Securities and Exchange Commission December 8, 2006 – Federal Register Recent Federal Regulation Documents

Results 1 - 12 of 12
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change, as Amended, Relating to Exchange Rule 104.10 (“Dealings by Specialists”)
Document Number: E6-20886
Type: Notice
Date: 2006-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20886.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive Initial Listing Fee and One-Time Special Charge in Connection With Listing New Class of Common Shares Payable by Any Company Listed on Another National Securities Exchange That Transfers the Listing of Its Primary Class of Common Shares to the NYSE
Document Number: E6-20885
Type: Notice
Date: 2006-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20885.html
Delegation of Authority to Chief Administrative Law Judge
Document Number: E6-20884
Type: Rule
Date: 2006-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is amending its rules to delegate authority to the Chief Administrative Law Judge to issue orders to discontinue administrative proceedings as to a particular respondent who has died or cannot be found, or because of a mistake in the identity of a respondent named in the order for proceedings. The delegation is intended to conserve Commission resources, as well as expedite disposition of administrative proceedings.
https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20884.html
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2007
Document Number: E6-20878
Type: Notice
Date: 2006-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20878.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Prohibit Specialists From Charging Commissions on Transactions in Their Specialty Securities
Document Number: E6-20874
Type: Notice
Date: 2006-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20874.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Provide for the Payment of a $200 Honorarium Per Case for Each Arbitrator Who Considers Contested Motions for the Issuance of Subpoenas
Document Number: E6-20873
Type: Notice
Date: 2006-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20873.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Charged to Member Organizations for Transactions in Equity Securities
Document Number: E6-20872
Type: Notice
Date: 2006-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20872.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to the Canadian Link Service
Document Number: E6-20868
Type: Notice
Date: 2006-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20868.html
Proposed Amendments to Municipal Securities Disclosure
Document Number: E6-20829
Type: Proposed Rule
Date: 2006-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is publishing for comment proposed amendments to a rule under the Securities Exchange Act of 1934 (``Exchange Act'') relating to municipal securities disclosure which would delete references to the Municipal Securities Rulemaking Board (``MSRB'') as a recipient of material event notices filed by or on behalf of issuers of municipal securities or other obligated persons.
https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20829.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Guidance for Adjudicating Clearly Erroneous Transactions Under Rule 11890
Document Number: E6-20806
Type: Notice
Date: 2006-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20806.html
Proposed Collection; Comment Request
Document Number: E6-20805
Type: Notice
Date: 2006-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20805.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto Modifying the Exchange's Independent Director and Audit Committee Corporate Governance Standards
Document Number: E6-20804
Type: Notice
Date: 2006-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20804.html
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