Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2006/12/20?limit=200&registers=between&mode=atom 2024-04-26T01:04:21-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21779.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21779 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21779.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21717.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clarifying and Technical Changes to its Insurance Processing Service 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21717 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21717.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21708.html Notice - Joint Industry Plan; Notice of Filing and Effectiveness of Amendment No. 18 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc. 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21708 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21708.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21707.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Participant 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21707 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21707.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21706.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Member 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21706 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21706.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21684.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Accelerated Approval of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21684 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21684.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21683.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Participant 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21683 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21683.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21660.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to an NASD Trade Reporting Facility Established in Conjunction With the Boston Stock Exchange 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21660 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21660.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21659.html Notice - Public Company Accounting Oversight Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adjusting Implementation Schedule of Rule 3523, Tax Services for Persons in Financial Reporting Oversight Roles 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21659 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21659.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21656.html Notice - Members Mutual Funds, et al.; Notice of Application 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21656 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21656.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21655.html Notice - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21655 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21655.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21654.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Amending its Index Obvious Error Rule 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21654 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21654.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21653.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change Relating to the Definition of Complex Trade as Applied to Trades Through the Intermarket Linkage 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21653 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21653.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21652.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Temporarily Adjust Tier Volume Limits 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21652 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21652.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21650.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Extend a Pricing Pilot for NASD Members Using ITS/CAES and Inet 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21650 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21650.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21648.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASD Members Using ITS/CAES and Inet 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21648 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21648.pdf