<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2006/12?registers=between&min-day=1&max-day=31 Sat, 27 Apr 2024 14:29:50 -0700 Sat, 27 Apr 2024 14:29:50 -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/2006/12?registers=between&min-day=1&max-day=31 Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22404.html https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22404.html Fri, 29 Dec 2006 00:00:00 -0800 E6-22404 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22404.pdf Notice - 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 Privileges https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22402.html https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22402.html Fri, 29 Dec 2006 00:00:00 -0800 E6-22402 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22402.pdf Notice - 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 $200,000 https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22401.html https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22401.html Fri, 29 Dec 2006 00:00:00 -0800 E6-22401 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22401.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22400.html https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22400.html Fri, 29 Dec 2006 00:00:00 -0800 E6-22400 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22400.pdf Notice - 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 Fines https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22399.html https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22399.html Fri, 29 Dec 2006 00:00:00 -0800 E6-22399 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22399.pdf Notice - 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 Suspensions https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22398.html https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22398.html Fri, 29 Dec 2006 00:00:00 -0800 E6-22398 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22398.pdf Notice - 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 300T https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22397.html https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22397.html Fri, 29 Dec 2006 00:00:00 -0800 E6-22397 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22397.pdf Notice - 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, LLC https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22396.html https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22396.html Fri, 29 Dec 2006 00:00:00 -0800 E6-22396 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22396.pdf Notice - 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 Indexes https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22395.html https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22395.html Fri, 29 Dec 2006 00:00:00 -0800 E6-22395 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22395.pdf Notice - 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 Trusts https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22394.html https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22394.html Fri, 29 Dec 2006 00:00:00 -0800 E6-22394 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22394.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding a Permit Program for CBSX https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22392.html https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22392.html Fri, 29 Dec 2006 00:00:00 -0800 E6-22392 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22392.pdf Rule - Executive Compensation Disclosure https://regulations.justia.com/regulations/fedreg/2006/12/29/06-9932.html https://regulations.justia.com/regulations/fedreg/2006/12/29/06-9932.html Fri, 29 Dec 2006 00:00:00 -0800 06-9932 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/06-9932.pdf Notice - Barclays Global Fund Advisors, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22262.html https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22262.html Thu, 28 Dec 2006 00:00:00 -0800 E6-22262 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22262.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Its Regulatory Oversight Committee https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22261.html https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22261.html Thu, 28 Dec 2006 00:00:00 -0800 E6-22261 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22261.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22252.html https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22252.html Thu, 28 Dec 2006 00:00:00 -0800 E6-22252 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22252.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Amendment of Annual Report Timely Filing Requirements https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22201.html https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22201.html Thu, 28 Dec 2006 00:00:00 -0800 E6-22201 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22201.pdf Notice - Forum Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22200.html https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22200.html Thu, 28 Dec 2006 00:00:00 -0800 E6-22200 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22200.pdf Notice - 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 NASD https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22199.html https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22199.html Thu, 28 Dec 2006 00:00:00 -0800 E6-22199 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22199.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22198.html https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22198.html Thu, 28 Dec 2006 00:00:00 -0800 E6-22198 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22198.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22197.html https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22197.html Thu, 28 Dec 2006 00:00:00 -0800 E6-22197 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22197.pdf Notice - 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 Approval https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22196.html https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22196.html Thu, 28 Dec 2006 00:00:00 -0800 E6-22196 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22196.pdf Notice - 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 1101A https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22194.html https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22194.html Thu, 28 Dec 2006 00:00:00 -0800 E6-22194 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22194.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/2006/12/28/E6-22193.html https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22193.html Thu, 28 Dec 2006 00:00:00 -0800 E6-22193 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22193.pdf Notice - 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 Cap https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22192.html https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22192.html Thu, 28 Dec 2006 00:00:00 -0800 E6-22192 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22192.pdf Proposed Rule - Management's Report on Internal Control Over Financial Reporting https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22099.html https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22099.html Wed, 27 Dec 2006 00:00:00 -0800 E6-22099 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22099.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 Shares of Funds of the ProShares Trust https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22093.html https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22093.html Wed, 27 Dec 2006 00:00:00 -0800 E6-22093 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22093.pdf Notice - 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 Registration https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22092.html https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22092.html Wed, 27 Dec 2006 00:00:00 -0800 E6-22092 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22092.