Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2006/12?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-25T08:27:38-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22404.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change as Modified by Amendments No. 1, 2, and 3 Thereto Relating to U.S. Dollar-Settled Foreign Currency Options2006-12-29T00:00:00-08:002006-12-29T00:00:00-08:00E6-22404Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22404.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22402.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Various iShares® MSCI Index Funds Pursuant to Unlisted Trading Privileges2006-12-29T00:00:00-08:002006-12-29T00:00:00-08:00E6-22402Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22402.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22401.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Changes and Amendment No. 1 thereto to Rules 601, 607, 612 and 629 Relating to Single Arbitrators for Claims not Exceeding $200,0002006-12-29T00:00:00-08:002006-12-29T00:00:00-08:00E6-22401Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22401.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22400.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Criteria for Securities That Underline Options Traded on the Exchange2006-12-29T00:00:00-08:002006-12-29T00:00:00-08:00E6-22400Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22400.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22399.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to NYSE Regulation, Inc. Policies Regarding Exercise of Power to Fine NYSE Member Organizations and Use of Money Collected as Fines2006-12-29T00:00:00-08:002006-12-29T00:00:00-08:00E6-22399Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22399.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22398.htmlNotice - Self-Regulatory Organizations; American Stock Exchange, LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Rules 918 and 918-Ante Regarding Trading Rotations, Halts and Suspensions2006-12-29T00:00:00-08:002006-12-29T00:00:00-08:00E6-22398Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22398.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22397.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC.; Order Approving Proposed Rule Change and Notice of filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto, Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses and the Deletion of NYSE Rule 300T2006-12-29T00:00:00-08:002006-12-29T00:00:00-08:00E6-22397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22397.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22396.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect the Trading Sessions and Trading Halt Procedures for Certain Securities Trading on NYSE Arca, LLC2006-12-29T00:00:00-08:002006-12-29T00:00:00-08:00E6-22396Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22396.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22395.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Fees on Certain Exchange Traded Funds and to Establish Fees on Certain Options on Indexes2006-12-29T00:00:00-08:002006-12-29T00:00:00-08:00E6-22395Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22395.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22394.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Four iShares® GS® Commodity Indexed Trusts2006-12-29T00:00:00-08:002006-12-29T00:00:00-08:00E6-22394Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22394.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22392.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding a Permit Program for CBSX2006-12-29T00:00:00-08:002006-12-29T00:00:00-08:00E6-22392Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22392.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/29/06-9932.htmlRule - Executive Compensation Disclosure2006-12-29T00:00:00-08:002006-12-29T00:00:00-08:0006-9932Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/06-9932.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22262.htmlNotice - Barclays Global Fund Advisors, et al.; Notice of Application2006-12-28T00:00:00-08:002006-12-28T00:00:00-08:00E6-22262Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22262.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22261.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Its Regulatory Oversight Committee2006-12-28T00:00:00-08:002006-12-28T00:00:00-08:00E6-22261Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22261.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22252.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to a Philadelphia Board of Trade Enterprise License Fee For Dissemination of Certain Market Data2006-12-28T00:00:00-08:002006-12-28T00:00:00-08:00E6-22252Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22252.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22201.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Amendment of Annual Report Timely Filing Requirements2006-12-28T00:00:00-08:002006-12-28T00:00:00-08:00E6-22201Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22201.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22200.htmlNotice - Forum Funds, et al.; Notice of Application2006-12-28T00:00:00-08:002006-12-28T00:00:00-08:00E6-22200Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22200.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22199.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposal Relating to Implementation of Certain Approved Rule Changes Reflecting the Complete Separation of Nasdaq from NASD2006-12-28T00:00:00-08:002006-12-28T00:00:00-08:00E6-22199Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22199.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22198.htmlNotice - Joint Industry Plan; Solicitation of Comments and Order Granting Temporary Summary Effectiveness to Request to Extend the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, 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., and to Request Permanent Approval of the Plan2006-12-28T00:00:00-08:002006-12-28T00:00:00-08:00E6-22198Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22198.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22197.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Amend NASD Rules To Modify and Expand NASD's Authority To Initiate Trading and Quotation Halts in OTC Equity Securities2006-12-28T00:00:00-08:002006-12-28T00:00:00-08:00E6-22197Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22197.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22196.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 123A.30 to Eliminate the Two Tick Rule to Allow for the Execution of CAP-DI Orders at Consecutive Destabilizing Prices Without Floor Official Approval2006-12-28T00:00:00-08:002006-12-28T00:00:00-08:00E6-22196Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22196.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22194.