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=atom2024-05-22T23:36:29-07:00Justia 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.pdf