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?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2020-10-21T12:47:39-07:00 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/2006/11/29/E6-20227.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto To Allow Certain Institutional Customers To Elect Not To Receive Account Statements 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20227 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20227.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20219.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to the Penny Pilot Program 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20219 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20219.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20218.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Rule Regarding Third-Party Routing Services in Respect of Orders Entered Into NSX BLADE 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20218 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20218.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20217.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Allow Certain Institutional Customers To Elect Not To Receive Account Statements 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20217 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20217.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20216.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20216 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20216.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20215.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto To Reflect Nasdaq's Complete Separation From the NASD Upon the NASDAQ Stock Market LLC's Operation as a National Securities Exchange for Non-Nasdaq Exchange-Listed Securities 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20215 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20215.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20214.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Adoption of a Hybrid Electronic Quoting Fee 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20214 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20214.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20213.html Notice - Van Eck Worldwide Insurance Trust and Van Eck Associates Corporation; Notice of Application 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20213 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20213.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20212.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Assignments in Options Based on Root Symbol 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20212 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20212.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20211.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to a Six-Month Pilot Program To Adopt New Initial and Continued Listing Standards 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20211 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20211.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20210.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Administrative Provisions of the Rules of the Government Securities Division and the Mortgage-Backed Securities Division 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20210 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20210.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20209.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Accelerate the Expiration Date of American-Style Equity Options That Have Been Adjusted To Call for Cash-Only Delivery 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20209 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20209.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/06-9474.html Notice - Sunshine Act Meetings 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 06-9474 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/06-9474.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/06-9473.html Notice - Sunshine Act Meeting 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 06-9473 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/06-9473.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20134.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change to Modify an Aspect of the Definition of Independent Director 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20134 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20134.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20133.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to NYSE Rule 1300 (Gold Shares) and NYSE Rule 51 (Hours of Business) 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20133 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20133.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20132.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Existing BSE Fee Schedules 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20132 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20132.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20130.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto To List and Trade Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the MSCI India Equities Index 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20130 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20130.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20128.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Intermarket Sweep Orders in Nasdaq Securities 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20128 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20128.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20127.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New Hours of Business on the Exchange's Foreign Currency Options Floor 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20127 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20127.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20068.html Notice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing of Amendment Nos. 3, 4, and 5 to a Proposed Rule Change Relating to Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20068 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20068.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20055.html Notice - Proposed Collection; Comment Request 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20055 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20055.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20054.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Relating to CBOE's Retail Automatic Execution System 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20054 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20054.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20053.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Definition of Fund Share 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20053 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20053.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20050.