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change Relating To Providing Certain Reports to Its Members https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22091.html https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22091.html Wed, 27 Dec 2006 00:00:00 -0800 E6-22091 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22091.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22090.html https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22090.html Wed, 27 Dec 2006 00:00:00 -0800 E6-22090 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22090.pdf Notice - 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 Members https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22089.html https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22089.html Wed, 27 Dec 2006 00:00:00 -0800 E6-22089 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22089.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish Nasdaq Custom Data Feeds https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22087.html https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22087.html Wed, 27 Dec 2006 00:00:00 -0800 E6-22087 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22087.pdf Notice - 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 Element https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22086.html https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22086.html Wed, 27 Dec 2006 00:00:00 -0800 E6-22086 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22086.pdf Notice - 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 Methodology https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22085.html https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22085.html Wed, 27 Dec 2006 00:00:00 -0800 E6-22085 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22085.pdf Notice - 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 Agencies https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22084.html https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22084.html Wed, 27 Dec 2006 00:00:00 -0800 E6-22084 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22084.pdf Notice - 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 Privileges https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22083.html https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22083.html Wed, 27 Dec 2006 00:00:00 -0800 E6-22083 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22083.pdf Notice - 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 Participant https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22082.html https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22082.html Wed, 27 Dec 2006 00:00:00 -0800 E6-22082 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22082.pdf Notice - 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 Offer https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22081.html https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22081.html Wed, 27 Dec 2006 00:00:00 -0800 E6-22081 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22081.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 Exchange Fees and Charges https://regulations.justia.com/regulations/fedreg/2006/12/27/06-9864.html https://regulations.justia.com/regulations/fedreg/2006/12/27/06-9864.html Wed, 27 Dec 2006 00:00:00 -0800 06-9864 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/06-9864.pdf Notice - Jackson National Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22009.html https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22009.html Tue, 26 Dec 2006 00:00:00 -0800 E6-22009 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22009.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22007.html https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22007.html Tue, 26 Dec 2006 00:00:00 -0800 E6-22007 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22007.pdf Notice - 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 Time https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22006.html https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22006.html Tue, 26 Dec 2006 00:00:00 -0800 E6-22006 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22006.pdf Notice - 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 Index https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22005.html https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22005.html Tue, 26 Dec 2006 00:00:00 -0800 E6-22005 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22005.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22004.html https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22004.html Tue, 26 Dec 2006 00:00:00 -0800 E6-22004 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22004.pdf Notice - 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 Index https://regulations.justia.com/regulations/fedreg/2006/12/26/06-9844.html https://regulations.justia.com/regulations/fedreg/2006/12/26/06-9844.html Tue, 26 Dec 2006 00:00:00 -0800 06-9844 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/06-9844.pdf Proposed Rule - Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules https://regulations.justia.com/regulations/fedreg/2006/12/26/06-9842.html https://regulations.justia.com/regulations/fedreg/2006/12/26/06-9842.html Tue, 26 Dec 2006 00:00:00 -0800 06-9842 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/06-9842.pdf Notice - Order Extending Temporary Exemption of Banks From the Definition of “Broker” Under Section 3(a)(4) of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2006/12/26/06-9841.html https://regulations.justia.com/regulations/fedreg/2006/12/26/06-9841.html Tue, 26 Dec 2006 00:00:00 -0800 06-9841 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/06-9841.pdf Proposed Rule - Definitions of Terms and Exemptions Relating to the “Broker” Exceptions for Banks https://regulations.justia.com/regulations/fedreg/2006/12/26/06-9825.html https://regulations.justia.com/regulations/fedreg/2006/12/26/06-9825.html Tue, 26 Dec 2006 00:00:00 -0800 06-9825 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/06-9825.pdf Notice - NexBank Securities, Inc. and NexBank Series, Notice of Application https://regulations.justia.com/regulations/fedreg/2006/12/22/E6-21941.html https://regulations.justia.com/regulations/fedreg/2006/12/22/E6-21941.html Fri, 22 Dec 2006 00:00:00 -0800 E6-21941 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-22/pdf/E6-21941.pdf Notice - 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 XLE https://regulations.justia.com/regulations/fedreg/2006/12/22/E6-21906.html https://regulations.justia.com/regulations/fedreg/2006/12/22/E6-21906.html Fri, 22 Dec 2006 00:00:00 -0800 E6-21906 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-22/pdf/E6-21906.pdf Proposed Rule - Investment Company Governance https://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21903.html https://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21903.html Thu, 21 Dec 2006 00:00:00 -0800 E6-21903 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-21/pdf/E6-21903.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Amendments to Exchange Rule 638 Concerning Mediation https://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21818.html https://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21818.html Thu, 21 Dec 2006 00:00:00 -0800 E6-21818 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-21/pdf/E6-21818.pdf Rule - Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies https://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21781.html https://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21781.html Thu, 21 Dec 2006 00:00:00 -0800 E6-21781 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-21/pdf/E6-21781.pdf Notice - ProFunds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21780.html https://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21780.html Thu, 21 Dec 2006 00:00:00 -0800 E6-21780 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-21/pdf/E6-21780.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21779.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21779.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21779 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21779.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 its Insurance Processing Service https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21717.