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Addition of the Hapoalim Israeli American Index to Rule 1101A2006-12-28T00:00:00-08:002006-12-28T00:00:00-08:00E6-22194Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22194.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22193.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC ; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2006-12-28T00:00:00-08:002006-12-28T00:00:00-08:00E6-22193Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22193.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22192.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Imposing a License Fee in Connection with the Firm-Related Equity Option and Index Option Fee Cap2006-12-28T00:00:00-08:002006-12-28T00:00:00-08:00E6-22192Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22192.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22099.htmlProposed Rule - Management's Report on Internal Control Over Financial Reporting2006-12-27T00:00:00-08:002006-12-27T00:00:00-08:00E6-22099Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22099.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22093.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 Shares of Funds of the ProShares Trust2006-12-27T00:00:00-08:002006-12-27T00:00:00-08:00E6-22093Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22093.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22092.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Minor Clarifying Changes to Phlx Rules Governing Registration2006-12-27T00:00:00-08:002006-12-27T00:00:00-08:00E6-22092Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22092.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22091.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change Relating To Providing Certain Reports to Its Members2006-12-27T00:00:00-08:002006-12-27T00:00:00-08:00E6-22091Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22091.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22090.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Require Member Organizations To Use Their Own Mnemonics When Entering Orders2006-12-27T00:00:00-08:002006-12-27T00:00:00-08:00E6-22090Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22090.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22089.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving 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 Members2006-12-27T00:00:00-08:002006-12-27T00:00:00-08:00E6-22089Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22089.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22087.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish Nasdaq Custom Data Feeds2006-12-27T00:00:00-08:002006-12-27T00:00:00-08:00E6-22087Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22087.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22086.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive Distributor Fee for Specific Data Element2006-12-27T00:00:00-08:002006-12-27T00:00:00-08:00E6-22086Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22086.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22085.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change to Replace the Government Securities Division Clearing Fund Calculation Methodology With a Yield-Driven Value-at-Risk Methodology2006-12-27T00:00:00-08:002006-12-27T00:00:00-08:00E6-22085Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22085.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22084.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Harmonizing Administrative Provisions With Affiliated Clearing Agencies2006-12-27T00:00:00-08:002006-12-27T00:00:00-08:00E6-22084Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22084.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22083.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Exchange-Traded Notes Linked to the MSCI India Total Return Index Pursuant to Unlisted Trading Privileges2006-12-27T00:00:00-08:002006-12-27T00:00:00-08:00E6-22083Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22083.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22082.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change To Permit Routing From the Matching System to a Destination Selected by a Participant2006-12-27T00:00:00-08:002006-12-27T00:00:00-08:00E6-22082Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22082.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22081.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Orders to Peg to the Midpoint of the Best Bid and Best Offer2006-12-27T00:00:00-08:002006-12-27T00:00:00-08:00E6-22081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22081.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/27/06-9864.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Fees and Charges2006-12-27T00:00:00-08:002006-12-27T00:00:00-08:0006-9864Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/06-9864.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22009.htmlNotice - Jackson National Life Insurance Company, et al.2006-12-26T00:00:00-08:002006-12-26T00:00:00-08:00E6-22009Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22009.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22007.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimalized Securities2006-12-26T00:00:00-08:002006-12-26T00:00:00-08:00E6-22007Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22007.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22006.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Allow Exchange Traded Funds To Trade on the Boston Equities Exchange Until 4:15 p.m. Eastern Standard Time2006-12-26T00:00:00-08:002006-12-26T00:00:00-08:00E6-22006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22006.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22005.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the MSCI India Equities Index2006-12-26T00:00:00-08:002006-12-26T00:00:00-08:00E6-22005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22005.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22004.htmlNotice - Self-Regulatory Organization; National Futures Association; Notice of Filing and Immediate Effectiveness of a Proposed Amendment Relating to the Interpretive Notice to Compliance Rule 2-9 Regarding FCM and IB AML Program Requirements2006-12-26T00:00:00-08:002006-12-26T00:00:00-08:00E6-22004Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22004.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/26/06-9844.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change as Revised by Amendment Nos. 1 and 2 Thereto Relating to the Listing and Trading of Notes Linked to the Performance of the Hang Seng China Enterprises Index2006-12-26T00:00:00-08:002006-12-26T00:00:00-08:0006-9844Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/06-9844.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/26/06-9842.htmlProposed Rule - Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules2006-12-26T00:00:00-08:002006-12-26T00:00:00-08:0006-9842Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/06-9842.