Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2006?limit=200&registers=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom 2019-07-19T00:45:17-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22404.html 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 2006-12-29T00:00:00-08:00 2006-12-29T00:00:00-08:00 E6-22404 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22404.pdf https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22402.html 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 2006-12-29T00:00:00-08:00 2006-12-29T00:00:00-08:00 E6-22402 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22402.pdf https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22401.html 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 2006-12-29T00:00:00-08:00 2006-12-29T00:00:00-08:00 E6-22401 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22401.pdf https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22400.html 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 2006-12-29T00:00:00-08:00 2006-12-29T00:00:00-08:00 E6-22400 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22400.pdf https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22399.html 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 2006-12-29T00:00:00-08:00 2006-12-29T00:00:00-08:00 E6-22399 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22399.pdf https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22398.html 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 2006-12-29T00:00:00-08:00 2006-12-29T00:00:00-08:00 E6-22398 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22398.pdf https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22397.html 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 2006-12-29T00:00:00-08:00 2006-12-29T00:00:00-08:00 E6-22397 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22397.pdf https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22396.html 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 2006-12-29T00:00:00-08:00 2006-12-29T00:00:00-08:00 E6-22396 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22396.pdf https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22395.html 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 2006-12-29T00:00:00-08:00 2006-12-29T00:00:00-08:00 E6-22395 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22395.pdf https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22394.html 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 2006-12-29T00:00:00-08:00 2006-12-29T00:00:00-08:00 E6-22394 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22394.pdf https://regulations.justia.com/regulations/fedreg/2006/12/29/E6-22392.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding a Permit Program for CBSX 2006-12-29T00:00:00-08:00 2006-12-29T00:00:00-08:00 E6-22392 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/E6-22392.pdf https://regulations.justia.com/regulations/fedreg/2006/12/29/06-9932.html Rule - Executive Compensation Disclosure 2006-12-29T00:00:00-08:00 2006-12-29T00:00:00-08:00 06-9932 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-29/pdf/06-9932.pdf https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22262.html Notice - Barclays Global Fund Advisors, et al.; Notice of Application 2006-12-28T00:00:00-08:00 2006-12-28T00:00:00-08:00 E6-22262 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22262.pdf https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22261.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Its Regulatory Oversight Committee 2006-12-28T00:00:00-08:00 2006-12-28T00:00:00-08:00 E6-22261 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22261.pdf https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22252.html 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 2006-12-28T00:00:00-08:00 2006-12-28T00:00:00-08:00 E6-22252 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22252.pdf https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22201.html 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 2006-12-28T00:00:00-08:00 2006-12-28T00:00:00-08:00 E6-22201 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22201.pdf https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22200.html Notice - Forum Funds, et al.; Notice of Application 2006-12-28T00:00:00-08:00 2006-12-28T00:00:00-08:00 E6-22200 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22200.pdf https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22199.html 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 2006-12-28T00:00:00-08:00 2006-12-28T00:00:00-08:00 E6-22199 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22199.pdf https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22198.html 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 2006-12-28T00:00:00-08:00 2006-12-28T00:00:00-08:00 E6-22198 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22198.pdf https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22197.html 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 2006-12-28T00:00:00-08:00 2006-12-28T00:00:00-08:00 E6-22197 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22197.pdf https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22196.html 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 2006-12-28T00:00:00-08:00 2006-12-28T00:00:00-08:00 E6-22196 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22196.pdf https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22194.html 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 2006-12-28T00:00:00-08:00 2006-12-28T00:00:00-08:00 E6-22194 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22194.pdf https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22193.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC ; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2006-12-28T00:00:00-08:00 2006-12-28T00:00:00-08:00 E6-22193 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22193.pdf https://regulations.justia.com/regulations/fedreg/2006/12/28/E6-22192.html 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 2006-12-28T00:00:00-08:00 2006-12-28T00:00:00-08:00 E6-22192 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-28/pdf/E6-22192.pdf https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22099.html Proposed Rule - Management's Report on Internal Control Over Financial Reporting 2006-12-27T00:00:00-08:00 2006-12-27T00:00:00-08:00 E6-22099 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22099.pdf https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22093.html 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 2006-12-27T00:00:00-08:00 2006-12-27T00:00:00-08:00 E6-22093 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22093.pdf https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22092.html 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 2006-12-27T00:00:00-08:00 2006-12-27T00:00:00-08:00 E6-22092 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22092.pdf https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22091.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change Relating To Providing Certain Reports to Its Members 2006-12-27T00:00:00-08:00 2006-12-27T00:00:00-08:00 E6-22091 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22091.pdf https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22090.html 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 2006-12-27T00:00:00-08:00 2006-12-27T00:00:00-08:00 E6-22090 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22090.pdf https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22089.html 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 2006-12-27T00:00:00-08:00 2006-12-27T00:00:00-08:00 E6-22089 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22089.pdf https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22087.