Agency: Securities and Exchange Commission
Years: 20002001200220032004200520062007200820092010201120122013[FR Doc 01-32081] 1.
December 21, 2001.
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 18, 2001, the Philadelphia Stock Exchange, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule
Published: 2001-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-32080] 2.
December 21, 2001.
Plains Resources, Inc. a Delaware corporation (``Issuer''), has filed an application with the Securities and Exchange Commission (``Commission''), pursuant to section 12(d) of the Securities Exchange Act of 1934 (``Act'') \1\ and rule 12d22(d) thereunder,\2\ to withdraw its Common Stock, $.10 par value
Published: 2001-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-32074] 3.
December 21, 2001.
Notice is hereby given that the following filing(s) has/have been made with the Commission pursuant to provisions of the Act and rules promulgated under the Act. All interested persons are referred to the application(s) and/or declaration(s) for complete statements of the proposed transaction(s) summarized below. The
Published: 2001-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-32075] 4. Greenwich Street Employees Fund, L.P., et al.; Notice of Application
December 21, 2001.
Published: 2001-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-32076] 5.
December 21, 2001.
Published: 2001-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-32082] 6.
December 20, 2001.
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 13, 2001, the American Stock Exchange LLC (``Amex'' or ``Exchange''), filed with the Securities and Exchange Commission (``Commission'') the proposed rule
Published: 2001-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-32084] 7.
December 20, 2001.
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 August 22, 2001, the American Stock Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change
Published: 2001-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-32077] 8.
December 20, 2001.
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 9, 2000, NASD Regulation, Inc. (``NASD Regulation'') filed with the Securities and Exchange Commission (``SEC or ``Commission'') the proposed rule change as
Published: 2001-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-32083] 9.
December 21, 2001.
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 August 10, 2001, the Pacific Exchange, Inc. (``PCX'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as
Published: 2001-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-32031] 10.
December 20, 2001.
I. Introduction
On November 16, 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 regarding
Published: 2001-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-32032] 11.
December 20, 2001.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on September 7, 2000, the Philadelphia Stock Exchange, Inc. (``PHLX'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'' or
Published: 2001-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-31916] 12. AXA Premier Funds Trust, et al.; Notice of Application
December 20, 2001.
Published: 2001-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-31915] 13. Robert W. Baird & Co. Incorporated; Notice of Application
December 19, 2001.
Published: 2001-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-31918] 14.
The Securities and Exchange Commission (``Commission'') is extending its temporary Order issued December 10, 1999\1\ under Section 17(e) of the Securities Exchange Act of 1934 (``Exchange Act'') exempting brokerdealers from Exchange Act Section 17(e)(1)(B) and Rule 17a5(c). These sections require a brokerdealer to send each of its customers
Published: 2001-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-31917] 15.
December 19, 2001.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Exchange Act'') and Rule 19b4 thereunder,\1\ notice is hereby given that on October 16, 2001, Municipal Securities Rulemaking Board (``MSRB'') filed with the Securities and Exchange Commission (``Commission'') a proposed rule change
Published: 2001-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-31871] 16.
December 18, 2001.
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 3, 2001, the Pacific Exchange, Inc. (``PCX'') filed with the Security and Exchange Commission (``Commission'') the proposed rule change as described in Items
Published: 2001-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-31696] 17.
December 18, 2001.
The Securities and Exchange Commission (``Commission'') is publishing this notice and order to solicit comments from interested persons and to extend the Government Securities Clearing Corporation's (``GSCC'') temporary registration as a clearing agency through June 30, 2002. On May 24, 1988, pursuant to sections 17A(b) and
Published: 2001-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-31741] 18.
December 18, 2001.
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 December 6, 2001, the American Stock Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule
Published: 2001-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-31743] 19.
December 18, 2001.
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 30, 2001, the American Stock Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule
Published: 2001-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-31742] 20. Defining the Term ``Qualified Purchaser'' Under the Securities Act of 1933
The Securities and Exchange Commission today proposes a definition for the term ``qualified purchaser'' under the Securities Act of 1933 to implement a provision of the National Securities Markets Improvement Act of 1996. The proposed definition mirrors the definition of accredited investor under Regulation D of the Securities Act. Thus, the new
Published: 2001-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-31740] 21. Sensar Corporation; Notice of Application
Summary of Application: Sensar Corporation (``Applicant'') requests an
order exempting it from all provisions of the Act until the earlier of one year from the date that the requested order is
[[Page 66955]]
issued or the date that it no longer may be deemed to be an investment company.
Filing Dates: The application was filed on
Published: 2001-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-31697] 22.
December 18, 2001.
I. Introduction
On July 11, 2001, the Chicago Board Options Exchange, Inc. (``CBOE'' or ``Exchange'') submitted to the Securities and Exchange Commission (``SEC'' or ``Commission'') in accordance with section 11A of the Securities Exchange Act of 1934 (``Act'') \1\ and rule 11Aa32 thereunder,\2\ a proposed amendment to the
Published: 2001-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-31564] 23.
December 17, 2001.
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 October 29, 2001, the American Stock Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'' or (``Sec'') a proposed
Published: 2001-12-26 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-31565] 24.
December 18, 2001.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 [[Page 66490]]
(``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on December 7, 2001, the National Association of Securities Dealers,
Inc. (``NASD'' or ``Association''), through its whollyowned subsidiary
NASD Dispute Resolution, Inc.
Published: 2001-12-26 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 01-31566] 25.
December 18, 2001.
Correction
In FR Document 0130879 beginning on page 64895 for Friday, December 14, 2001, the release number for File No. SRNYSE200142 should read 3445138.
For the Commission, by the Division of Market Regulation, pursuant to the delegated authority.\1\
\1\ 17 CFR 200.303(a)(12).
Margaret H. McFarland,
Published: 2001-12-26 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
Years: 20002001200220032004200520062007200820092010201120122013