Fails by Its Government Securities Division 2006-10-02T00:00:00-07:00 2006-10-02T00:00:00-07:00 E6-16109 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/E6-16109.pdf https://regulations.justia.com/regulations/fedreg/2006/10/02/06-8414.html Notice - In the Matter of China Energy Savings Technology, Inc.; Corrected Order of Suspension of Trading 2006-10-02T00:00:00-07:00 2006-10-02T00:00:00-07:00 06-8414 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-10-02/pdf/06-8414.pdf