<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2006/11?registers=between&min-day=1&max-day=30 Sat, 27 Apr 2024 15:58:42 -0700 Sat, 27 Apr 2024 15:58:42 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2006/11?registers=between&min-day=1&max-day=30 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 https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20227.html https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20227.html Wed, 29 Nov 2006 00:00:00 -0800 E6-20227 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20227.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20219.html https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20219.html Wed, 29 Nov 2006 00:00:00 -0800 E6-20219 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20219.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20218.html https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20218.html Wed, 29 Nov 2006 00:00:00 -0800 E6-20218 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20218.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20217.html https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20217.html Wed, 29 Nov 2006 00:00:00 -0800 E6-20217 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20217.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20216.html https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20216.html Wed, 29 Nov 2006 00:00:00 -0800 E6-20216 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20216.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20215.html https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20215.html Wed, 29 Nov 2006 00:00:00 -0800 E6-20215 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20215.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20214.html https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20214.html Wed, 29 Nov 2006 00:00:00 -0800 E6-20214 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20214.pdf Notice - Van Eck Worldwide Insurance Trust and Van Eck Associates Corporation; Notice of Application https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20213.html https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20213.html Wed, 29 Nov 2006 00:00:00 -0800 E6-20213 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20213.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20212.html https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20212.html Wed, 29 Nov 2006 00:00:00 -0800 E6-20212 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20212.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20211.html https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20211.html Wed, 29 Nov 2006 00:00:00 -0800 E6-20211 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20211.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20210.html https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20210.html Wed, 29 Nov 2006 00:00:00 -0800 E6-20210 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20210.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20209.html https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20209.html Wed, 29 Nov 2006 00:00:00 -0800 E6-20209 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20209.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2006/11/29/06-9474.html https://regulations.justia.com/regulations/fedreg/2006/11/29/06-9474.html Wed, 29 Nov 2006 00:00:00 -0800 06-9474 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/06-9474.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2006/11/29/06-9473.html https://regulations.justia.com/regulations/fedreg/2006/11/29/06-9473.html Wed, 29 Nov 2006 00:00:00 -0800 06-9473 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/06-9473.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20134.html https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20134.html Tue, 28 Nov 2006 00:00:00 -0800 E6-20134 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20134.pdf 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) https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20133.html https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20133.html Tue, 28 Nov 2006 00:00:00 -0800 E6-20133 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20133.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20132.html https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20132.html Tue, 28 Nov 2006 00:00:00 -0800 E6-20132 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20132.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20130.html https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20130.html Tue, 28 Nov 2006 00:00:00 -0800 E6-20130 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20130.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20128.html https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20128.html Tue, 28 Nov 2006 00:00:00 -0800 E6-20128 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20128.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20127.html https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20127.html Tue, 28 Nov 2006 00:00:00 -0800 E6-20127 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20127.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20068.html https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20068.html Tue, 28 Nov 2006 00:00:00 -0800 E6-20068 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20068.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20055.html https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20055.html Tue, 28 Nov 2006 00:00:00 -0800 E6-20055 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20055.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20054.html https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20054.html Tue, 28 Nov 2006 00:00:00 -0800 E6-20054 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20054.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Definition of Fund Share https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20053.html https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20053.html Tue, 28 Nov 2006 00:00:00 -0800 E6-20053 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20053.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20050.html https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20050.html Tue, 28 Nov 2006 00:00:00 -0800 E6-20050 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20050.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20049.html https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20049.html Tue, 28 Nov 2006 00:00:00 -0800 E6-20049 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20049.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/28/06-9426.html https://regulations.justia.com/regulations/fedreg/2006/11/28/06-9426.html Tue, 28 Nov 2006 00:00:00 -0800 06-9426 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/06-9426.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating To Returning Excess Clearing Fund Collateral https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19984.html https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19984.html Mon, 27 Nov 2006 00:00:00 -0800 E6-19984 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19984.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement a Quote Mitigation Plan https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19983.html https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19983.html Mon, 27 Nov 2006 00:00:00 -0800 E6-19983 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19983.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding Allocation of Stocks to CBSX DPMs https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19982.html https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19982.html Mon, 27 Nov 2006 00:00:00 -0800 E6-19982 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19982.