Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2006/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-19T12:51:42-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20227.htmlNotice - 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 Statements2006-11-29T00:00:00-08:002006-11-29T00:00:00-08:00E6-20227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20227.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20219.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to the Penny Pilot Program2006-11-29T00:00:00-08:002006-11-29T00:00:00-08:00E6-20219Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20219.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20218.htmlNotice - 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 BLADE2006-11-29T00:00:00-08:002006-11-29T00:00:00-08:00E6-20218Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20218.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20217.htmlNotice - 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 Statements2006-11-29T00:00:00-08:002006-11-29T00:00:00-08:00E6-20217Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20217.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20216.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2006-11-29T00:00:00-08:002006-11-29T00:00:00-08:00E6-20216Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20216.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20215.htmlNotice - 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 Securities2006-11-29T00:00:00-08:002006-11-29T00:00:00-08:00E6-20215Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20215.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20214.htmlNotice - 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 Fee2006-11-29T00:00:00-08:002006-11-29T00:00:00-08:00E6-20214Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20214.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20213.htmlNotice - Van Eck Worldwide Insurance Trust and Van Eck Associates Corporation; Notice of Application2006-11-29T00:00:00-08:002006-11-29T00:00:00-08:00E6-20213Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20213.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20212.htmlNotice - 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 Symbol2006-11-29T00:00:00-08:002006-11-29T00:00:00-08:00E6-20212Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20212.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20211.htmlNotice - 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 Standards2006-11-29T00:00:00-08:002006-11-29T00:00:00-08:00E6-20211Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20211.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20210.htmlNotice - 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 Division2006-11-29T00:00:00-08:002006-11-29T00:00:00-08:00E6-20210Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20210.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20209.htmlNotice - 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 Delivery2006-11-29T00:00:00-08:002006-11-29T00:00:00-08:00E6-20209Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20209.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/29/06-9474.htmlNotice - Sunshine Act Meetings2006-11-29T00:00:00-08:002006-11-29T00:00:00-08:0006-9474Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/06-9474.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/29/06-9473.htmlNotice - Sunshine Act Meeting2006-11-29T00:00:00-08:002006-11-29T00:00:00-08:0006-9473Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/06-9473.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20134.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change to Modify an Aspect of the Definition of Independent Director2006-11-28T00:00:00-08:002006-11-28T00:00:00-08:00E6-20134Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20134.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20133.htmlNotice - 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)2006-11-28T00:00:00-08:002006-11-28T00:00:00-08:00E6-20133Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20133.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20132.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Existing BSE Fee Schedules2006-11-28T00:00:00-08:002006-11-28T00:00:00-08:00E6-20132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20132.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20130.htmlNotice - 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 Index2006-11-28T00:00:00-08:002006-11-28T00:00:00-08:00E6-20130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20130.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20128.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Intermarket Sweep Orders in Nasdaq Securities2006-11-28T00:00:00-08:002006-11-28T00:00:00-08:00E6-20128Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20128.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20127.htmlNotice - 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 Floor2006-11-28T00:00:00-08:002006-11-28T00:00:00-08:00E6-20127Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20127.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20068.htmlNotice - 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 Securities2006-11-28T00:00:00-08:002006-11-28T00:00:00-08:00E6-20068Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20068.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20055.htmlNotice - Proposed Collection; Comment Request2006-11-28T00:00:00-08:002006-11-28T00:00:00-08:00E6-20055Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20055.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20054.htmlNotice - 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 System2006-11-28T00:00:00-08:002006-11-28T00:00:00-08:00E6-20054Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20054.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20053.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Definition of Fund Share2006-11-28T00:00:00-08:002006-11-28T00:00:00-08:00E6-20053Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20053.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20050.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cash-Settled Interest Rate Futures2006-11-28T00:00:00-08:002006-11-28T00:00:00-08:00E6-20050Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20050.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20049.htmlNotice - 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 ETFs2006-11-28T00:00:00-08:002006-11-28T00:00:00-08:00E6-20049Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20049.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/28/06-9426.htmlNotice - 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 Classes2006-11-28T00:00:00-08:002006-11-28T00:00:00-08:0006-9426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/06-9426.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19984.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating To Returning Excess Clearing Fund Collateral2006-11-27T00:00:00-08:002006-11-27T00:00:00-08:00E6-19984Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19984.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19983.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement a Quote Mitigation Plan2006-11-27T00:00:00-08:002006-11-27T00:00:00-08:00E6-19983Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19983.