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21717.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21717 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21717.pdf 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. https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21708.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21708.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21708 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21708.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Participant https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21707.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21707.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21707 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21707.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Member https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21706.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21706.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21706 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21706.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Accelerated Approval of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21684.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21684.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21684 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21684.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Participant https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21683.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21683.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21683 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21683.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21660.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21660.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21660 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21660.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21659.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21659.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21659 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21659.pdf Notice - Members Mutual Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21656.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21656.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21656 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21656.pdf Notice - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21655.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21655.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21655 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21655.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21654.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21654.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21654 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21654.pdf 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 https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21653.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21653.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21653 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21653.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 Temporarily Adjust Tier Volume Limits https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21652.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21652.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21652 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21652.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 a Pricing Pilot for NASD Members Using ITS/CAES and Inet https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21650.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21650.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21650 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21650.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 and Inet https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21648.html https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21648.html Wed, 20 Dec 2006 00:00:00 -0800 E6-21648 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21648.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21643.html https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21643.html Tue, 19 Dec 2006 00:00:00 -0800 E6-21643 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21643.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21596.html https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21596.html Tue, 19 Dec 2006 00:00:00 -0800 E6-21596 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21596.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21595.html https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21595.html Tue, 19 Dec 2006 00:00:00 -0800 E6-21595 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21595.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21594.html https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21594.html Tue, 19 Dec 2006 00:00:00 -0800 E6-21594 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21594.pdf Notice - Submissions for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21589.html https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21589.html Tue, 19 Dec 2006 00:00:00 -0800 E6-21589 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21589.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21588.html https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21588.html Tue, 19 Dec 2006 00:00:00 -0800 E6-21588 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21588.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21587.html https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21587.html Tue, 19 Dec 2006 00:00:00 -0800 E6-21587 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21587.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21585.html https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21585.html Tue, 19 Dec 2006 00:00:00 -0800 E6-21585 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21585.pdf Notice - 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 Amended https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21480.html https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21480.html Mon, 18 Dec 2006 00:00:00 -0800 E6-21480 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21480.pdf 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/2006/12/18/E6-21479.html https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21479.html Mon, 18 Dec 2006 00:00:00 -0800 E6-21479 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21479.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 the Removal of Minimum Volume and Fill-Or-Kill Order Type Designations https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21477.html https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21477.html Mon, 18 Dec 2006 00:00:00 -0800 E6-21477 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21477.pdf Notice - Extension of Order Regarding Broker-Dealer Financial Statement Requirements Under Section 17 of the Exchange Act https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21475.html https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21475.html Mon, 18 Dec 2006 00:00:00 -0800 E6-21475 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21475.pdf Notice - 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 Margining https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21474.html https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21474.html Mon, 18 Dec 2006 00:00:00 -0800 E6-21474 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21474.pdf Notice - 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-Laws https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21452.html https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21452.html Mon, 18 Dec 2006 00:00:00 -0800 E6-21452 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21452.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21449.html https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21449.html Mon, 18 Dec 2006 00:00:00 -0800 E6-21449 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21449.