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/26/06-9841.htmlNotice - Order Extending Temporary Exemption of Banks From the Definition of “Broker” Under Section 3(a)(4) of the Securities Exchange Act of 19342006-12-26T00:00:00-08:002006-12-26T00:00:00-08:0006-9841Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/06-9841.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/26/06-9825.htmlProposed Rule - Definitions of Terms and Exemptions Relating to the “Broker” Exceptions for Banks2006-12-26T00:00:00-08:002006-12-26T00:00:00-08:0006-9825Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/06-9825.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/22/E6-21941.htmlNotice - NexBank Securities, Inc. and NexBank Series, Notice of Application2006-12-22T00:00:00-08:002006-12-22T00:00:00-08:00E6-21941Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-22/pdf/E6-21941.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/22/E6-21906.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Adopt Fees for the Trading of Equity Securities on XLE2006-12-22T00:00:00-08:002006-12-22T00:00:00-08:00E6-21906Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-22/pdf/E6-21906.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21903.htmlProposed Rule - Investment Company Governance2006-12-21T00:00:00-08:002006-12-21T00:00:00-08:00E6-21903Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-21/pdf/E6-21903.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21818.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Amendments to Exchange Rule 638 Concerning Mediation2006-12-21T00:00:00-08:002006-12-21T00:00:00-08:00E6-21818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-21/pdf/E6-21818.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21781.htmlRule - Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies2006-12-21T00:00:00-08:002006-12-21T00:00:00-08:00E6-21781Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-21/pdf/E6-21781.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21780.htmlNotice - ProFunds, et al.; Notice of Application2006-12-21T00:00:00-08:002006-12-21T00:00:00-08:00E6-21780Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-21/pdf/E6-21780.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21779.htmlNotice - 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 Retention2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21779Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21779.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21717.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 its Insurance Processing Service2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21717Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21717.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21708.htmlNotice - 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.2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21708Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21708.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21707.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Participant2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21707Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21707.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21706.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Member2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21706Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21706.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21684.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Accelerated Approval of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21684Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21684.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21683.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Participant2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21683Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21683.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21660.htmlNotice - 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 Exchange2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21660Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21660.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21659.htmlNotice - 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 Roles2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21659Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21659.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21656.htmlNotice - Members Mutual Funds, et al.; Notice of Application2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21656.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21655.htmlNotice - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21655.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21654.htmlNotice - 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 Rule2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21654Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21654.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21653.htmlNotice - 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 Linkage2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21653Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21653.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21652.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 Temporarily Adjust Tier Volume Limits2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21652Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21652.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21650.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 a Pricing Pilot for NASD Members Using ITS/CAES and Inet2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21650Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21650.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21648.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 and Inet2006-12-20T00:00:00-08:002006-12-20T00:00:00-08:00E6-21648Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21648.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21643.htmlNotice - Submission for OMB Review; Comment Request2006-12-19T00:00:00-08:002006-12-19T00:00:00-08:00E6-21643Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21643.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21596.htmlNotice - Proposed Collection; Comment Request2006-12-19T00:00:00-08:002006-12-19T00:00:00-08:00E6-21596Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21596.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21595.htmlNotice - Submission for OMB Review; Comment Request2006-12-19T00:00:00-08:002006-12-19T00:00:00-08:00E6-21595Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21595.