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19982.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding Allocation of Stocks to CBSX DPMs2006-11-27T00:00:00-08:002006-11-27T00:00:00-08:00E6-19982Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19982.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19981.htmlNotice - 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 Credits2006-11-27T00:00:00-08:002006-11-27T00:00:00-08:00E6-19981Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19981.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19980.htmlNotice - 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 Exchange2006-11-27T00:00:00-08:002006-11-27T00:00:00-08:00E6-19980Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19980.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19979.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement a Pilot Program To Trade Certain Options in Pennies2006-11-27T00:00:00-08:002006-11-27T00:00:00-08:00E6-19979Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19979.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19978.htmlNotice - 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-Index2006-11-27T00:00:00-08:002006-11-27T00:00:00-08:00E6-19978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19978.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19976.htmlNotice - 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, LLC2006-11-27T00:00:00-08:002006-11-27T00:00:00-08:00E6-19976Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19976.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19967.htmlNotice - 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)2006-11-27T00:00:00-08:002006-11-27T00:00:00-08:00E6-19967Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19967.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19966.htmlNotice - 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 Series2006-11-27T00:00:00-08:002006-11-27T00:00:00-08:00E6-19966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19966.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19961.htmlNotice - 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 Stock2006-11-27T00:00:00-08:002006-11-27T00:00:00-08:00E6-19961Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19961.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/27/06-9423.htmlNotice - Sunshine Act Meeting2006-11-27T00:00:00-08:002006-11-27T00:00:00-08:0006-9423Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/06-9423.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/24/E6-19850.htmlNotice - 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 Pools2006-11-24T00:00:00-08:002006-11-24T00:00:00-08:00E6-19850Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-24/pdf/E6-19850.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/24/E6-19847.htmlNotice - 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 Trust2006-11-24T00:00:00-08:002006-11-24T00:00:00-08:00E6-19847Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-24/pdf/E6-19847.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19740.htmlProposed Rule - Covered Securities Pursuant to Section 18 of the Securities Act of 19332006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19740Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19740.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19739.htmlNotice - The GMS Group, LLC, et al.2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19739Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19739.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19738.htmlNotice - 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 19342006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19738Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19738.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19737.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Related to Complex Order Trading2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19737Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19737.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19736.htmlNotice - 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 Linkage2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19736Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19736.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19735.htmlNotice - 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 Outcry2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19735Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19735.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19734.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Relating to Customer Fees for Certain Complex Orders2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19734Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19734.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19733.htmlNotice - 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 Commodities2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19733Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19733.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19732.htmlNotice - 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 Thereto2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19732Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19732.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19731.htmlNotice - 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 Transactions2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19731Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19731.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19730.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 185A, Intermarket Sweep Orders-Temporary2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19730Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19730.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19729.htmlNotice - Proposed Collection; Comment Request2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19729Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19729.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19728.htmlNotice - 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 NYSE2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19728Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19728.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19727.htmlNotice - 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 Period2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19727Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19727.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19726.htmlNotice - 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 QIX2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19726Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19726.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19725.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Regarding Quarterly Options Series2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19725Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19725.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19723.htmlNotice - 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 Securities2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:00E6-19723Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19723.