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Linkage Fee https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21374.html https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21374.html Fri, 15 Dec 2006 00:00:00 -0800 E6-21374 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21374.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 Prefatory Language in Chapter 21 (ISE Stock Exchange LLC Trading Rules) https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21373.html https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21373.html Fri, 15 Dec 2006 00:00:00 -0800 E6-21373 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21373.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21372.html https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21372.html Fri, 15 Dec 2006 00:00:00 -0800 E6-21372 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21372.pdf Notice - 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 Disclosure https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21362.html https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21362.html Fri, 15 Dec 2006 00:00:00 -0800 E6-21362 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21362.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21361.html https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21361.html Fri, 15 Dec 2006 00:00:00 -0800 E6-21361 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21361.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ISE Stock Exchange Fees https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21359.html https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21359.html Fri, 15 Dec 2006 00:00:00 -0800 E6-21359 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21359.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21357.html https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21357.html Fri, 15 Dec 2006 00:00:00 -0800 E6-21357 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21357.pdf Notice - The MainStay Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21342.html https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21342.html Fri, 15 Dec 2006 00:00:00 -0800 E6-21342 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21342.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Integrate Brut and INET Facilities https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21340.html https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21340.html Fri, 15 Dec 2006 00:00:00 -0800 E6-21340 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21340.pdf Notice - 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 Customers https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21339.html https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21339.html Fri, 15 Dec 2006 00:00:00 -0800 E6-21339 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21339.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain License Fees https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21338.html https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21338.html Fri, 15 Dec 2006 00:00:00 -0800 E6-21338 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21338.pdf Notice - Sunshine Act Meeting Notice https://regulations.justia.com/regulations/fedreg/2006/12/15/06-9739.html https://regulations.justia.com/regulations/fedreg/2006/12/15/06-9739.html Fri, 15 Dec 2006 00:00:00 -0800 06-9739 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/06-9739.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Buy-Ins of Municipal Securities https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21281.html https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21281.html Thu, 14 Dec 2006 00:00:00 -0800 E6-21281 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21281.pdf Notice - 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 Activity https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21278.html https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21278.html Thu, 14 Dec 2006 00:00:00 -0800 E6-21278 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21278.pdf Notice - 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 Regulations https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21277.html https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21277.html Thu, 14 Dec 2006 00:00:00 -0800 E6-21277 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21277.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise Stock Futures Adjustment Methodology https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21276.html https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21276.html Thu, 14 Dec 2006 00:00:00 -0800 E6-21276 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21276.pdf Notice - 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 2340 https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21236.html https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21236.html Thu, 14 Dec 2006 00:00:00 -0800 E6-21236 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21236.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change Relating to Financial Responsibility, Operational Capability, Insolvency, and Ceasing To Act https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21234.html https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21234.html Thu, 14 Dec 2006 00:00:00 -0800 E6-21234 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21234.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2006/12/14/06-9722.html https://regulations.justia.com/regulations/fedreg/2006/12/14/06-9722.html Thu, 14 Dec 2006 00:00:00 -0800 06-9722 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/06-9722.pdf Notice - 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 Fund https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21173.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21173.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21173 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21173.pdf Notice - 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 Increments https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21171.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21171.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21171 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21171.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21170.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21170.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21170 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21170.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change To Amend Rule 777 Regarding Depository Eligibility https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21169.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21169.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21169 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21169.pdf Notice - The Mexico Equity and Income Fund, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21166.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21166.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21166 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21166.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an ISE Stock Exchange Fee Waiver https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21165.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21165.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21165 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21165.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Extend the Term of Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21164.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21164.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21164 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21164.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving a Proposed Rule Change Relating to an Escrow Program Fee To Be Charged to Escrow Banks https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21163.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21163.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21163 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21163.pdf Notice - 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 Criteria https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21162.