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21594.htmlNotice - Submission for OMB Review; Comment Request2006-12-19T00:00:00-08:002006-12-19T00:00:00-08:00E6-21594Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21594.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21589.htmlNotice - Submissions for OMB Review; Comment Request2006-12-19T00:00:00-08:002006-12-19T00:00:00-08:00E6-21589Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21589.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21588.htmlNotice - Submission for OMB Review; Comment Request2006-12-19T00:00:00-08:002006-12-19T00:00:00-08:00E6-21588Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21588.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21587.htmlNotice - Submission for OMB Review; Comment Request2006-12-19T00:00:00-08:002006-12-19T00:00:00-08:00E6-21587Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21587.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21585.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to iShares® Lehman Bond Funds2006-12-19T00:00:00-08:002006-12-19T00:00:00-08:00E6-21585Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21585.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21480.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment Nos. 1 and 2 to the Proposed Rule Change Relating to Customer Portfolio Margining; Order Granting Accelerated Approval to the Proposed Rule Change, as Amended2006-12-18T00:00:00-08:002006-12-18T00:00:00-08:00E6-21480Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21480.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21479.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 Statements2006-12-18T00:00:00-08:002006-12-18T00:00:00-08:00E6-21479Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21479.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21477.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 the Removal of Minimum Volume and Fill-Or-Kill Order Type Designations2006-12-18T00:00:00-08:002006-12-18T00:00:00-08:00E6-21477Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21477.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21475.htmlNotice - Extension of Order Regarding Broker-Dealer Financial Statement Requirements Under Section 17 of the Exchange Act2006-12-18T00:00:00-08:002006-12-18T00:00:00-08:00E6-21475Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21475.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21474.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change to Rule 431 (“Margin Requirements”) and Rule 726 (“Delivery of Options Disclosure Document and Prospectus”), and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change Relating to Customer Portfolio Margining2006-12-18T00:00:00-08:002006-12-18T00:00:00-08:00E6-21474Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21474.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21452.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Use of a Special Indicator for Transactions Reported in Accordance With Section 3 of Schedule A to the NASD By-Laws2006-12-18T00:00:00-08:002006-12-18T00:00:00-08:00E6-21452Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21452.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21449.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange Inc.; Notice of Filing of Proposed Rule Change Relating to the Establishment of a Maximum Number of Quoting Participants Permitted in a Particular Option on the Exchange2006-12-18T00:00:00-08:002006-12-18T00:00:00-08:00E6-21449Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21449.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21374.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Linkage Fee2006-12-15T00:00:00-08:002006-12-15T00:00:00-08:00E6-21374Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21374.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21373.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 Prefatory Language in Chapter 21 (ISE Stock Exchange LLC Trading Rules)2006-12-15T00:00:00-08:002006-12-15T00:00:00-08:00E6-21373Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21373.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21372.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Retroactive Application of an Increase to Its Linkage Order Fee2006-12-15T00:00:00-08:002006-12-15T00:00:00-08:00E6-21372Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21372.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21362.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Rule 409 Regarding Statements of Accounts to Customers and Proposed New Rule 409A Regarding SIPC Disclosure2006-12-15T00:00:00-08:002006-12-15T00:00:00-08:00E6-21362Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21362.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21361.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 2107 (Priority and Execution of Orders)2006-12-15T00:00:00-08:002006-12-15T00:00:00-08:00E6-21361Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21361.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21359.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ISE Stock Exchange Fees2006-12-15T00:00:00-08:002006-12-15T00:00:00-08:00E6-21359Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21359.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21357.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 2101 (Equity Securities Traded) and 2106 (Opening Process)2006-12-15T00:00:00-08:002006-12-15T00:00:00-08:00E6-21357Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21357.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21342.htmlNotice - The MainStay Funds, et al.; Notice of Application2006-12-15T00:00:00-08:002006-12-15T00:00:00-08:00E6-21342Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21342.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21340.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Integrate Brut and INET Facilities2006-12-15T00:00:00-08:002006-12-15T00:00:00-08:00E6-21340Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21340.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21339.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC.; Order Approving Proposed Rule Change To Amend NYSE Rule 607 Concerning the Use of the Random Selection Method To Appoint Arbitrators in Matters Not Involving Customers2006-12-15T00:00:00-08:002006-12-15T00:00:00-08:00E6-21339Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21339.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21338.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain License Fees2006-12-15T00:00:00-08:002006-12-15T00:00:00-08:00E6-21338Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21338.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/15/06-9739.htmlNotice - Sunshine Act Meeting Notice2006-12-15T00:00:00-08:002006-12-15T00:00:00-08:0006-9739Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/06-9739.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21281.