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

Results 1,701 - 1,747 of 1,747
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Prohibit the Practice of Unbundling Orders To Maximize Rebates of Fees
Document Number: E6-397
Type: Notice
Date: 2006-01-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/17/E6-397.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto To Modify the Pricing for Non-Members Using Nasdaq's Brut Facility
Document Number: E6-395
Type: Notice
Date: 2006-01-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/17/E6-395.html
Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Telemarketing
Document Number: E6-394
Type: Notice
Date: 2006-01-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/17/E6-394.html
Issuer Delisting; Notice of Application of Aquacell Technologies, Inc. To Withdraw Its Common Stock, $.001 Par Value, From Listing and Registration on the American Stock Exchange LLC File No. 1-16165
Document Number: E6-392
Type: Notice
Date: 2006-01-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/17/E6-392.html
Issuer Delisting; Notice of Application of Sony Corporation To Withdraw its American Depositary Shares, Each Presenting One Share of Common Stock, No Par Value, From Listing and Registration on the Chicago Stock Exchange, Inc. File No. 1-06439
Document Number: E6-391
Type: Notice
Date: 2006-01-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/17/E6-391.html
Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by the Board of Trade of the City of Chicago, Inc.
Document Number: E6-366
Type: Notice
Date: 2006-01-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/17/E6-366.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Elimination of the 500 Contract Cap on Payment for Order Flow Fees
Document Number: E6-326
Type: Notice
Date: 2006-01-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/13/E6-326.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Certain of the Exchange's Facility and Equipment Fees and System Processing Fees Charged to Members
Document Number: E6-325
Type: Notice
Date: 2006-01-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/13/E6-325.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Minimum Price Variation for Entry of Orders for Equity Securities Traded on the Archipelago Exchange
Document Number: E6-324
Type: Notice
Date: 2006-01-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/13/E6-324.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, and Amendment No. 1 Thereto Relating to the Exchange's Covered Sale Fee and Exchange Rule 607
Document Number: E6-257
Type: Notice
Date: 2006-01-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/13/E6-257.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change Relating to the Prohibition of Trade Shredding
Document Number: E6-256
Type: Notice
Date: 2006-01-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/13/E6-256.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 700 With Respect to the Hours of Trading in Equity Options and Narrow-Based Index Options
Document Number: E6-255
Type: Notice
Date: 2006-01-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/13/E6-255.html
Issuer Delisting; Notice of Application of IAMGOLD Corporation To Withdraw Its Common Shares, No Par Value, From Listing and Registration on the American Stock Exchange LLC
Document Number: E6-254
Type: Notice
Date: 2006-01-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/13/E6-254.html
Issuer Delisting; Notice of Application of Burlington Northern Santa Fe Corporation, To Withdraw Its Common Stock, $.01 Par Value, From Listing and Registration on the Pacific Exchange, Inc.
Document Number: E6-253
Type: Notice
Date: 2006-01-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/13/E6-253.html
Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Establish a Comprehensive Standard of Care and Limitation of Liability With Respect to Clearing Members
Document Number: E6-252
Type: Notice
Date: 2006-01-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/13/E6-252.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Trading Pursuant to Unlisted Trading Privileges of the Euro Currency Trust
Document Number: E6-216
Type: Notice
Date: 2006-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/12/E6-216.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Impose a Surcharge on Participants Submitting Trade Data by Batch Method
Document Number: E6-215
Type: Notice
Date: 2006-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/12/E6-215.html
Issuer Delisting; Notice of Application of NiSource Inc., To Withdraw Its Common Stock, $.01 Par Value, and the Preferred Stock Purchase Rights, From Listing and Registration on the Pacific Exchange, Inc. File No. 1-09779
Document Number: E6-214
Type: Notice
Date: 2006-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/12/E6-214.html
Issuer Delisting; Notice of Application of NiSource Inc., To Withdraw Its Common Stock, $.01 Par Value, and the Preferred Stock Purchase Rights, From Listing and Registration on the Chicago Stock Exchange, Inc. File No. 1-09779
Document Number: E6-213
Type: Notice
Date: 2006-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/12/E6-213.html
Issuer Delisting; Notice of Application of Atlantis Plastics, Inc. To Withdraw Its Class A Common Stock, $.10 Par Value, From Listing and Registration on the American Stock Exchange LLC File No. 1-09487
Document Number: E6-196
Type: Notice
Date: 2006-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/12/E6-196.html
Issuer Delisting; Notice of Application of Mercury Air Group, Inc. To Withdraw Its Common Stock, $.01 Par Value, From Listing and Registration on the American Stock Exchange LLC File No. 1-07134
Document Number: E6-195
Type: Notice
Date: 2006-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/12/E6-195.html
Self-Regulatory Organizations; Order Approving Proposed Rule Change, and Amendment No. 1 Thereto, by the Pacific Exchange, Inc. Relating to Modifying the Market Imbalance Calculation for the Opening and Market Order Auctions on the Archipelago Exchange
Document Number: E6-194
Type: Notice
Date: 2006-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/12/E6-194.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Certificate of Incorporation and Bylaws of Archipelago Holdings, Inc.