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cash-Settled Interest Rate Futures 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20050 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20050.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20049.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Definition of Fund Share and Options on Commodity Pool ETFs 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20049 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20049.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/06-9426.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend CBOE Rule 8.3 Relating to the Appointment Costs of Certain Classes 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 06-9426 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/06-9426.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19984.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating To Returning Excess Clearing Fund Collateral 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 E6-19984 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19984.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19983.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement a Quote Mitigation Plan 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 E6-19983 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19983.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19982.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding Allocation of Stocks to CBSX DPMs 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 E6-19982 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19982.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19981.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 E6-19981 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19981.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19980.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Establish Fees for the Receipt and Use of Proprietary Market Data Disseminated by the Exchange 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 E6-19980 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19980.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19979.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement a Pilot Program To Trade Certain Options in Pennies 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 E6-19979 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19979.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19978.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendments No. 1, 2, and 3 Thereto Relating to the Listing and Trading of Principal Protected Notes Linked to the Dow Jones-AIG ExEnergy Sub-Index 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 E6-19978 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19978.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19976.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Codify a Fee Schedule for the Sale of Open and Close Volume Data on CBOE Listed Options by Market Data Express, LLC 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 E6-19976 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19976.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19967.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New NASD Rule 7000C Series Relating to Fees and Credits for the Trade Reporting Facility Established by NASD and the National Stock Exchange (NASD/NSX TRF) 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 E6-19967 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19967.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19966.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 To Extend the Hours of Operation of the NASD/Nasdaq TRF, the OTC Reporting Facility and the Trade Reporting of Non-Nasdaq Exchange-Listed Securities Under the NASD Rule 6400 Series 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 E6-19966 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19966.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19961.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Amend Its Certificate of Organization To Provide for the Issuance of an Additional 500,000 Shares of DTC Series A Preferred Stock 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 E6-19961 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19961.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/06-9423.html Notice - Sunshine Act Meeting 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 06-9423 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/06-9423.pdf https://regulations.justia.com/regulations/fedreg/2006/11/24/E6-19850.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Rules of Its Mortgage-Backed Securities Division Regarding Membership Requirements for Unregistered Investment Pools 2006-11-24T00:00:00-08:00 2006-11-24T00:00:00-08:00 E6-19850 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-24/pdf/E6-19850.pdf https://regulations.justia.com/regulations/fedreg/2006/11/24/E6-19847.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to the Listing and Trading of the DB Multi-Sector Commodity Trust 2006-11-24T00:00:00-08:00 2006-11-24T00:00:00-08:00 E6-19847 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-24/pdf/E6-19847.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19740.html Proposed Rule - Covered Securities Pursuant to Section 18 of the Securities Act of 1933 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19740 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19740.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19739.html Notice - The GMS Group, LLC, et al. 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19739 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19739.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19738.html Notice - Order Granting the New York Stock Exchange Inc.'s (n/k/a the New York Stock Exchange LLC) Application for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19738 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19738.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19737.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Related to Complex Order Trading 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19737 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19737.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19736.html Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Trade Recording and Value Fees and NMS Linkage 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19736 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19736.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19735.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Procedures for Executing Complex Options Orders in Open Outcry 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19735 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19735.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19734.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Relating to Customer Fees for Certain Complex Orders 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19734 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19734.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19733.