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21162.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21162 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21162.pdf Notice - 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 Linkage https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21161.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21161.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21161 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21161.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21160.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21160.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21160 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21160.pdf Notice - 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 Traders https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21159.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21159.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21159 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21159.pdf Notice - 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 Book https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21158.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21158.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21158 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21158.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21157.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21157.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21157 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21157.pdf Proposed Rule - Amendments to Regulation SHO and Rule 10a-1 https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21156.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21156.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21156 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21156.pdf Proposed Rule - Short Selling in Connection With a Public Offering https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21141.html https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21141.html Wed, 13 Dec 2006 00:00:00 -0800 E6-21141 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21141.pdf Rule - Electronic Filing of Transfer Agent Forms https://regulations.justia.com/regulations/fedreg/2006/12/12/06-9600.html https://regulations.justia.com/regulations/fedreg/2006/12/12/06-9600.html Tue, 12 Dec 2006 00:00:00 -0800 06-9600 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-12/pdf/06-9600.pdf Notice - 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 Pilot https://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20966.html https://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20966.html Mon, 11 Dec 2006 00:00:00 -0800 E6-20966 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/E6-20966.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 Regarding Guidance for Adjudicating Clearly Erroneous Transactions Under NASD Rule 11890 https://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20965.html https://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20965.html Mon, 11 Dec 2006 00:00:00 -0800 E6-20965 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/E6-20965.pdf Notice - 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, 2007 https://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20964.html https://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20964.html Mon, 11 Dec 2006 00:00:00 -0800 E6-20964 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/E6-20964.pdf Notice - 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 Traders https://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20963.html https://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20963.html Mon, 11 Dec 2006 00:00:00 -0800 E6-20963 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/E6-20963.pdf Notice - Sunshine Act Meeting Notice https://regulations.justia.com/regulations/fedreg/2006/12/11/06-9638.html https://regulations.justia.com/regulations/fedreg/2006/12/11/06-9638.html Mon, 11 Dec 2006 00:00:00 -0800 06-9638 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/06-9638.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20886.html https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20886.html Fri, 08 Dec 2006 00:00:00 -0800 E6-20886 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20886.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20885.html https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20885.html Fri, 08 Dec 2006 00:00:00 -0800 E6-20885 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20885.pdf Rule - Delegation of Authority to Chief Administrative Law Judge https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20884.html https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20884.html Fri, 08 Dec 2006 00:00:00 -0800 E6-20884 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20884.pdf Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2007 https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20878.html https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20878.html Fri, 08 Dec 2006 00:00:00 -0800 E6-20878 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20878.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20874.html https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20874.html Fri, 08 Dec 2006 00:00:00 -0800 E6-20874 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20874.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20873.html https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20873.html Fri, 08 Dec 2006 00:00:00 -0800 E6-20873 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20873.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20872.html https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20872.html Fri, 08 Dec 2006 00:00:00 -0800 E6-20872 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20872.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to the Canadian Link Service https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20868.html https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20868.html Fri, 08 Dec 2006 00:00:00 -0800 E6-20868 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20868.pdf Proposed Rule - Proposed Amendments to Municipal Securities Disclosure https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20829.html https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20829.html Fri, 08 Dec 2006 00:00:00 -0800 E6-20829 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20829.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20806.html https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20806.html Fri, 08 Dec 2006 00:00:00 -0800 E6-20806 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20806.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20805.html https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20805.html Fri, 08 Dec 2006 00:00:00 -0800 E6-20805 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20805.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20804.html https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20804.html Fri, 08 Dec 2006 00:00:00 -0800 E6-20804 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20804.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change To Extend the Term of Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20762.html https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20762.html Thu, 07 Dec 2006 00:00:00 -0800 E6-20762 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20762.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to NYSE Rule 342.30 https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20733.html https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20733.html Thu, 07 Dec 2006 00:00:00 -0800 E6-20733 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20733.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20731.html https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20731.html Thu, 07 Dec 2006 00:00:00 -0800 E6-20731 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20731.