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish Nasdaq Custom Data Feeds 2006-12-27T00:00:00-08:00 2006-12-27T00:00:00-08:00 E6-22087 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22087.pdf https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22086.html 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 2006-12-27T00:00:00-08:00 2006-12-27T00:00:00-08:00 E6-22086 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22086.pdf https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22085.html 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 2006-12-27T00:00:00-08:00 2006-12-27T00:00:00-08:00 E6-22085 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22085.pdf https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22084.html 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 2006-12-27T00:00:00-08:00 2006-12-27T00:00:00-08:00 E6-22084 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22084.pdf https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22083.html 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 2006-12-27T00:00:00-08:00 2006-12-27T00:00:00-08:00 E6-22083 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22083.pdf https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22082.html 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 2006-12-27T00:00:00-08:00 2006-12-27T00:00:00-08:00 E6-22082 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22082.pdf https://regulations.justia.com/regulations/fedreg/2006/12/27/E6-22081.html 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 2006-12-27T00:00:00-08:00 2006-12-27T00:00:00-08:00 E6-22081 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/E6-22081.pdf https://regulations.justia.com/regulations/fedreg/2006/12/27/06-9864.html 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 2006-12-27T00:00:00-08:00 2006-12-27T00:00:00-08:00 06-9864 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-27/pdf/06-9864.pdf https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22009.html Notice - Jackson National Life Insurance Company, et al. 2006-12-26T00:00:00-08:00 2006-12-26T00:00:00-08:00 E6-22009 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22009.pdf https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22007.html 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 2006-12-26T00:00:00-08:00 2006-12-26T00:00:00-08:00 E6-22007 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22007.pdf https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22006.html 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 2006-12-26T00:00:00-08:00 2006-12-26T00:00:00-08:00 E6-22006 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22006.pdf https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22005.html 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 2006-12-26T00:00:00-08:00 2006-12-26T00:00:00-08:00 E6-22005 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22005.pdf https://regulations.justia.com/regulations/fedreg/2006/12/26/E6-22004.html 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 2006-12-26T00:00:00-08:00 2006-12-26T00:00:00-08:00 E6-22004 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/E6-22004.pdf https://regulations.justia.com/regulations/fedreg/2006/12/26/06-9844.html 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 2006-12-26T00:00:00-08:00 2006-12-26T00:00:00-08:00 06-9844 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/06-9844.pdf https://regulations.justia.com/regulations/fedreg/2006/12/26/06-9842.html Proposed Rule - Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules 2006-12-26T00:00:00-08:00 2006-12-26T00:00:00-08:00 06-9842 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/06-9842.pdf https://regulations.justia.com/regulations/fedreg/2006/12/26/06-9841.html Notice - Order Extending Temporary Exemption of Banks From the Definition of “Broker” Under Section 3(a)(4) of the Securities Exchange Act of 1934 2006-12-26T00:00:00-08:00 2006-12-26T00:00:00-08:00 06-9841 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/06-9841.pdf https://regulations.justia.com/regulations/fedreg/2006/12/26/06-9825.html Proposed Rule - Definitions of Terms and Exemptions Relating to the “Broker” Exceptions for Banks 2006-12-26T00:00:00-08:00 2006-12-26T00:00:00-08:00 06-9825 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-26/pdf/06-9825.pdf https://regulations.justia.com/regulations/fedreg/2006/12/22/E6-21941.html Notice - NexBank Securities, Inc. and NexBank Series, Notice of Application 2006-12-22T00:00:00-08:00 2006-12-22T00:00:00-08:00 E6-21941 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-22/pdf/E6-21941.pdf https://regulations.justia.com/regulations/fedreg/2006/12/22/E6-21906.html 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 2006-12-22T00:00:00-08:00 2006-12-22T00:00:00-08:00 E6-21906 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-22/pdf/E6-21906.pdf https://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21903.html Proposed Rule - Investment Company Governance 2006-12-21T00:00:00-08:00 2006-12-21T00:00:00-08:00 E6-21903 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-21/pdf/E6-21903.pdf https://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21818.html 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 2006-12-21T00:00:00-08:00 2006-12-21T00:00:00-08:00 E6-21818 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-21/pdf/E6-21818.pdf https://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21781.html Rule - Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies 2006-12-21T00:00:00-08:00 2006-12-21T00:00:00-08:00 E6-21781 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-21/pdf/E6-21781.pdf https://regulations.justia.com/regulations/fedreg/2006/12/21/E6-21780.html Notice - ProFunds, et al.; Notice of Application 2006-12-21T00:00:00-08:00 2006-12-21T00:00:00-08:00 E6-21780 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-21/pdf/E6-21780.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21779.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21779 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21779.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21717.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clarifying and Technical Changes to its Insurance Processing Service 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21717 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21717.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21708.html Notice - Joint Industry Plan; Notice of Filing and Effectiveness of Amendment No. 18 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc. 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21708 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21708.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21707.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Participant 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21707 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21707.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21706.