<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2006/11/09?registers=between Thu, 02 May 2024 15:26:13 -0700 Thu, 02 May 2024 15:26:13 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2006/11/09?registers=between Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3, To Adopt New Rules To Implement on a Pilot Basis an Initial Version of AEMI, Its Proposed New Hybrid Market Trading Platform For Equity Products and Exchange Traded Funds https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18978.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18978.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18978 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18978.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Expand the Scope of IM-2110-2 Relating To Trading Ahead of Customer Limit Orders To Apply to All OTC Equity Securities https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18977.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18977.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18977 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18977.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving a Proposed Rule Change To Amend the Schedule of Fees To Expand the Broker Marketing Alliance To Include Non-Broker-Dealers With Regard to the Enhanced Sentiment Market Data Offering https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18975.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18975.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18975 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18975.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASD Members Using ITS/CAES, Brut and Inet https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18959.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18959.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18959 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18959.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Allow the Inventory Management System To Accept Real-Time and Late Affirmed Trades From Omgeo https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18958.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18958.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18958 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18958.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rule 11890(b)(2) To Allow NASD To Designate Officers To Take Action Under the Rule With Respect to Clearly Erroneous Transactions https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18957.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18957.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18957 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18957.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18956.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18956.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18956 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18956.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding the Initial and Continued Listing and Trading of Options on Units That Represent Interests in a Trust That Holds a Specified Non-U.S. Currency https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18955.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18955.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18955 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18955.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Equities and Exchange Traded Fund Shares (“ETFs”) Fee Schedule https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18954.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18954.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18954 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18954.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Certain Licensing Fees https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18953.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18953.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18953 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18953.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Eliminating the Post-Trade Allocation Feature in ANTE https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18952.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18952.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18952 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18952.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18950.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18950.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18950 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18950.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify its Rules To Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions To Improve Liquidity and Minimize Risk for its Members https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18948.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18948.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18948 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18948.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a Fee Schedule Under Rule 16.1(a) and 16.1(c) for Transactions Executed Through the Intermarket Trading System Plan and/or the Plan for the Purpose of Creating and Operating an Intermarket Communications Linkage https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18947.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18947.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18947 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18947.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Amendments to NYSE Rule 607 Concerning the Use of the Random Selection Method To Appoint Arbitrators in Matters Not Involving Customers https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18945.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18945.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18945 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18945.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PACE Equity Transaction Charge and NMS Linkage https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18944.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18944.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18944 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18944.pdf