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendments No. 1 and 2 Thereto To Permit Trading Pursuant to Unlisted Trading Privileges of streetTRACKS Gold Shares and To Establish Trading Rules to Trade, Pursuant to Unlisted Trading Privileges, Certain Securities Whose Value Is Linked to the Value of One or More Commodities 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19733 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19733.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19732.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc; Order Approving Proposed Rule Change Relating to Option Position and Exercise Limits and Position Reporting Obligations; and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19732 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19732.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19731.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto To Implement a Fee Schedule Under NSX Rule 16.1(a) and 16.1(c) for Transactions Executed Through NSTS and To Modify a Fee Schedule for ITS Transactions 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19731 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19731.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19730.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 185A, Intermarket Sweep Orders-Temporary 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19730 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19730.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19729.html Notice - Proposed Collection; Comment Request 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19729 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19729.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19728.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to Establish a Two-Year Pilot Program Exempting from TRACE Reporting Transactions in Bonds Traded on a Facility of NYSE 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19728 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19728.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19727.html 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; Correction and Extension of Comment Period 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19727 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19727.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19726.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of Quarterly Index Expiration or QIX 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19726 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19726.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19725.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Regarding Quarterly Options Series 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19725 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19725.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19723.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Establish Rules for the Trading of Unregistered Corporate Debt Securities 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 E6-19723 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19723.pdf https://regulations.justia.com/regulations/fedreg/2006/11/22/06-9332.html Notice - In the Matter of Digital Gas, Inc.; Order of Suspension of Trading 2006-11-22T00:00:00-08:00 2006-11-22T00:00:00-08:00 06-9332 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/06-9332.pdf https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19666.html Notice - HealthShares, Inc., et al.; Notice of Application 2006-11-21T00:00:00-08:00 2006-11-21T00:00:00-08:00 E6-19666 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19666.pdf https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19623.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of Core Session for XLE 2006-11-21T00:00:00-08:00 2006-11-21T00:00:00-08:00 E6-19623 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19623.pdf https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19622.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Fees and Charges 2006-11-21T00:00:00-08:00 2006-11-21T00:00:00-08:00 E6-19622 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19622.pdf https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19621.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges 2006-11-21T00:00:00-08:00 2006-11-21T00:00:00-08:00 E6-19621 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19621.pdf https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19620.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, To Modify Certain Fees for Listing on the Nasdaq Stock Market and To Make Available Products and Services Intended To Assist Companies With Their Disclosure and Regulatory Obligations, Shareholder Communications, and Other Corporate Objectives 2006-11-21T00:00:00-08:00 2006-11-21T00:00:00-08:00 E6-19620 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19620.pdf https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19619.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Amended Filing of Proposed Rule Change To Revise Option Adjustment Methodology 2006-11-21T00:00:00-08:00 2006-11-21T00:00:00-08:00 E6-19619 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19619.pdf https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19548.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Clarifying Its Payment for Order Flow Program as It Relates to Order Flow Providers 2006-11-20T00:00:00-08:00 2006-11-20T00:00:00-08:00 E6-19548 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19548.pdf https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19547.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 116 (“Stop” Constitutes Guarantee) 2006-11-20T00:00:00-08:00 2006-11-20T00:00:00-08:00 E6-19547 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19547.pdf https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19546.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval To Amendment No. 2 To Amend NASD Interpretive Material 2210-4 To Require Certain Member Firms to Provide a Hyperlink to the NASD's Internet Home Page 2006-11-20T00:00:00-08:00 2006-11-20T00:00:00-08:00 E6-19546 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19546.pdf https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19537.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to a Proposed Rule Change Relating to an NASD Trade Reporting Facility Established in Conjunction With the National Stock Exchange, Inc.; Corrrection 2006-11-20T00:00:00-08:00 2006-11-20T00:00:00-08:00 E6-19537 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19537.pdf https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19520.html Notice - Submissions for OMB Review; Comment Request 2006-11-20T00:00:00-08:00 2006-11-20T00:00:00-08:00 E6-19520 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19520.pdf https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19518.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated To Increase the Class Quoting Limit in the Option Class Research in Motion 2006-11-20T00:00:00-08:00 2006-11-20T00:00:00-08:00 E6-19518 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19518.pdf https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19517.