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Buy-Ins of Municipal Securities2006-12-14T00:00:00-08:002006-12-14T00:00:00-08:00E6-21281Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21281.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21278.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change Relating to Establishing New Reporting Processes To Support the Bilateral Comparison of Pool Details Associated With Specified Pool Trade Activity2006-12-14T00:00:00-08:002006-12-14T00:00:00-08:00E6-21278Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21278.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21277.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify Deposit Service Procedures To Help Assure Compliance With OFAC Regulations2006-12-14T00:00:00-08:002006-12-14T00:00:00-08:00E6-21277Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21277.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21276.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise Stock Futures Adjustment Methodology2006-12-14T00:00:00-08:002006-12-14T00:00:00-08:00E6-21276Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21276.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21236.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Establishing an Effective Date for Amendments to NASD Rule 23402006-12-14T00:00:00-08:002006-12-14T00:00:00-08:00E6-21236Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21236.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21234.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change Relating to Financial Responsibility, Operational Capability, Insolvency, and Ceasing To Act2006-12-14T00:00:00-08:002006-12-14T00:00:00-08:00E6-21234Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21234.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/14/06-9722.htmlNotice - Sunshine Act Meeting2006-12-14T00:00:00-08:002006-12-14T00:00:00-08:0006-9722Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/06-9722.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21173.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Pilot Period Applicable to CBOE's Listing and Trading of Options on the iShares MSCI Emerging Markets Index Fund2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21173Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21173.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21171.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, Relating To a Pilot Program to Quote and Trade Options in Penny Increments2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21171Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21171.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21170.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Relating to Proposed Rule 2342 Requiring Members To Provide New Customers, and All Customers Annually, Specific Information About the Securities Investor Protection Corporation (“SIPC”)2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21170Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21170.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21169.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change To Amend Rule 777 Regarding Depository Eligibility2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21169Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21169.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21166.htmlNotice - The Mexico Equity and Income Fund, Inc.; Notice of Application2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21166Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21166.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21165.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an ISE Stock Exchange Fee Waiver2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21165Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21165.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21164.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Extend the Term of Index-Linked Securities2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21164Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21164.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21163.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving a Proposed Rule Change Relating to an Escrow Program Fee To Be Charged to Escrow Banks2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21163.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21162.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Amendment to the Earnings Standard Included in the Exchange's Financial Listing Criteria2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21162Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21162.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21161.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change Relating to Fees for the Routing of Orders to Other Market Centers Through a Private Linkage2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21161Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21161.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21160.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Class Quoting Limit in the Option Class NYSE Group, Inc. (NYX)2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21160Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21160.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21159.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Assignment of Options Trading Privileges to Streaming Quote Traders and Remote Streaming Quote Traders2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21159Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21159.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21158.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Time a Marketable Order Is Exposed on the BOX Book2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21158Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21158.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21157.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to an Amendment to a Philadelphia Board of Trade Market Data Distribution Network Fee2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21157Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21157.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21156.htmlProposed Rule - Amendments to Regulation SHO and Rule 10a-12006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21156Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21156.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21141.htmlProposed Rule - Short Selling in Connection With a Public Offering2006-12-13T00:00:00-08:002006-12-13T00:00:00-08:00E6-21141Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21141.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/12/06-9600.htmlRule - Electronic Filing of Transfer Agent Forms2006-12-12T00:00:00-08:002006-12-12T00:00:00-08:0006-9600Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-12/pdf/06-9600.