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Member 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21706 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21706.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21684.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Accelerated Approval of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21684 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21684.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21683.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Participant 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21683 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21683.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21660.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to an NASD Trade Reporting Facility Established in Conjunction With the Boston Stock Exchange 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21660 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21660.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21659.html Notice - Public Company Accounting Oversight Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adjusting Implementation Schedule of Rule 3523, Tax Services for Persons in Financial Reporting Oversight Roles 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21659 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21659.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21656.html Notice - Members Mutual Funds, et al.; Notice of Application 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21656 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21656.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21655.html Notice - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21655 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21655.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21654.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Amending its Index Obvious Error Rule 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21654 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21654.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21653.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change Relating to the Definition of Complex Trade as Applied to Trades Through the Intermarket Linkage 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21653 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21653.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21652.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Temporarily Adjust Tier Volume Limits 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21652 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21652.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21650.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Extend a Pricing Pilot for NASD Members Using ITS/CAES and Inet 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21650 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21650.pdf https://regulations.justia.com/regulations/fedreg/2006/12/20/E6-21648.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASD Members Using ITS/CAES and Inet 2006-12-20T00:00:00-08:00 2006-12-20T00:00:00-08:00 E6-21648 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-20/pdf/E6-21648.pdf https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21643.html Notice - Submission for OMB Review; Comment Request 2006-12-19T00:00:00-08:00 2006-12-19T00:00:00-08:00 E6-21643 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21643.pdf https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21596.html Notice - Proposed Collection; Comment Request 2006-12-19T00:00:00-08:00 2006-12-19T00:00:00-08:00 E6-21596 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21596.pdf https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21595.html Notice - Submission for OMB Review; Comment Request 2006-12-19T00:00:00-08:00 2006-12-19T00:00:00-08:00 E6-21595 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21595.pdf https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21594.html Notice - Submission for OMB Review; Comment Request 2006-12-19T00:00:00-08:00 2006-12-19T00:00:00-08:00 E6-21594 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21594.pdf https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21589.html Notice - Submissions for OMB Review; Comment Request 2006-12-19T00:00:00-08:00 2006-12-19T00:00:00-08:00 E6-21589 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21589.pdf https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21588.html Notice - Submission for OMB Review; Comment Request 2006-12-19T00:00:00-08:00 2006-12-19T00:00:00-08:00 E6-21588 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21588.pdf https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21587.html Notice - Submission for OMB Review; Comment Request 2006-12-19T00:00:00-08:00 2006-12-19T00:00:00-08:00 E6-21587 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21587.pdf https://regulations.justia.com/regulations/fedreg/2006/12/19/E6-21585.html 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 2006-12-19T00:00:00-08:00 2006-12-19T00:00:00-08:00 E6-21585 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-19/pdf/E6-21585.pdf https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21480.html 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 2006-12-18T00:00:00-08:00 2006-12-18T00:00:00-08:00 E6-21480 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21480.pdf https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21479.html 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 2006-12-18T00:00:00-08:00 2006-12-18T00:00:00-08:00 E6-21479 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21479.pdf https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21477.html 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 2006-12-18T00:00:00-08:00 2006-12-18T00:00:00-08:00 E6-21477 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21477.pdf https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21475.html Notice - Extension of Order Regarding Broker-Dealer Financial Statement Requirements Under Section 17 of the Exchange Act 2006-12-18T00:00:00-08:00 2006-12-18T00:00:00-08:00 E6-21475 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21475.pdf https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21474.html 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 2006-12-18T00:00:00-08:00 2006-12-18T00:00:00-08:00 E6-21474 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21474.pdf https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21452.html 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 2006-12-18T00:00:00-08:00 2006-12-18T00:00:00-08:00 E6-21452 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21452.pdf https://regulations.justia.com/regulations/fedreg/2006/12/18/E6-21449.html 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 2006-12-18T00:00:00-08:00 2006-12-18T00:00:00-08:00 E6-21449 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-18/pdf/E6-21449.pdf https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21374.