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clarifying and Technical Changes to NSCC's Rules Regarding ACATS Fund/SERV 2006-11-20T00:00:00-08:00 2006-11-20T00:00:00-08:00 E6-19517 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19517.pdf https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19516.html 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 2006-11-20T00:00:00-08:00 2006-11-20T00:00:00-08:00 E6-19516 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19516.pdf https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19512.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Adoption of a Penny Quoting Pilot Program 2006-11-20T00:00:00-08:00 2006-11-20T00:00:00-08:00 E6-19512 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19512.pdf https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19441.html Notice - Allegiant Funds, et al.; Notice of Application 2006-11-17T00:00:00-08:00 2006-11-17T00:00:00-08:00 E6-19441 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19441.pdf https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19424.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 To Modify the Rules of the Nasdaq Global Select Market 2006-11-17T00:00:00-08:00 2006-11-17T00:00:00-08:00 E6-19424 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19424.pdf https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19422.html Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Order Granting Approval of a Proposed Rule Change Relating to the Definition of a Margin Member 2006-11-17T00:00:00-08:00 2006-11-17T00:00:00-08:00 E6-19422 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19422.pdf https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19419.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options 2006-11-17T00:00:00-08:00 2006-11-17T00:00:00-08:00 E6-19419 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19419.pdf https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19418.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendments No. 1, 2 and 3 Thereto Relating to the Criteria for Securities that Underlie Options Traded on the Exchange 2006-11-17T00:00:00-08:00 2006-11-17T00:00:00-08:00 E6-19418 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19418.pdf https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19415.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto Relating to Generic Listing Standards for Series of Portfolio Depositary Receipts and Index Fund Shares Based on International or Global Indexes 2006-11-17T00:00:00-08:00 2006-11-17T00:00:00-08:00 E6-19415 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19415.pdf https://regulations.justia.com/regulations/fedreg/2006/11/17/06-9269.html Notice - Sunshine Act Meeting 2006-11-17T00:00:00-08:00 2006-11-17T00:00:00-08:00 06-9269 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/06-9269.pdf https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19382.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Market Opening Pilot Program for the Boston Options Exchange Facility 2006-11-16T00:00:00-08:00 2006-11-16T00:00:00-08:00 E6-19382 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19382.pdf https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19381.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Exchange's Open Outcry Crossing Rule 2006-11-16T00:00:00-08:00 2006-11-16T00:00:00-08:00 E6-19381 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19381.pdf https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19380.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Fee on Orders in Equities and Exchange Traded Funds Routed From the Exchange and Executed in Another Market Pursuant to the Linkage Plan 2006-11-16T00:00:00-08:00 2006-11-16T00:00:00-08:00 E6-19380 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19380.pdf https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19379.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an Automated Process for Opening Quotations of ITS/CAES Market Makers 2006-11-16T00:00:00-08:00 2006-11-16T00:00:00-08:00 E6-19379 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19379.pdf https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19378.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Orders 2006-11-16T00:00:00-08:00 2006-11-16T00:00:00-08:00 E6-19378 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19378.pdf https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19364.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 To List and Trade Two Series of Commodity-Linked Securities of Wachovia Corporation 2006-11-16T00:00:00-08:00 2006-11-16T00:00:00-08:00 E6-19364 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19364.pdf https://regulations.justia.com/regulations/fedreg/2006/11/15/E6-19238.html Notice - Old Mutual Advisor Funds II, et al. 2006-11-15T00:00:00-08:00 2006-11-15T00:00:00-08:00 E6-19238 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-15/pdf/E6-19238.pdf https://regulations.justia.com/regulations/fedreg/2006/11/15/E6-19207.html Notice - Putnam Diversified Income Trust, et al.; Notice of Application 2006-11-15T00:00:00-08:00 2006-11-15T00:00:00-08:00 E6-19207 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-15/pdf/E6-19207.pdf https://regulations.justia.com/regulations/fedreg/2006/11/15/E6-19206.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exempt Certain Cross Transactions From NASDAQ Rule 3350(a) 2006-11-15T00:00:00-08:00 2006-11-15T00:00:00-08:00 E6-19206 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-15/pdf/E6-19206.pdf https://regulations.justia.com/regulations/fedreg/2006/11/14/E6-19167.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to a Proposed Rule Change Relating to an NASD Trade Reporting Facility Established in Conjunction With the National Stock Exchange, Inc. 2006-11-14T00:00:00-08:00 2006-11-14T00:00:00-08:00 E6-19167 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-14/pdf/E6-19167.pdf https://regulations.justia.com/regulations/fedreg/2006/11/14/E6-19165.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses and the Deletion of NYSE Rule 300T 2006-11-14T00:00:00-08:00 2006-11-14T00:00:00-08:00 E6-19165 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-14/pdf/E6-19165.pdf https://regulations.justia.com/regulations/fedreg/2006/11/14/E6-19120.html Notice - Order Granting National Securities Exchanges a Limited Exemption From Rule 612 of Regulation NMS Under the Securities Exchange Act of 1934 To Permit Acceptance by Exchanges of Certain Sub-Penny Orders 2006-11-14T00:00:00-08:00 2006-11-14T00:00:00-08:00 E6-19120 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-14/pdf/E6-19120.pdf https://regulations.justia.com/regulations/fedreg/2006/11/14/06-9213.html Notice - Sunshine Act Meeting 2006-11-14T00:00:00-08:00 2006-11-14T00:00:00-08:00 06-9213 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-14/pdf/06-9213.pdf https://regulations.justia.com/regulations/fedreg/2006/11/13/E6-19075.html Notice - Annuity Investors Life Insurance Company, et al. 2006-11-13T00:00:00-08:00 2006-11-13T00:00:00-08:00 E6-19075 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-13/pdf/E6-19075.pdf https://regulations.justia.com/regulations/fedreg/2006/11/13/E6-19063.