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20966.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Odd-Lot Rejections by Away Markets in the AEMI-One Pilot2006-12-11T00:00:00-08:002006-12-11T00:00:00-08:00E6-20966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/E6-20966.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20965.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Regarding Guidance for Adjudicating Clearly Erroneous Transactions Under NASD Rule 118902006-12-11T00:00:00-08:002006-12-11T00:00:00-08:00E6-20965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/E6-20965.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20964.htmlNotice - Options Price Reporting Authority; Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Provide That Classes of Foreign Currency Options Newly Introduced for Trading by Any of the Parties to the Plan Be Treated Under the Provision “Special Temporary Provision for Newly Traded FCO Securities” During a Temporary Period Ending on December 31, 20072006-12-11T00:00:00-08:002006-12-11T00:00:00-08:00E6-20964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/E6-20964.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20963.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Performance Evaluations for Streaming Quote Traders and Remote Streaming Quote Traders2006-12-11T00:00:00-08:002006-12-11T00:00:00-08:00E6-20963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/E6-20963.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/11/06-9638.htmlNotice - Sunshine Act Meeting Notice2006-12-11T00:00:00-08:002006-12-11T00:00:00-08:0006-9638Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/06-9638.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20886.htmlNotice - 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”)2006-12-08T00:00:00-08:002006-12-08T00:00:00-08:00E6-20886Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20886.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20885.htmlNotice - 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 NYSE2006-12-08T00:00:00-08:002006-12-08T00:00:00-08:00E6-20885Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20885.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20884.htmlRule - Delegation of Authority to Chief Administrative Law Judge2006-12-08T00:00:00-08:002006-12-08T00:00:00-08:00E6-20884Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20884.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20878.htmlNotice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 20072006-12-08T00:00:00-08:002006-12-08T00:00:00-08:00E6-20878Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20878.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20874.htmlNotice - 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 Securities2006-12-08T00:00:00-08:002006-12-08T00:00:00-08:00E6-20874Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20874.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20873.htmlNotice - 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 Subpoenas2006-12-08T00:00:00-08:002006-12-08T00:00:00-08:00E6-20873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20873.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20872.htmlNotice - 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 Securities2006-12-08T00:00:00-08:002006-12-08T00:00:00-08:00E6-20872Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20872.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20868.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to the Canadian Link Service2006-12-08T00:00:00-08:002006-12-08T00:00:00-08:00E6-20868Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20868.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20829.htmlProposed Rule - Proposed Amendments to Municipal Securities Disclosure2006-12-08T00:00:00-08:002006-12-08T00:00:00-08:00E6-20829Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20829.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20806.htmlNotice - 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 118902006-12-08T00:00:00-08:002006-12-08T00:00:00-08:00E6-20806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20806.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20805.htmlNotice - Proposed Collection; Comment Request2006-12-08T00:00:00-08:002006-12-08T00:00:00-08:00E6-20805Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20805.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20804.htmlNotice - 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 Standards2006-12-08T00:00:00-08:002006-12-08T00:00:00-08:00E6-20804Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20804.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20762.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change To Extend the Term of Index-Linked Securities2006-12-07T00:00:00-08:002006-12-07T00:00:00-08:00E6-20762Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20762.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20733.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to NYSE Rule 342.302006-12-07T00:00:00-08:002006-12-07T00:00:00-08:00E6-20733Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20733.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20731.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Amending Rules To Require Listed Companies To Make Securities Eligible for the Direct Registration System2006-12-07T00:00:00-08:002006-12-07T00:00:00-08:00E6-20731Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20731.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20730.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Amending Rules To Require Securities Become Eligible for a Direct Registration System2006-12-07T00:00:00-08:002006-12-07T00:00:00-08:00E6-20730Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20730.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20727.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 180 To Require Member Organizations To Use the Automated Liability Notification System of a Registered Clearing Agency2006-12-07T00:00:00-08:002006-12-07T00:00:00-08:00E6-20727Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20727.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20726.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to a Direct Registration System2006-12-07T00:00:00-08:002006-12-07T00:00:00-08:00E6-20726Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20726.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20719.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Implementation of a Communications or Routing Service2006-12-07T00:00:00-08:002006-12-07T00:00:00-08:00E6-20719Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20719.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20716.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment Nos. 1, 2, and 3 Relating to Block Positioning2006-12-07T00:00:00-08:002006-12-07T00:00:00-08:00E6-20716Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20716.