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Linkage Fee 2006-12-15T00:00:00-08:00 2006-12-15T00:00:00-08:00 E6-21374 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21374.pdf https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21373.html 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) 2006-12-15T00:00:00-08:00 2006-12-15T00:00:00-08:00 E6-21373 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21373.pdf https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21372.html 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 2006-12-15T00:00:00-08:00 2006-12-15T00:00:00-08:00 E6-21372 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21372.pdf https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21362.html 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 2006-12-15T00:00:00-08:00 2006-12-15T00:00:00-08:00 E6-21362 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21362.pdf https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21361.html 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) 2006-12-15T00:00:00-08:00 2006-12-15T00:00:00-08:00 E6-21361 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21361.pdf https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21359.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ISE Stock Exchange Fees 2006-12-15T00:00:00-08:00 2006-12-15T00:00:00-08:00 E6-21359 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21359.pdf https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21357.html 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) 2006-12-15T00:00:00-08:00 2006-12-15T00:00:00-08:00 E6-21357 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21357.pdf https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21342.html Notice - The MainStay Funds, et al.; Notice of Application 2006-12-15T00:00:00-08:00 2006-12-15T00:00:00-08:00 E6-21342 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21342.pdf https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21340.html 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 2006-12-15T00:00:00-08:00 2006-12-15T00:00:00-08:00 E6-21340 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21340.pdf https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21339.html 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 2006-12-15T00:00:00-08:00 2006-12-15T00:00:00-08:00 E6-21339 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21339.pdf https://regulations.justia.com/regulations/fedreg/2006/12/15/E6-21338.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain License Fees 2006-12-15T00:00:00-08:00 2006-12-15T00:00:00-08:00 E6-21338 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/E6-21338.pdf https://regulations.justia.com/regulations/fedreg/2006/12/15/06-9739.html Notice - Sunshine Act Meeting Notice 2006-12-15T00:00:00-08:00 2006-12-15T00:00:00-08:00 06-9739 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-15/pdf/06-9739.pdf https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21281.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Buy-Ins of Municipal Securities 2006-12-14T00:00:00-08:00 2006-12-14T00:00:00-08:00 E6-21281 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21281.pdf https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21278.html 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 2006-12-14T00:00:00-08:00 2006-12-14T00:00:00-08:00 E6-21278 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21278.pdf https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21277.html 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 2006-12-14T00:00:00-08:00 2006-12-14T00:00:00-08:00 E6-21277 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21277.pdf https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21276.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise Stock Futures Adjustment Methodology 2006-12-14T00:00:00-08:00 2006-12-14T00:00:00-08:00 E6-21276 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21276.pdf https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21236.html 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 2006-12-14T00:00:00-08:00 2006-12-14T00:00:00-08:00 E6-21236 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21236.pdf https://regulations.justia.com/regulations/fedreg/2006/12/14/E6-21234.html 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 2006-12-14T00:00:00-08:00 2006-12-14T00:00:00-08:00 E6-21234 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/E6-21234.pdf https://regulations.justia.com/regulations/fedreg/2006/12/14/06-9722.html Notice - Sunshine Act Meeting 2006-12-14T00:00:00-08:00 2006-12-14T00:00:00-08:00 06-9722 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-14/pdf/06-9722.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21173.html 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 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21173 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21173.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21171.html 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 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21171 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21171.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21170.html 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”) 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21170 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21170.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21169.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change To Amend Rule 777 Regarding Depository Eligibility 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21169 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21169.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21166.html Notice - The Mexico Equity and Income Fund, Inc.; Notice of Application 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21166 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21166.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21165.html 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 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21165 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21165.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21164.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Extend the Term of Index-Linked Securities 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21164 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21164.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21163.html 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 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21163 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21163.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21162.html 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 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21162 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21162.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21161.html 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 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21161 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21161.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21160.html 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) 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21160 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21160.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21159.html 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 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21159 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21159.