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/22/06-9332.htmlNotice - In the Matter of Digital Gas, Inc.; Order of Suspension of Trading2006-11-22T00:00:00-08:002006-11-22T00:00:00-08:0006-9332Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/06-9332.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19666.htmlNotice - HealthShares, Inc., et al.; Notice of Application2006-11-21T00:00:00-08:002006-11-21T00:00:00-08:00E6-19666Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19666.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19623.htmlNotice - 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 XLE2006-11-21T00:00:00-08:002006-11-21T00:00:00-08:00E6-19623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19623.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19622.htmlNotice - 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 Charges2006-11-21T00:00:00-08:002006-11-21T00:00:00-08:00E6-19622Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19622.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19621.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges2006-11-21T00:00:00-08:002006-11-21T00:00:00-08:00E6-19621Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19621.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19620.htmlNotice - 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 Objectives2006-11-21T00:00:00-08:002006-11-21T00:00:00-08:00E6-19620Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19620.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19619.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Amended Filing of Proposed Rule Change To Revise Option Adjustment Methodology2006-11-21T00:00:00-08:002006-11-21T00:00:00-08:00E6-19619Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19619.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19548.htmlNotice - 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 Providers2006-11-20T00:00:00-08:002006-11-20T00:00:00-08:00E6-19548Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19548.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19547.htmlNotice - 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)2006-11-20T00:00:00-08:002006-11-20T00:00:00-08:00E6-19547Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19547.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19546.htmlNotice - 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 Page2006-11-20T00:00:00-08:002006-11-20T00:00:00-08:00E6-19546Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19546.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19537.htmlNotice - 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.; Corrrection2006-11-20T00:00:00-08:002006-11-20T00:00:00-08:00E6-19537Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19537.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19520.htmlNotice - Submissions for OMB Review; Comment Request2006-11-20T00:00:00-08:002006-11-20T00:00:00-08:00E6-19520Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19520.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19518.htmlNotice - 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 Motion2006-11-20T00:00:00-08:002006-11-20T00:00:00-08:00E6-19518Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19518.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19517.htmlNotice - 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/SERV2006-11-20T00:00:00-08:002006-11-20T00:00:00-08:00E6-19517Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19517.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19516.htmlNotice - 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 Inet2006-11-20T00:00:00-08:002006-11-20T00:00:00-08:00E6-19516Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19516.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19512.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Adoption of a Penny Quoting Pilot Program2006-11-20T00:00:00-08:002006-11-20T00:00:00-08:00E6-19512Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19512.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19441.htmlNotice - Allegiant Funds, et al.; Notice of Application2006-11-17T00:00:00-08:002006-11-17T00:00:00-08:00E6-19441Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19441.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19424.htmlNotice - 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 Market2006-11-17T00:00:00-08:002006-11-17T00:00:00-08:00E6-19424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19424.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19422.htmlNotice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Order Granting Approval of a Proposed Rule Change Relating to the Definition of a Margin Member2006-11-17T00:00:00-08:002006-11-17T00:00:00-08:00E6-19422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19422.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19419.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options2006-11-17T00:00:00-08:002006-11-17T00:00:00-08:00E6-19419Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19419.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19418.htmlNotice - 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 Exchange2006-11-17T00:00:00-08:002006-11-17T00:00:00-08:00E6-19418Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19418.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19415.htmlNotice - 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 Indexes2006-11-17T00:00:00-08:002006-11-17T00:00:00-08:00E6-19415Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19415.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/17/06-9269.htmlNotice - Sunshine Act Meeting2006-11-17T00:00:00-08:002006-11-17T00:00:00-08:0006-9269Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/06-9269.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19382.htmlNotice - 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 Facility2006-11-16T00:00:00-08:002006-11-16T00:00:00-08:00E6-19382Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19382.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19381.htmlNotice - 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 Rule2006-11-16T00:00:00-08:002006-11-16T00:00:00-08:00E6-19381Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19381.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19380.htmlNotice - 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 Plan2006-11-16T00:00:00-08:002006-11-16T00:00:00-08:00E6-19380Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19380.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19379.htmlNotice - 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 Makers2006-11-16T00:00:00-08:002006-11-16T00:00:00-08:00E6-19379Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19379.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19378.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Orders2006-11-16T00:00:00-08:002006-11-16T00:00:00-08:00E6-19378Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19378.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19364.htmlNotice - 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 Corporation2006-11-16T00:00:00-08:002006-11-16T00:00:00-08:00E6-19364Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19364.