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19981.html https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19981.html Mon, 27 Nov 2006 00:00:00 -0800 E6-19981 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19981.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19980.html https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19980.html Mon, 27 Nov 2006 00:00:00 -0800 E6-19980 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19980.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19979.html https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19979.html Mon, 27 Nov 2006 00:00:00 -0800 E6-19979 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19979.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19978.html https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19978.html Mon, 27 Nov 2006 00:00:00 -0800 E6-19978 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19978.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19976.html https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19976.html Mon, 27 Nov 2006 00:00:00 -0800 E6-19976 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19976.pdf 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) https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19967.html https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19967.html Mon, 27 Nov 2006 00:00:00 -0800 E6-19967 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19967.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19966.html https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19966.html Mon, 27 Nov 2006 00:00:00 -0800 E6-19966 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19966.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19961.html https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19961.html Mon, 27 Nov 2006 00:00:00 -0800 E6-19961 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19961.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2006/11/27/06-9423.html https://regulations.justia.com/regulations/fedreg/2006/11/27/06-9423.html Mon, 27 Nov 2006 00:00:00 -0800 06-9423 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/06-9423.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/24/E6-19850.html https://regulations.justia.com/regulations/fedreg/2006/11/24/E6-19850.html Fri, 24 Nov 2006 00:00:00 -0800 E6-19850 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-24/pdf/E6-19850.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/24/E6-19847.html https://regulations.justia.com/regulations/fedreg/2006/11/24/E6-19847.html Fri, 24 Nov 2006 00:00:00 -0800 E6-19847 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-24/pdf/E6-19847.pdf Proposed Rule - Covered Securities Pursuant to Section 18 of the Securities Act of 1933 https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19740.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19740.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19740 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19740.pdf Notice - The GMS Group, LLC, et al. https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19739.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19739.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19739 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19739.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19738.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19738.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19738 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19738.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Related to Complex Order Trading https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19737.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19737.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19737 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19737.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19736.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19736.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19736 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19736.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19735.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19735.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19735 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19735.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19734.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19734.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19734 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19734.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19733.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19733.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19733 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19733.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19732.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19732.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19732 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19732.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19731.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19731.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19731 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19731.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19730.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19730.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19730 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19730.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19729.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19729.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19729 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19729.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19728.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19728.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19728 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19728.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify Its Rules To Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions To Improve Liquidity and Minimize Risk for Its Members; Correction and Extension of Comment Period https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19727.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19727.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19727 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19727.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19726.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19726.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19726 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19726.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19725.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19725.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19725 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19725.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19723.html https://regulations.justia.com/regulations/fedreg/2006/11/22/E6-19723.html Wed, 22 Nov 2006 00:00:00 -0800 E6-19723 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/E6-19723.pdf Notice - In the Matter of Digital Gas, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2006/11/22/06-9332.html https://regulations.justia.com/regulations/fedreg/2006/11/22/06-9332.html Wed, 22 Nov 2006 00:00:00 -0800 06-9332 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-22/pdf/06-9332.pdf Notice - HealthShares, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19666.html https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19666.html Tue, 21 Nov 2006 00:00:00 -0800 E6-19666 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19666.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19623.html https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19623.html Tue, 21 Nov 2006 00:00:00 -0800 E6-19623 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19623.