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21158.html 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 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21158 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21158.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21157.html 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 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21157 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21157.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21156.html Proposed Rule - Amendments to Regulation SHO and Rule 10a-1 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21156 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21156.pdf https://regulations.justia.com/regulations/fedreg/2006/12/13/E6-21141.html Proposed Rule - Short Selling in Connection With a Public Offering 2006-12-13T00:00:00-08:00 2006-12-13T00:00:00-08:00 E6-21141 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-13/pdf/E6-21141.pdf https://regulations.justia.com/regulations/fedreg/2006/12/12/06-9600.html Rule - Electronic Filing of Transfer Agent Forms 2006-12-12T00:00:00-08:00 2006-12-12T00:00:00-08:00 06-9600 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-12/pdf/06-9600.pdf https://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20966.html 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 2006-12-11T00:00:00-08:00 2006-12-11T00:00:00-08:00 E6-20966 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/E6-20966.pdf https://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20965.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Regarding Guidance for Adjudicating Clearly Erroneous Transactions Under NASD Rule 11890 2006-12-11T00:00:00-08:00 2006-12-11T00:00:00-08:00 E6-20965 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/E6-20965.pdf https://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20964.html 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 2006-12-11T00:00:00-08:00 2006-12-11T00:00:00-08:00 E6-20964 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/E6-20964.pdf https://regulations.justia.com/regulations/fedreg/2006/12/11/E6-20963.html 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 2006-12-11T00:00:00-08:00 2006-12-11T00:00:00-08:00 E6-20963 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/E6-20963.pdf https://regulations.justia.com/regulations/fedreg/2006/12/11/06-9638.html Notice - Sunshine Act Meeting Notice 2006-12-11T00:00:00-08:00 2006-12-11T00:00:00-08:00 06-9638 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-11/pdf/06-9638.pdf https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20886.html 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”) 2006-12-08T00:00:00-08:00 2006-12-08T00:00:00-08:00 E6-20886 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20886.pdf https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20885.html 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 2006-12-08T00:00:00-08:00 2006-12-08T00:00:00-08:00 E6-20885 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20885.pdf https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20884.html Rule - Delegation of Authority to Chief Administrative Law Judge 2006-12-08T00:00:00-08:00 2006-12-08T00:00:00-08:00 E6-20884 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20884.pdf https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20878.html Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2007 2006-12-08T00:00:00-08:00 2006-12-08T00:00:00-08:00 E6-20878 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20878.pdf https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20874.html 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 2006-12-08T00:00:00-08:00 2006-12-08T00:00:00-08:00 E6-20874 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20874.pdf https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20873.html 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 2006-12-08T00:00:00-08:00 2006-12-08T00:00:00-08:00 E6-20873 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20873.pdf https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20872.html 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 2006-12-08T00:00:00-08:00 2006-12-08T00:00:00-08:00 E6-20872 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20872.pdf https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20868.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to the Canadian Link Service 2006-12-08T00:00:00-08:00 2006-12-08T00:00:00-08:00 E6-20868 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20868.pdf https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20829.html Proposed Rule - Proposed Amendments to Municipal Securities Disclosure 2006-12-08T00:00:00-08:00 2006-12-08T00:00:00-08:00 E6-20829 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20829.pdf https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20806.html 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 2006-12-08T00:00:00-08:00 2006-12-08T00:00:00-08:00 E6-20806 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20806.pdf https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20805.html Notice - Proposed Collection; Comment Request 2006-12-08T00:00:00-08:00 2006-12-08T00:00:00-08:00 E6-20805 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20805.pdf https://regulations.justia.com/regulations/fedreg/2006/12/08/E6-20804.html 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 2006-12-08T00:00:00-08:00 2006-12-08T00:00:00-08:00 E6-20804 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-08/pdf/E6-20804.pdf https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20762.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change To Extend the Term of Index-Linked Securities 2006-12-07T00:00:00-08:00 2006-12-07T00:00:00-08:00 E6-20762 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20762.pdf https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20733.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to NYSE Rule 342.30 2006-12-07T00:00:00-08:00 2006-12-07T00:00:00-08:00 E6-20733 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20733.pdf https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20731.html 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 2006-12-07T00:00:00-08:00 2006-12-07T00:00:00-08:00 E6-20731 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20731.pdf https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20730.html 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 2006-12-07T00:00:00-08:00 2006-12-07T00:00:00-08:00 E6-20730 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20730.pdf https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20727.html 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 2006-12-07T00:00:00-08:00 2006-12-07T00:00:00-08:00 E6-20727 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20727.pdf https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20726.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to a Direct Registration System 2006-12-07T00:00:00-08:00 2006-12-07T00:00:00-08:00 E6-20726 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20726.pdf https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20719.html 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 2006-12-07T00:00:00-08:00 2006-12-07T00:00:00-08:00 E6-20719 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20719.pdf https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20716.html 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 2006-12-07T00:00:00-08:00 2006-12-07T00:00:00-08:00 E6-20716 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20716.pdf https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20715.