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 2024-05-22T23:36:29-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2006/10/31/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