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/15/E6-19238.htmlNotice - Old Mutual Advisor Funds II, et al.2006-11-15T00:00:00-08:002006-11-15T00:00:00-08:00E6-19238Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-15/pdf/E6-19238.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/15/E6-19207.htmlNotice - Putnam Diversified Income Trust, et al.; Notice of Application2006-11-15T00:00:00-08:002006-11-15T00:00:00-08:00E6-19207Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-15/pdf/E6-19207.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/15/E6-19206.htmlNotice - 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)2006-11-15T00:00:00-08:002006-11-15T00:00:00-08:00E6-19206Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-15/pdf/E6-19206.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/14/E6-19167.htmlNotice - 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.2006-11-14T00:00:00-08:002006-11-14T00:00:00-08:00E6-19167Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-14/pdf/E6-19167.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/14/E6-19165.htmlNotice - 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 300T2006-11-14T00:00:00-08:002006-11-14T00:00:00-08:00E6-19165Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-14/pdf/E6-19165.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/14/E6-19120.htmlNotice - 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 Orders2006-11-14T00:00:00-08:002006-11-14T00:00:00-08:00E6-19120Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-14/pdf/E6-19120.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/14/06-9213.htmlNotice - Sunshine Act Meeting2006-11-14T00:00:00-08:002006-11-14T00:00:00-08:0006-9213Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-14/pdf/06-9213.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/13/E6-19075.htmlNotice - Annuity Investors Life Insurance Company, et al.2006-11-13T00:00:00-08:002006-11-13T00:00:00-08:00E6-19075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-13/pdf/E6-19075.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/13/E6-19063.htmlNotice - 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-22006-11-13T00:00:00-08:002006-11-13T00:00:00-08:00E6-19063Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-13/pdf/E6-19063.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/13/06-9189.htmlNotice - In the Matter of FuelNation, Inc. and Sytron, Inc.; Order of Suspension of Trading2006-11-13T00:00:00-08:002006-11-13T00:00:00-08:0006-9189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-13/pdf/06-9189.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18978.htmlNotice - 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 Funds2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18978.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18977.htmlNotice - 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 Securities2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18977Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18977.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18975.htmlNotice - 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 Offering2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18975Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18975.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18959.htmlNotice - 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 Inet2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18959Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18959.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18958.htmlNotice - 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 Omgeo2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18958Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18958.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18957.htmlNotice - 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 Transactions2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18957Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18957.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18956.htmlNotice - 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 Changes2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18956Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18956.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18955.htmlNotice - 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. Currency2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18955Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18955.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18954.htmlNotice - 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 Schedule2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18954Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18954.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18953.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Certain Licensing Fees2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18953Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18953.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18952.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Eliminating the Post-Trade Allocation Feature in ANTE2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18952Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18952.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18950.htmlNotice - Submission for OMB Review; Comment Request2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18950Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18950.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18948.htmlNotice - 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 Members2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18948Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18948.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18947.htmlNotice - 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 Linkage2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18947Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18947.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18945.htmlNotice - 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 Customers2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18945Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18945.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18944.htmlNotice - 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 Linkage2006-11-09T00:00:00-08:002006-11-09T00:00:00-08:00E6-18944Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18944.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18890.htmlNotice - Fidelity Management & Research Company, et al.2006-11-08T00:00:00-08:002006-11-08T00:00:00-08:00E6-18890Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18890.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18830.htmlNotice - Proposed Collections; Comment Request2006-11-08T00:00:00-08:002006-11-08T00:00:00-08:00E6-18830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18830.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18829.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Revision of Certain Equity Transaction Fees2006-11-08T00:00:00-08:002006-11-08T00:00:00-08:00E6-18829Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18829.