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19622.html https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19622.html Tue, 21 Nov 2006 00:00:00 -0800 E6-19622 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19622.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19621.html https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19621.html Tue, 21 Nov 2006 00:00:00 -0800 E6-19621 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19621.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19620.html https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19620.html Tue, 21 Nov 2006 00:00:00 -0800 E6-19620 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19620.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Amended Filing of Proposed Rule Change To Revise Option Adjustment Methodology https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19619.html https://regulations.justia.com/regulations/fedreg/2006/11/21/E6-19619.html Tue, 21 Nov 2006 00:00:00 -0800 E6-19619 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-21/pdf/E6-19619.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19548.html https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19548.html Mon, 20 Nov 2006 00:00:00 -0800 E6-19548 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19548.pdf 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) https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19547.html https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19547.html Mon, 20 Nov 2006 00:00:00 -0800 E6-19547 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19547.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19546.html https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19546.html Mon, 20 Nov 2006 00:00:00 -0800 E6-19546 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19546.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19537.html https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19537.html Mon, 20 Nov 2006 00:00:00 -0800 E6-19537 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19537.pdf Notice - Submissions for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19520.html https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19520.html Mon, 20 Nov 2006 00:00:00 -0800 E6-19520 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19520.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19518.html https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19518.html Mon, 20 Nov 2006 00:00:00 -0800 E6-19518 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19518.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19517.html https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19517.html Mon, 20 Nov 2006 00:00:00 -0800 E6-19517 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19517.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASD Members Using ITS/CAES, Brut, and Inet https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19516.html https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19516.html Mon, 20 Nov 2006 00:00:00 -0800 E6-19516 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19516.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19512.html https://regulations.justia.com/regulations/fedreg/2006/11/20/E6-19512.html Mon, 20 Nov 2006 00:00:00 -0800 E6-19512 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-20/pdf/E6-19512.pdf Notice - Allegiant Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19441.html https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19441.html Fri, 17 Nov 2006 00:00:00 -0800 E6-19441 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19441.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19424.html https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19424.html Fri, 17 Nov 2006 00:00:00 -0800 E6-19424 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19424.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19422.html https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19422.html Fri, 17 Nov 2006 00:00:00 -0800 E6-19422 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19422.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19419.html https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19419.html Fri, 17 Nov 2006 00:00:00 -0800 E6-19419 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19419.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19418.html https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19418.html Fri, 17 Nov 2006 00:00:00 -0800 E6-19418 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19418.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19415.html https://regulations.justia.com/regulations/fedreg/2006/11/17/E6-19415.html Fri, 17 Nov 2006 00:00:00 -0800 E6-19415 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/E6-19415.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2006/11/17/06-9269.html https://regulations.justia.com/regulations/fedreg/2006/11/17/06-9269.html Fri, 17 Nov 2006 00:00:00 -0800 06-9269 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-17/pdf/06-9269.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19382.html https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19382.html Thu, 16 Nov 2006 00:00:00 -0800 E6-19382 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19382.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19381.html https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19381.html Thu, 16 Nov 2006 00:00:00 -0800 E6-19381 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19381.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19380.html https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19380.html Thu, 16 Nov 2006 00:00:00 -0800 E6-19380 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19380.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19379.html https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19379.html Thu, 16 Nov 2006 00:00:00 -0800 E6-19379 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19379.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Orders https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19378.html https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19378.html Thu, 16 Nov 2006 00:00:00 -0800 E6-19378 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19378.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19364.html https://regulations.justia.com/regulations/fedreg/2006/11/16/E6-19364.html Thu, 16 Nov 2006 00:00:00 -0800 E6-19364 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-16/pdf/E6-19364.pdf Notice - Old Mutual Advisor Funds II, et al. https://regulations.justia.com/regulations/fedreg/2006/11/15/E6-19238.html https://regulations.justia.com/regulations/fedreg/2006/11/15/E6-19238.html Wed, 15 Nov 2006 00:00:00 -0800 E6-19238 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-15/pdf/E6-19238.pdf Notice - Putnam Diversified Income Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2006/11/15/E6-19207.html https://regulations.justia.com/regulations/fedreg/2006/11/15/E6-19207.html Wed, 15 Nov 2006 00:00:00 -0800 E6-19207 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-15/pdf/E6-19207.pdf 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) https://regulations.justia.com/regulations/fedreg/2006/11/15/E6-19206.html https://regulations.justia.com/regulations/fedreg/2006/11/15/E6-19206.html Wed, 15 Nov 2006 00:00:00 -0800 E6-19206 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-15/pdf/E6-19206.pdf 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. https://regulations.justia.com/regulations/fedreg/2006/11/14/E6-19167.html https://regulations.justia.com/regulations/fedreg/2006/11/14/E6-19167.html Tue, 14 Nov 2006 00:00:00 -0800 E6-19167 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-14/pdf/E6-19167.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/14/E6-19165.html https://regulations.justia.com/regulations/fedreg/2006/11/14/E6-19165.html Tue, 14 Nov 2006 00:00:00 -0800 E6-19165 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-14/pdf/E6-19165.