Agency: Securities and Exchange Commission
Years: 20002001200220032004200520062007200820092010201120122013[FR Doc 00-33265] 1.
December 19, 2000.
I. Introduction
On November 6, 2000, the Chicago Stock Exchange, Incorporated (``CHX'' or ``Exchange''), filed with the Securities and Exchange Commission (``Commission'' or ``SEC''), pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ a proposed rule
Published: 2000-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33264] 2.
December 21, 2000.
I. Introduction
On June 10, 1999, the New York Stock Exchange, Inc. (``NYSE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b4 thereunder,\2\, a proposed rule change establishing
Published: 2000-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33263] 3.
December 21, 2000.
I. Introduction
On September 18, 2000, the Philadelphia Stock Exchange, Inc. (``Phlx'' or ``Exchange'') submitted to the Securities and Exchange Commission (``SEC'' or ``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ a proposed rule change to amend
Published: 2000-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33261] 4.
Summary of Application: Applicants request an order to exempt certain limited partnerships or other investment vehicles formed for the benefit of key employees of Baird Financial Corporation (``BFC'') and its affiliates from certain provisions of the Act. Each partnership will be an employees' securities company within the meaning of section
Published: 2000-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33262] 5. First Defined Sector Fund, et al., Notice of Application
Applicants: First Defined Sector Fund and First Trust Advisors, L.P.
Summary of Application: Applicants seek an order to the extent necessary to permit shares of any existing or future portfolio of First Defined Sector Fund (``Trust'') designed to fund insurance products and shares of any other investment company or series thereof now or in
Published: 2000-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33260] 6. Market Street Fund, Inc., et al.; Notice of Application
Applicants: Market Street Fund, Inc. (the ``Fund''), Market Street Fund (the ``Trust''), Provident Mutual Life Insurance Company (``PMLIC''), Market Street Investment Management Company (``MSIM''), and Providentmutual Life and Annuity Company of America (``PLACA'').
Summary of Application: Applicants seek an order exempting certain
Published: 2000-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33126] 7.
December 19, 2000.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on June 16, 2000, the Philadelphia Stock Exchange, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33128] 8.
December 19, 2000.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on November 13, 2000, the Philadelphia Stock Exchange, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33118] 9.
December 20, 2000.
I. Introduction
On October 23, 1998, the Chicago Board Options Exchange, Inc. (``CBOE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 1964 thereunder,\2\ a proposed rule change to
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33119] 10.
December 19, 2000.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on November 15, 2000, the Chicago Board Options Exchange, Inc. (``CBOE'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33123] 11.
December 20, 2000.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on November 7, 2000, the Chicago Board Options Exchange, Inc. (``CBOE'' or ``Exchange''), filed with the Securities and Exchange Commission (``Commission'') the proposed
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33125] 12.
December 19, 2000.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 \2\ thereunder, notice is hereby given that on November 28, 2000, the Chicago Board Options Exchange, Incorporated (``CBOE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33129] 13.
December 19, 2000.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on December 1, 2000, the Chicago Board Options Exchange, Inc. (``CBOE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33130] 14.
December 19, 2000.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on November 15, 2000, the International Securities Exchange LLC (``ISE'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc C0-28653] 15.
Correction
In notice document 0028653 beginning on page 67025 in the issue of Wednesday, November 8, 2000, make the following correction:
On page 67025, in the third column, in paragraph (1), beginning on the 13th line, remove the sentence that begins with ``However'' and add the following sentence in its place: ``[However,
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-32941] 16.
December 20, 2000.
This proposed rule change was originally published with a 45day comment period.\1\ Because the original notice contained a typographical error in the proposed new rule language, the Commission has decided to extend the comment period until January 18, 2001. The correction to the original document is being published
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33121] 17.
December 14, 2000.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 \2\ thereunder, notice hereby is given that on December 13, 2000, the New York Stock Exchange, Inc. (``NYSE''or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33127] 18.
December 19, 2000.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on November 29, 2000, the New York Stock Exchange, Inc. (``NYSE'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33120] 19.
December 20, 2000.
Pursuant to 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ notice is hereby given that on November 27, 2000, The Options Clearing Corporation (``OCC'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II, and III below, which
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33122] 20.
December 20, 2000.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on July 13, 2000, the Philadelphia Stock Exchange, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-33124] 21.
December 19, 2000.
I. Introduction
On August 1, 2000, the Philadelphia Stock Exchange, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 \2\ thereunder, a proposal to grant the
Published: 2000-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-32894] 22.
December 18, 2000.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934,\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on August 9, 2000, the American Stock Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as
Published: 2000-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-32893] 23.
December 18, 2000.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\, and Rule 19b4, thereunder,\2\ notice is hereby given that on December 7, 2000, the International Securities Exchange LLC (``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission (``Commission'') the
Published: 2000-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-32944] 24.
December 20, 2000.
I. Introduction
On October 20, 2000, the National Association of Securities Dealers, Inc. (``NASD'') through its wholly owned subsidiary, the Nasdaq Stock Market, Inc. (``Nasdaq'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission''), pursuant to Section 19(b)(1) of the Securities
Published: 2000-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 00-32942] 25.
The Commission is making technical revisions to Forms ADV, ADVW, ADVH ADVNR and related rules under the Investment Advisers Act of 1940 (``Advisers Act''). These revisions are administrative corrections to amendments adopted by the Commission in Electronic Filing by Investment Advisers; Amendments to Form ADV, Investment Advisers Act Release No.
Published: 2000-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
Years: 20002001200220032004200520062007200820092010201120122013