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18815.htmlRule - Amendments to the Tender Offer Best-Price Rules2006-11-08T00:00:00-08:002006-11-08T00:00:00-08:00E6-18815Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18815.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18803.htmlNotice - Submission for OMB Review; Comment Request2006-11-08T00:00:00-08:002006-11-08T00:00:00-08:00E6-18803Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18803.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18798.htmlNotice - 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 Instruments2006-11-08T00:00:00-08:002006-11-08T00:00:00-08:00E6-18798Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18798.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18795.htmlNotice - Submission for OMB Review; Comment Request2006-11-08T00:00:00-08:002006-11-08T00:00:00-08:00E6-18795Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18795.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18794.htmlNotice - Submission for OMB Review; Comment Request2006-11-08T00:00:00-08:002006-11-08T00:00:00-08:00E6-18794Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18794.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18793.htmlNotice - 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 Outcry2006-11-08T00:00:00-08:002006-11-08T00:00:00-08:00E6-18793Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18793.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18792.htmlNotice - Submission for OMB Review; Comment Request2006-11-08T00:00:00-08:002006-11-08T00:00:00-08:00E6-18792Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18792.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18791.htmlNotice - 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 32006-11-08T00:00:00-08:002006-11-08T00:00:00-08:00E6-18791Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18791.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18790.htmlNotice - Submission for OMB Review; Comment Request2006-11-08T00:00:00-08:002006-11-08T00:00:00-08:00E6-18790Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18790.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/07/E6-18696.htmlNotice - Proposed Collection; Comment Request2006-11-07T00:00:00-08:002006-11-07T00:00:00-08:00E6-18696Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-07/pdf/E6-18696.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/07/E6-18695.htmlNotice - Proposed Collections; Comment Request2006-11-07T00:00:00-08:002006-11-07T00:00:00-08:00E6-18695Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-07/pdf/E6-18695.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18635.htmlNotice - Order Exempting Certain Sub-Penny Trade-Throughs From Rule 611 of Regulation NMS Under the Securities Exchange Act of 19342006-11-06T00:00:00-08:002006-11-06T00:00:00-08:00E6-18635Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18635.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18634.htmlNotice - 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, 20062006-11-06T00:00:00-08:002006-11-06T00:00:00-08:00E6-18634Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18634.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18633.htmlNotice - 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 Credits2006-11-06T00:00:00-08:002006-11-06T00:00:00-08:00E6-18633Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18633.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18632.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Market Maker Transaction Fees and Credits2006-11-06T00:00:00-08:002006-11-06T00:00:00-08:00E6-18632Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18632.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18631.htmlNotice - 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 Directors2006-11-06T00:00:00-08:002006-11-06T00:00:00-08:00E6-18631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18631.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/03/E6-18608.htmlNotice - Submission for OMB Review; Comment Request2006-11-03T00:00:00-08:002006-11-03T00:00:00-08:00E6-18608Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-03/pdf/E6-18608.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/03/E6-18607.htmlNotice - 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 Board2006-11-03T00:00:00-08:002006-11-03T00:00:00-08:00E6-18607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-03/pdf/E6-18607.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18484.htmlNotice - 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 Met2006-11-02T00:00:00-08:002006-11-02T00:00:00-08:00E6-18484Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18484.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18481.htmlNotice - 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 Credits2006-11-02T00:00:00-08:002006-11-02T00:00:00-08:00E6-18481Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18481.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18478.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to MACRO Tradeable Shares2006-11-02T00:00:00-08:002006-11-02T00:00:00-08:00E6-18478Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18478.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18474.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402006-11-02T00:00:00-08:002006-11-02T00:00:00-08:00E6-18474Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18474.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18451.htmlNotice - 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 Options2006-11-02T00:00:00-08:002006-11-02T00:00:00-08:00E6-18451Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18451.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18450.htmlNotice - 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 First2006-11-02T00:00:00-08:002006-11-02T00:00:00-08:00E6-18450Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18450.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18449.htmlNotice - 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)2006-11-02T00:00:00-08:002006-11-02T00:00:00-08:00E6-18449Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18449.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18361.htmlNotice - Submission for OMB Review; Comment Request2006-11-01T00:00:00-08:002006-11-01T00:00:00-08:00E6-18361Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18361.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18355.htmlNotice - Submission for OMB Review; Comment Request2006-11-01T00:00:00-08:002006-11-01T00:00:00-08:00E6-18355Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18355.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18350.htmlNotice - Submission for OMB Review; Comment Request2006-11-01T00:00:00-08:002006-11-01T00:00:00-08:00E6-18350Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18350.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18349.htmlNotice - AIG SunAmerica Life Assurance Company and Variable Annuity Account Seven, Notice of Application2006-11-01T00:00:00-08:002006-11-01T00:00:00-08:00E6-18349Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18349.pdfhttps://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18348.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Require Members To File Regulatory Notices With NASD Electronically2006-11-01T00:00:00-08:002006-11-01T00:00:00-08:00E6-18348Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18348.pdf