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/14/E6-19120.html https://regulations.justia.com/regulations/fedreg/2006/11/14/E6-19120.html Tue, 14 Nov 2006 00:00:00 -0800 E6-19120 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-14/pdf/E6-19120.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2006/11/14/06-9213.html https://regulations.justia.com/regulations/fedreg/2006/11/14/06-9213.html Tue, 14 Nov 2006 00:00:00 -0800 06-9213 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-14/pdf/06-9213.pdf Notice - Annuity Investors Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2006/11/13/E6-19075.html https://regulations.justia.com/regulations/fedreg/2006/11/13/E6-19075.html Mon, 13 Nov 2006 00:00:00 -0800 E6-19075 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-13/pdf/E6-19075.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/13/E6-19063.html https://regulations.justia.com/regulations/fedreg/2006/11/13/E6-19063.html Mon, 13 Nov 2006 00:00:00 -0800 E6-19063 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-13/pdf/E6-19063.pdf Notice - In the Matter of FuelNation, Inc. and Sytron, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2006/11/13/06-9189.html https://regulations.justia.com/regulations/fedreg/2006/11/13/06-9189.html Mon, 13 Nov 2006 00:00:00 -0800 06-9189 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-13/pdf/06-9189.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3, To Adopt New Rules To Implement on a Pilot Basis an Initial Version of AEMI, Its Proposed New Hybrid Market Trading Platform For Equity Products and Exchange Traded Funds https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18978.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18978.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18978 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18978.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Expand the Scope of IM-2110-2 Relating To Trading Ahead of Customer Limit Orders To Apply to All OTC Equity Securities https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18977.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18977.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18977 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18977.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving a Proposed Rule Change To Amend the Schedule of Fees To Expand the Broker Marketing Alliance To Include Non-Broker-Dealers With Regard to the Enhanced Sentiment Market Data Offering https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18975.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18975.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18975 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18975.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASD Members Using ITS/CAES, Brut and Inet https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18959.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18959.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18959 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18959.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Allow the Inventory Management System To Accept Real-Time and Late Affirmed Trades From Omgeo https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18958.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18958.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18958 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18958.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rule 11890(b)(2) To Allow NASD To Designate Officers To Take Action Under the Rule With Respect to Clearly Erroneous Transactions https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18957.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18957.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18957 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18957.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18956.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18956.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18956 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18956.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding the Initial and Continued Listing and Trading of Options on Units That Represent Interests in a Trust That Holds a Specified Non-U.S. Currency https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18955.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18955.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18955 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18955.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Equities and Exchange Traded Fund Shares (“ETFs”) Fee Schedule https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18954.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18954.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18954 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18954.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Certain Licensing Fees https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18953.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18953.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18953 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18953.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Eliminating the Post-Trade Allocation Feature in ANTE https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18952.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18952.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18952 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18952.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18950.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18950.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18950 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18950.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify its Rules To Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions To Improve Liquidity and Minimize Risk for its Members https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18948.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18948.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18948 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18948.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a Fee Schedule Under Rule 16.1(a) and 16.1(c) for Transactions Executed Through the Intermarket Trading System Plan and/or the Plan for the Purpose of Creating and Operating an Intermarket Communications Linkage https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18947.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18947.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18947 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18947.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Amendments to NYSE Rule 607 Concerning the Use of the Random Selection Method To Appoint Arbitrators in Matters Not Involving Customers https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18945.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18945.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18945 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18945.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PACE Equity Transaction Charge and NMS Linkage https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18944.html https://regulations.justia.com/regulations/fedreg/2006/11/09/E6-18944.html Thu, 09 Nov 2006 00:00:00 -0800 E6-18944 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-09/pdf/E6-18944.pdf Notice - Fidelity Management & Research Company, et al. https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18890.html https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18890.html Wed, 08 Nov 2006 00:00:00 -0800 E6-18890 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18890.pdf Notice - Proposed Collections; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18830.html https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18830.html Wed, 08 Nov 2006 00:00:00 -0800 E6-18830 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18830.