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits 2006-12-07T00:00:00-08:00 2006-12-07T00:00:00-08:00 E6-20715 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20715.pdf https://regulations.justia.com/regulations/fedreg/2006/12/07/E6-20714.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fee Changes 2006-12-07T00:00:00-08:00 2006-12-07T00:00:00-08:00 E6-20714 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-07/pdf/E6-20714.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20658.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Clearing Fund Deficiency Calls 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 E6-20658 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20658.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20657.html 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 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 E6-20657 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20657.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20656.html 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 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 E6-20656 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20656.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20632.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 E6-20632 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20632.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20628.html 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 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 E6-20628 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20628.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20626.html 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 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 E6-20626 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20626.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20623.html 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 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 E6-20623 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20623.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20621.html 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 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 E6-20621 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20621.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20619.html 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 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 E6-20619 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20619.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20576.html Notice - Proposed Collection; Comment Request 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 E6-20576 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20576.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20575.html Notice - Proposed Collection; Comment Request 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 E6-20575 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20575.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20574.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Clarify the Process Surrounding a Reverse Merger 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 E6-20574 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20574.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/E6-20572.html 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 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 E6-20572 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/E6-20572.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/06-9562.html Notice - Sunshine Act Meeting 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 06-9562 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/06-9562.pdf https://regulations.justia.com/regulations/fedreg/2006/12/06/06-9544.html 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 2006-12-06T00:00:00-08:00 2006-12-06T00:00:00-08:00 06-9544 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-06/pdf/06-9544.pdf https://regulations.justia.com/regulations/fedreg/2006/12/05/E6-20517.html 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 2006-12-05T00:00:00-08:00 2006-12-05T00:00:00-08:00 E6-20517 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-05/pdf/E6-20517.pdf https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20437.html Notice - Submission for OMB Review; Comment Request 2006-12-04T00:00:00-08:00 2006-12-04T00:00:00-08:00 E6-20437 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20437.pdf https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20431.html Notice - Submission for OMB Review; Comment Request 2006-12-04T00:00:00-08:00 2006-12-04T00:00:00-08:00 E6-20431 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20431.pdf https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20430.html Notice - Submission for OMB Review; Comment Request 2006-12-04T00:00:00-08:00 2006-12-04T00:00:00-08:00 E6-20430 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20430.pdf https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20428.html Notice - Submission for OMB Review, Comment Request 2006-12-04T00:00:00-08:00 2006-12-04T00:00:00-08:00 E6-20428 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20428.pdf https://regulations.justia.com/regulations/fedreg/2006/12/04/E6-20427.html Notice - Submissions for OMB Review; Comment Request 2006-12-04T00:00:00-08:00 2006-12-04T00:00:00-08:00 E6-20427 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-04/pdf/E6-20427.pdf https://regulations.justia.com/regulations/fedreg/2006/12/01/E6-20310.html Notice - Application and Opportunity for Hearing: Software Brokers of America, Inc. 2006-12-01T00:00:00-08:00 2006-12-01T00:00:00-08:00 E6-20310 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-01/pdf/E6-20310.pdf https://regulations.justia.com/regulations/fedreg/2006/12/01/E6-20309.html 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 2006-12-01T00:00:00-08:00 2006-12-01T00:00:00-08:00 E6-20309 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-12-01/pdf/E6-20309.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20227.html 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 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20227 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20227.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20219.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to the Penny Pilot Program 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20219 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20219.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20218.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Rule Regarding Third-Party Routing Services in Respect of Orders Entered Into NSX BLADE 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20218 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20218.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20217.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Allow Certain Institutional Customers To Elect Not To Receive Account Statements 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20217 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20217.