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20715.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits2006-12-07T00:00:00-08:002006-12-07T00:00:00-08:00E6-20715Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20715.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20714.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fee Changes2006-12-07T00:00:00-08:002006-12-07T00:00:00-08:00E6-20714Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20714.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20658.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Clearing Fund Deficiency Calls2006-12-06T00:00:00-08:002006-12-06T00:00:00-08:00E6-20658Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20658.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20657.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto Relating to MACRO Tradeable Shares2006-12-06T00:00:00-08:002006-12-06T00:00:00-08:00E6-20657Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20657.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20656.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Appointment of CBSX DPMs2006-12-06T00:00:00-08:002006-12-06T00:00:00-08:00E6-20656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20656.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20632.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402006-12-06T00:00:00-08:002006-12-06T00:00:00-08:00E6-20632Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20632.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20628.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 NSX BLADE2006-12-06T00:00:00-08:002006-12-06T00:00:00-08:00E6-20628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20628.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20626.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to the Federal Reserve's National Settlement System2006-12-06T00:00:00-08:002006-12-06T00:00:00-08:00E6-20626Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20626.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20623.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend its Rules and Procedures Wth Respect to Clearing Fund Collateral2006-12-06T00:00:00-08:002006-12-06T00:00:00-08:00E6-20623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20623.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20621.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Multiple Representation Exception Procedures2006-12-06T00:00:00-08:002006-12-06T00:00:00-08:00E6-20621Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20621.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20619.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 5 Thereto Relating to Exchange Rules Governing Certain Definitions, Systemic Processing of Certain Orders, and the Implementation Schedule of the NYSE Hybrid Market2006-12-06T00:00:00-08:002006-12-06T00:00:00-08:00E6-20619Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20619.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20576.htmlNotice - Proposed Collection; Comment Request2006-12-06T00:00:00-08:002006-12-06T00:00:00-08:00E6-20576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20576.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20575.htmlNotice - Proposed Collection; Comment Request2006-12-06T00:00:00-08:002006-12-06T00:00:00-08:00E6-20575Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20575.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20574.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Clarify the Process Surrounding a Reverse Merger2006-12-06T00:00:00-08:002006-12-06T00:00:00-08:00E6-20574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20574.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20572.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to the Listing and Trading of Options on the Nuveen Municipal Fund Index2006-12-06T00:00:00-08:002006-12-06T00:00:00-08:00E6-20572Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20572.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/06-9562.htmlNotice - Sunshine Act Meeting2006-12-06T00:00:00-08:002006-12-06T00:00:00-08:0006-9562Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/06-9562.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/06/06-9544.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Minor Rule Violations in Connection With Trade Reporting2006-12-06T00:00:00-08:002006-12-06T00:00:00-08:0006-9544Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/06-9544.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/05/E6-20517.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Inclusion of an Additional Security in the Pilot to Put Into Operation Certain Rule Changes Pending Before the Securities and Exchange Commission to Coincide With the Exchange's Implementation of Phase 3 of the NYSE HYBRID MARKETSM2006-12-05T00:00:00-08:002006-12-05T00:00:00-08:00E6-20517Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-05/pdf/E6-20517.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20437.htmlNotice - Submission for OMB Review; Comment Request2006-12-04T00:00:00-08:002006-12-04T00:00:00-08:00E6-20437Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20437.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20431.htmlNotice - Submission for OMB Review; Comment Request2006-12-04T00:00:00-08:002006-12-04T00:00:00-08:00E6-20431Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20431.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20430.htmlNotice - Submission for OMB Review; Comment Request2006-12-04T00:00:00-08:002006-12-04T00:00:00-08:00E6-20430Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20430.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20428.htmlNotice - Submission for OMB Review, Comment Request2006-12-04T00:00:00-08:002006-12-04T00:00:00-08:00E6-20428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20428.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20427.htmlNotice - Submissions for OMB Review; Comment Request2006-12-04T00:00:00-08:002006-12-04T00:00:00-08:00E6-20427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20427.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/01/E6-20310.htmlNotice - Application and Opportunity for Hearing: Software Brokers of America, Inc.2006-12-01T00:00:00-08:002006-12-01T00:00:00-08:00E6-20310Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-01/pdf/E6-20310.pdfhttps://regulations.justia.com/regulations/fedreg/2006/12/01/E6-20309.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Allow Cash, Next Day, and Seller's Option Equity Trades To Be Processed in the Continuous Net Settlement System and To Modify the Clearing Fund Formula To Mitigate the Risk Associated With the Shorter Settlement Cycle of Cash and Next Day Settling Trades2006-12-01T00:00:00-08:002006-12-01T00:00:00-08:00E6-20309Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-12-01/pdf/E6-20309.pdf