Document Number: 06-316
Type: Notice
Date: 2006-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/12/06-316.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4 and 5 Relating to the Exchange's Business Combination with Archipelago Holdings, Inc.
Document Number: 06-299
Type: Notice
Date: 2006-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/12/06-299.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Administrative Rules (Rules A-3(f) and A-6(c)) Relating to Board Member Compensation
Document Number: E6-135
Type: Notice
Date: 2006-01-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/11/E6-135.html
Sunshine Act Meeting
Document Number: 06-262
Type: Notice
Date: 2006-01-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/11/06-262.html
Sunshine Act Meeting
Document Number: 06-254
Type: Notice
Date: 2006-01-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/11/06-254.html
Filing Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E6-84
Type: Notice
Date: 2006-01-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/10/E6-84.html
Thrivent Mutual Funds, et al.; Notice of Application
Document Number: E6-83
Type: Notice
Date: 2006-01-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/10/E6-83.html
Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Amex Initial Listing Standards
Document Number: E6-82
Type: Notice
Date: 2006-01-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/10/E6-82.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt an Account Fee
Document Number: E6-61
Type: Notice
Date: 2006-01-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/09/E6-61.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Enhancements of the SMART/Track Service
Document Number: E6-45
Type: Notice
Date: 2006-01-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/09/E6-45.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Extension of the Prospective Fee Reduction and DPM Linkage Fee Credit Programs
Document Number: E6-22
Type: Notice
Date: 2006-01-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/06/E6-22.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Remote Streaming Quote Trader Permit Fees
Document Number: E6-21
Type: Notice
Date: 2006-01-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/06/E6-21.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obligations of Lead Market Makers
Document Number: E6-20
Type: Notice
Date: 2006-01-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/06/E6-20.html
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 Electronic DPMs and Affiliated Market-Makers
Document Number: E6-19
Type: Notice
Date: 2006-01-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/06/E6-19.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Enhance the Repo Collateral Substitution Process of FICC's Government Securities Division
Document Number: E5-8299
Type: Notice
Date: 2006-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/05/E5-8299.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Certificate of Incorporation of PCX Holdings, Inc.
Document Number: E5-8298
Type: Notice
Date: 2006-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/05/E5-8298.html
Proposed Collection; Comment Request
Document Number: E5-8284
Type: Notice
Date: 2006-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/05/E5-8284.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Thereto Relating to the Dissemination of TRACE Trade Information
Document Number: E5-8283
Type: Notice
Date: 2006-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/05/E5-8283.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to NASD Rule 3011 and the Adoption of New Related Interpretive Material
Document Number: E5-8282
Type: Notice
Date: 2006-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/05/E5-8282.html
Greenhouse Associates, LLC and Superior Partners, LP; Notice of Application
Document Number: E5-8246
Type: Notice
Date: 2006-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/04/E5-8246.html
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 Decimals
Document Number: E5-8229
Type: Notice
Date: 2006-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/04/E5-8229.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Seeking Permanent Approval of Rules Concerning Bond Mutual Fund Volatility Ratings Prior to Expiration of Pilot
Document Number: E5-8228
Type: Notice
Date: 2006-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/04/E5-8228.html
Regulation NMS
Document Number: 06-13
Type: Rule
Date: 2006-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission published a document in the Federal Register on June 29, 2005 (70 FR 37496) adopting rules under Regulation NMS, including the redesignation of the national market system rules previously adopted under section 11A of the Securities Exchange Act of 1934 (``Exchange Act''), and two amendments to the joint industry plans for disseminating market information. In that document, two paragraphs from Rule 11Aa3-2 under the Exchange Act were inadvertently omitted from their redesignation into Regulation NMS. This document corrects that omission by adding paragraphs (a)(8)(i) and (a)(8)(ii) to Rule 608 of Regulation NMS.
https://regulations.justia.com/regulations/fedreg/2006/01/04/06-13.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto Relating to Sub-Penny Restrictions for Non-Nasdaq Over-the-Counter Equity Securities
Document Number: E5-8196
Type: Notice
Date: 2006-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/03/E5-8196.html
Sunshine Act Meeting
Document Number: 05-24702
Type: Notice
Date: 2006-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/01/03/05-24702.html
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