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20730.html https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20730.html Thu, 07 Dec 2006 00:00:00 -0800 E6-20730 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20730.pdf Notice - 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 Agency https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20727.html https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20727.html Thu, 07 Dec 2006 00:00:00 -0800 E6-20727 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20727.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to a Direct Registration System https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20726.html https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20726.html Thu, 07 Dec 2006 00:00:00 -0800 E6-20726 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20726.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20719.html https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20719.html Thu, 07 Dec 2006 00:00:00 -0800 E6-20719 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20719.pdf Notice - 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 Positioning https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20716.html https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20716.html Thu, 07 Dec 2006 00:00:00 -0800 E6-20716 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20716.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20715.html https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20715.html Thu, 07 Dec 2006 00:00:00 -0800 E6-20715 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20715.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20714.html https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20714.html Thu, 07 Dec 2006 00:00:00 -0800 E6-20714 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20714.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Clearing Fund Deficiency Calls https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20658.html https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20658.html Wed, 06 Dec 2006 00:00:00 -0800 E6-20658 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20658.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20657.html https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20657.html Wed, 06 Dec 2006 00:00:00 -0800 E6-20657 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20657.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Appointment of CBSX DPMs https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20656.html https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20656.html Wed, 06 Dec 2006 00:00:00 -0800 E6-20656 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20656.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20632.html https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20632.html Wed, 06 Dec 2006 00:00:00 -0800 E6-20632 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20632.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 NSX BLADE https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20628.html https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20628.html Wed, 06 Dec 2006 00:00:00 -0800 E6-20628 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20628.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to the Federal Reserve's National Settlement System https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20626.html https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20626.html Wed, 06 Dec 2006 00:00:00 -0800 E6-20626 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20626.pdf Notice - 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 Collateral https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20623.html https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20623.html Wed, 06 Dec 2006 00:00:00 -0800 E6-20623 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20623.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20621.html https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20621.html Wed, 06 Dec 2006 00:00:00 -0800 E6-20621 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20621.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20619.html https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20619.html Wed, 06 Dec 2006 00:00:00 -0800 E6-20619 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20619.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20576.html https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20576.html Wed, 06 Dec 2006 00:00:00 -0800 E6-20576 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20576.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20575.html https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20575.html Wed, 06 Dec 2006 00:00:00 -0800 E6-20575 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20575.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Clarify the Process Surrounding a Reverse Merger https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20574.html https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20574.html Wed, 06 Dec 2006 00:00:00 -0800 E6-20574 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20574.pdf Notice - 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 Index https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20572.html https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20572.html Wed, 06 Dec 2006 00:00:00 -0800 E6-20572 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20572.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2006/12/06/06-9562.html https://regulations.justia.com/regulations/fedreg/2006/12/06/06-9562.html Wed, 06 Dec 2006 00:00:00 -0800 06-9562 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/06-9562.pdf Notice - 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 Reporting https://regulations.justia.com/regulations/fedreg/2006/12/06/06-9544.html https://regulations.justia.com/regulations/fedreg/2006/12/06/06-9544.html Wed, 06 Dec 2006 00:00:00 -0800 06-9544 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/06-9544.pdf Notice - 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 MARKETSM https://regulations.justia.com/regulations/fedreg/2006/12/05/E6-20517.html https://regulations.justia.com/regulations/fedreg/2006/12/05/E6-20517.html Tue, 05 Dec 2006 00:00:00 -0800 E6-20517 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-05/pdf/E6-20517.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20437.html https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20437.html Mon, 04 Dec 2006 00:00:00 -0800 E6-20437 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20437.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20431.html https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20431.html Mon, 04 Dec 2006 00:00:00 -0800 E6-20431 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20431.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20430.html https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20430.html Mon, 04 Dec 2006 00:00:00 -0800 E6-20430 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20430.pdf Notice - Submission for OMB Review, Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20428.html https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20428.html Mon, 04 Dec 2006 00:00:00 -0800 E6-20428 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20428.pdf Notice - Submissions for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20427.html https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20427.html Mon, 04 Dec 2006 00:00:00 -0800 E6-20427 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20427.pdf Notice - Application and Opportunity for Hearing: Software Brokers of America, Inc. https://regulations.justia.com/regulations/fedreg/2006/12/01/E6-20310.html https://regulations.justia.com/regulations/fedreg/2006/12/01/E6-20310.html Fri, 01 Dec 2006 00:00:00 -0800 E6-20310 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-01/pdf/E6-20310.pdf Notice - 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 Trades https://regulations.justia.com/regulations/fedreg/2006/12/01/E6-20309.html https://regulations.justia.com/regulations/fedreg/2006/12/01/E6-20309.html Fri, 01 Dec 2006 00:00:00 -0800 E6-20309 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-01/pdf/E6-20309.pdf