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extending the Time Period by Which the Exchange Will Amend the NASD-NYSE Arca Options Agreement Pursuant to Rule 17d-2 2006-11-13T00:00:00-08:00 2006-11-13T00:00:00-08:00 E6-19063 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-13/pdf/E6-19063.pdf https://regulations.justia.com/regulations/fedreg/2006/11/13/06-9189.html Notice - In the Matter of FuelNation, Inc. and Sytron, Inc.; Order of Suspension of Trading 2006-11-13T00:00:00-08:00 2006-11-13T00:00:00-08:00 06-9189 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-13/pdf/06-9189.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18978.html 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 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18978 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18978.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18977.html 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 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18977 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18977.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18975.html 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 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18975 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18975.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18959.html 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 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18959 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18959.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18958.html 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 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18958 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18958.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18957.html 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 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18957 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18957.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18956.html 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 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18956 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18956.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18955.html 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 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18955 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18955.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18954.html 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 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18954 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18954.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18953.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Certain Licensing Fees 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18953 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18953.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18952.html 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 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18952 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18952.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18950.html Notice - Submission for OMB Review; Comment Request 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18950 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18950.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18948.html 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 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18948 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18948.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18947.html 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 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18947 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18947.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18945.html 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 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18945 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18945.pdf https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18944.html 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 2006-11-09T00:00:00-08:00 2006-11-09T00:00:00-08:00 E6-18944 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18944.pdf https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18890.html Notice - Fidelity Management & Research Company, et al. 2006-11-08T00:00:00-08:00 2006-11-08T00:00:00-08:00 E6-18890 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18890.pdf https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18830.html Notice - Proposed Collections; Comment Request 2006-11-08T00:00:00-08:00 2006-11-08T00:00:00-08:00 E6-18830 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18830.pdf https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18829.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Revision of Certain Equity Transaction Fees 2006-11-08T00:00:00-08:00 2006-11-08T00:00:00-08:00 E6-18829 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18829.pdf https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18815.html Rule - Amendments to the Tender Offer Best-Price Rules 2006-11-08T00:00:00-08:00 2006-11-08T00:00:00-08:00 E6-18815 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18815.pdf https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18803.html Notice - Submission for OMB Review; Comment Request 2006-11-08T00:00:00-08:00 2006-11-08T00:00:00-08:00 E6-18803 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18803.pdf https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18798.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of a Proposed Rule Change Relating to TRACE Requirements in Connection With the Exercise or Settlement of Options, Swaps, or Similar Instruments 2006-11-08T00:00:00-08:00 2006-11-08T00:00:00-08:00 E6-18798 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18798.pdf https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18795.html Notice - Submission for OMB Review; Comment Request 2006-11-08T00:00:00-08:00 2006-11-08T00:00:00-08:00 E6-18795 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18795.pdf https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18794.html Notice - Submission for OMB Review; Comment Request 2006-11-08T00:00:00-08:00 2006-11-08T00:00:00-08:00 E6-18794 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18794.pdf https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18793.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Duration of CBOE Rule 6.45A(b) Pertaining to Orders Represented in Open Outcry 2006-11-08T00:00:00-08:00 2006-11-08T00:00:00-08:00 E6-18793 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18793.pdf https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18792.html Notice - Submission for OMB Review; Comment Request 2006-11-08T00:00:00-08:00 2006-11-08T00:00:00-08:00 E6-18792 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18792.pdf https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18791.