Securities and Exchange Commission 2006 – Federal Register Recent Federal Regulation Documents

Results 801 - 850 of 1,747
Proposed Collection; Comment Request
Document Number: E6-11567
Type: Notice
Date: 2006-07-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings; Notice
Document Number: 06-6408
Type: Notice
Date: 2006-07-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Amendments to Regulation SHO
Document Number: 06-6386
Type: Proposed Rule
Date: 2006-07-21
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is proposing amendments to Regulation SHO under the Securities Exchange Act of 1934 (Exchange Act). The proposed amendments are intended to further reduce the number of persistent fails to deliver in certain equity securities, by eliminating the grandfather provision and narrowing the options market maker exception. The proposals also are intended to update the market decline limitation referenced in Regulation SHO.
Submission for OMB Review, Comment Request
Document Number: E6-11499
Type: Notice
Date: 2006-07-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E6-11498
Type: Notice
Date: 2006-07-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E6-11497
Type: Notice
Date: 2006-07-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E6-11496
Type: Notice
Date: 2006-07-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collections; Comment Request
Document Number: E6-11495
Type: Notice
Date: 2006-07-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E6-11494
Type: Notice
Date: 2006-07-20
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of Aurora Medical Technology, Inc.; Order of Suspension of Trading
Document Number: 06-6304
Type: Notice
Date: 2006-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Concept Release Concerning Management's Reports on Internal Control Over Financial Reporting
Document Number: E6-11226
Type: Proposed Rule
Date: 2006-07-18
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is publishing this Concept Release to understand better the extent and nature of public interest in the development of additional guidance for management regarding its evaluation and assessment of internal control over financial reporting so that any guidance the Commission develops addresses the needs and concerns of public companies, consistent with the protection of investors.
Sunshine Act Meeting
Document Number: 06-6303
Type: Notice
Date: 2006-07-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E6-11232
Type: Notice
Date: 2006-07-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E6-11231
Type: Notice
Date: 2006-07-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E6-11230
Type: Notice
Date: 2006-07-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E6-11229
Type: Notice
Date: 2006-07-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act; Notice of Meeting
Document Number: 06-6249
Type: Notice
Date: 2006-07-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Joint Final Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities
Document Number: 06-6136
Type: Rule
Date: 2006-07-13
Agency: Securities and Exchange Commission, Agencies and Commissions, Commodity Futures Trading Commission
The Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (together, the ``Commissions'') are adopting a new rule and amending an existing rule under the Commodity Exchange Act (``CEA'') and adopting two new rules under the Securities Exchange Act of 1934 (``Exchange Act''). The rules will modify the applicable statutory listing standards requirements to permit security futures to be based on individual debt securities or a narrow-based security index composed of such securities. In addition, these rules and rule amendment will exclude from the definition of ``narrow-based security index'' debt securities indexes that satisfy specified criteria. A future on a debt securities index that is excluded from the definition of narrow-based security index will not be a security future and may trade subject to the exclusive jurisdiction of the CFTC.