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20216.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20216 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20216.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20215.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto To Reflect Nasdaq's Complete Separation From the NASD Upon the NASDAQ Stock Market LLC's Operation as a National Securities Exchange for Non-Nasdaq Exchange-Listed Securities 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20215 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20215.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20214.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Adoption of a Hybrid Electronic Quoting Fee 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20214 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20214.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20213.html Notice - Van Eck Worldwide Insurance Trust and Van Eck Associates Corporation; Notice of Application 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20213 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20213.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20212.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Assignments in Options Based on Root Symbol 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20212 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20212.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20211.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to a Six-Month Pilot Program To Adopt New Initial and Continued Listing Standards 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20211 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20211.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20210.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Administrative Provisions of the Rules of the Government Securities Division and the Mortgage-Backed Securities Division 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20210 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20210.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/E6-20209.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Accelerate the Expiration Date of American-Style Equity Options That Have Been Adjusted To Call for Cash-Only Delivery 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 E6-20209 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/E6-20209.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/06-9474.html Notice - Sunshine Act Meetings 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 06-9474 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/06-9474.pdf https://regulations.justia.com/regulations/fedreg/2006/11/29/06-9473.html Notice - Sunshine Act Meeting 2006-11-29T00:00:00-08:00 2006-11-29T00:00:00-08:00 06-9473 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-29/pdf/06-9473.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20134.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change to Modify an Aspect of the Definition of Independent Director 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20134 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20134.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20133.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to NYSE Rule 1300 (Gold Shares) and NYSE Rule 51 (Hours of Business) 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20133 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20133.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20132.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Existing BSE Fee Schedules 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20132 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20132.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20130.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto To List and Trade Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the MSCI India Equities Index 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20130 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20130.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20128.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Intermarket Sweep Orders in Nasdaq Securities 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20128 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20128.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20127.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New Hours of Business on the Exchange's Foreign Currency Options Floor 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20127 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20127.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20068.html Notice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing of Amendment Nos. 3, 4, and 5 to a Proposed Rule Change Relating to Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20068 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20068.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20055.html Notice - Proposed Collection; Comment Request 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20055 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20055.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20054.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Relating to CBOE's Retail Automatic Execution System 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20054 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20054.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20053.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Definition of Fund Share 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20053 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20053.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20050.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cash-Settled Interest Rate Futures 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20050 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20050.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/E6-20049.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Definition of Fund Share and Options on Commodity Pool ETFs 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 E6-20049 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/E6-20049.pdf https://regulations.justia.com/regulations/fedreg/2006/11/28/06-9426.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend CBOE Rule 8.3 Relating to the Appointment Costs of Certain Classes 2006-11-28T00:00:00-08:00 2006-11-28T00:00:00-08:00 06-9426 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-28/pdf/06-9426.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19984.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating To Returning Excess Clearing Fund Collateral 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 E6-19984 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19984.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19983.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement a Quote Mitigation Plan 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 E6-19983 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19983.pdf https://regulations.justia.com/regulations/fedreg/2006/11/27/E6-19982.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding Allocation of Stocks to CBSX DPMs 2006-11-27T00:00:00-08:00 2006-11-27T00:00:00-08:00 E6-19982 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-11-27/pdf/E6-19982.pdf