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18829.html https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18829.html Wed, 08 Nov 2006 00:00:00 -0800 E6-18829 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18829.pdf Rule - Amendments to the Tender Offer Best-Price Rules https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18815.html https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18815.html Wed, 08 Nov 2006 00:00:00 -0800 E6-18815 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18815.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18803.html https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18803.html Wed, 08 Nov 2006 00:00:00 -0800 E6-18803 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18803.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18798.html https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18798.html Wed, 08 Nov 2006 00:00:00 -0800 E6-18798 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18798.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18795.html https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18795.html Wed, 08 Nov 2006 00:00:00 -0800 E6-18795 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18795.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18794.html https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18794.html Wed, 08 Nov 2006 00:00:00 -0800 E6-18794 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18794.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18793.html https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18793.html Wed, 08 Nov 2006 00:00:00 -0800 E6-18793 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18793.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18792.html https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18792.html Wed, 08 Nov 2006 00:00:00 -0800 E6-18792 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18792.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18791.html https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18791.html Wed, 08 Nov 2006 00:00:00 -0800 E6-18791 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18791.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18790.html https://regulations.justia.com/regulations/fedreg/2006/11/08/E6-18790.html Wed, 08 Nov 2006 00:00:00 -0800 E6-18790 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-08/pdf/E6-18790.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/07/E6-18696.html https://regulations.justia.com/regulations/fedreg/2006/11/07/E6-18696.html Tue, 07 Nov 2006 00:00:00 -0800 E6-18696 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-07/pdf/E6-18696.pdf Notice - Proposed Collections; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/07/E6-18695.html https://regulations.justia.com/regulations/fedreg/2006/11/07/E6-18695.html Tue, 07 Nov 2006 00:00:00 -0800 E6-18695 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-07/pdf/E6-18695.pdf Notice - Order Exempting Certain Sub-Penny Trade-Throughs From Rule 611 of Regulation NMS Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18635.html https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18635.html Mon, 06 Nov 2006 00:00:00 -0800 E6-18635 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18635.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18634.html https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18634.html Mon, 06 Nov 2006 00:00:00 -0800 E6-18634 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18634.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18633.html https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18633.html Mon, 06 Nov 2006 00:00:00 -0800 E6-18633 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18633.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Market Maker Transaction Fees and Credits https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18632.html https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18632.html Mon, 06 Nov 2006 00:00:00 -0800 E6-18632 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18632.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18631.html https://regulations.justia.com/regulations/fedreg/2006/11/06/E6-18631.html Mon, 06 Nov 2006 00:00:00 -0800 E6-18631 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-06/pdf/E6-18631.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/03/E6-18608.html https://regulations.justia.com/regulations/fedreg/2006/11/03/E6-18608.html Fri, 03 Nov 2006 00:00:00 -0800 E6-18608 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-03/pdf/E6-18608.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/03/E6-18607.html https://regulations.justia.com/regulations/fedreg/2006/11/03/E6-18607.html Fri, 03 Nov 2006 00:00:00 -0800 E6-18607 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-03/pdf/E6-18607.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18484.html https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18484.html Thu, 02 Nov 2006 00:00:00 -0800 E6-18484 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18484.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18481.html https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18481.html Thu, 02 Nov 2006 00:00:00 -0800 E6-18481 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18481.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18478.html https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18478.html Thu, 02 Nov 2006 00:00:00 -0800 E6-18478 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18478.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18474.html https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18474.html Thu, 02 Nov 2006 00:00:00 -0800 E6-18474 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18474.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18451.html https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18451.html Thu, 02 Nov 2006 00:00:00 -0800 E6-18451 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18451.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18450.html https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18450.html Thu, 02 Nov 2006 00:00:00 -0800 E6-18450 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18450.pdf 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) https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18449.html https://regulations.justia.com/regulations/fedreg/2006/11/02/E6-18449.html Thu, 02 Nov 2006 00:00:00 -0800 E6-18449 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-02/pdf/E6-18449.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18361.html https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18361.html Wed, 01 Nov 2006 00:00:00 -0800 E6-18361 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18361.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18355.html https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18355.html Wed, 01 Nov 2006 00:00:00 -0800 E6-18355 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18355.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18350.html https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18350.html Wed, 01 Nov 2006 00:00:00 -0800 E6-18350 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18350.pdf Notice - AIG SunAmerica Life Assurance Company and Variable Annuity Account Seven, Notice of Application https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18349.html https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18349.html Wed, 01 Nov 2006 00:00:00 -0800 E6-18349 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18349.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18348.html https://regulations.justia.com/regulations/fedreg/2006/11/01/E6-18348.html Wed, 01 Nov 2006 00:00:00 -0800 E6-18348 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-01/pdf/E6-18348.pdf