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include an Additional 32 Securities in the Current Exchange Pilot Operating in Conjunction With the Implementation of Hybrid Market Phase 3 2006-11-08T00:00:00-08:00 2006-11-08T00:00:00-08:00 E6-18791 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18791.pdf https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18790.html Notice - Submission for OMB Review; Comment Request 2006-11-08T00:00:00-08:00 2006-11-08T00:00:00-08:00 E6-18790 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18790.pdf https://regulations.justia.com/regulations/fedreg/2006/11/07/E6-18696.html Notice - Proposed Collection; Comment Request 2006-11-07T00:00:00-08:00 2006-11-07T00:00:00-08:00 E6-18696 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-07/pdf/E6-18696.pdf https://regulations.justia.com/regulations/fedreg/2006/11/07/E6-18695.html Notice - Proposed Collections; Comment Request 2006-11-07T00:00:00-08:00 2006-11-07T00:00:00-08:00 E6-18695 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-07/pdf/E6-18695.pdf https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18635.html Notice - Order Exempting Certain Sub-Penny Trade-Throughs From Rule 611 of Regulation NMS Under the Securities Exchange Act of 1934 2006-11-06T00:00:00-08:00 2006-11-06T00:00:00-08:00 E6-18635 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18635.pdf https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18634.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Request to Extend the Pilot Operating During the Exchange's Implementation of NYSE Hybrid Market Phase 3 Until November 30, 2006 2006-11-06T00:00:00-08:00 2006-11-06T00:00:00-08:00 E6-18634 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18634.pdf https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18633.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Revision of Certain Equity Transaction and Market Data Revenue Sharing Credits 2006-11-06T00:00:00-08:00 2006-11-06T00:00:00-08:00 E6-18633 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18633.pdf https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18632.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Market Maker Transaction Fees and Credits 2006-11-06T00:00:00-08:00 2006-11-06T00:00:00-08:00 E6-18632 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18632.pdf https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18631.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to Modify the Voluntary Withdrawal Procedures of Securities From Listing on the Exchange and, for Dually-Listed Issuers Voluntarily Withdrawing Listed Securities on the Exchange, To Eliminate the Requirement To Submit Resolutions by Their Board of Directors 2006-11-06T00:00:00-08:00 2006-11-06T00:00:00-08:00 E6-18631 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18631.pdf https://regulations.justia.com/regulations/fedreg/2006/11/03/E6-18608.html Notice - Submission for OMB Review; Comment Request 2006-11-03T00:00:00-08:00 2006-11-03T00:00:00-08:00 E6-18608 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-03/pdf/E6-18608.pdf https://regulations.justia.com/regulations/fedreg/2006/11/03/E6-18607.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment to Rule A-6, on Committees of the Board 2006-11-03T00:00:00-08:00 2006-11-03T00:00:00-08:00 E6-18607 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-03/pdf/E6-18607.pdf https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18484.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Cap Registered Options Trader and Specialist Equity Option Comparison and Transaction Charges When Certain Requirements Are Met 2006-11-02T00:00:00-08:00 2006-11-02T00:00:00-08:00 E6-18484 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18484.pdf https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18481.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits 2006-11-02T00:00:00-08:00 2006-11-02T00:00:00-08:00 E6-18481 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18481.pdf https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18478.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to MACRO Tradeable Shares 2006-11-02T00:00:00-08:00 2006-11-02T00:00:00-08:00 E6-18478 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18478.pdf https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18474.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2006-11-02T00:00:00-08:00 2006-11-02T00:00:00-08:00 E6-18474 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18474.pdf https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18451.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Relating to U.S. Dollar-Settled Foreign Currency Options 2006-11-02T00:00:00-08:00 2006-11-02T00:00:00-08:00 E6-18451 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18451.pdf https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18450.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 122 (Orders With More Than One Broker) Until the Availability of Full d-Quote Functionality in a Particular Security or February 5, 2007, Whichever Comes First 2006-11-02T00:00:00-08:00 2006-11-02T00:00:00-08:00 E6-18450 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18450.pdf https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18449.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Amend NYSE Arca Equities, Inc.'s Clearly Erroneous Executions Rule To Include an Appeal Fee for the NYSE Arca Marketplace (f/k/a the Archipelago Exchange) 2006-11-02T00:00:00-08:00 2006-11-02T00:00:00-08:00 E6-18449 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18449.pdf https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18361.html Notice - Submission for OMB Review; Comment Request 2006-11-01T00:00:00-08:00 2006-11-01T00:00:00-08:00 E6-18361 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18361.pdf https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18355.html Notice - Submission for OMB Review; Comment Request 2006-11-01T00:00:00-08:00 2006-11-01T00:00:00-08:00 E6-18355 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18355.pdf https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18350.html Notice - Submission for OMB Review; Comment Request 2006-11-01T00:00:00-08:00 2006-11-01T00:00:00-08:00 E6-18350 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18350.pdf https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18349.html Notice - AIG SunAmerica Life Assurance Company and Variable Annuity Account Seven, Notice of Application 2006-11-01T00:00:00-08:00 2006-11-01T00:00:00-08:00 E6-18349 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18349.pdf https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18348.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Require Members To File Regulatory Notices With NASD Electronically 2006-11-01T00:00:00-08:00 2006-11-01T00:00:00-08:00 E6-18348 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18348.pdf