102. Sunshine Act Meeting
NOTICES: Meetings; Sunshine Act,
Notice is hereby given, pursuant to the provisions of the
Government in the Sunshine Act, Pub. L. 94409, that the Securities and
Exchange Commission will hold the following meetings during the week of December 9, 2002:
A Closed Meeting will be held on Tuesday, December 10, 2002, at 10
a.m., and an Open Meeting will be held on Wednesday,
103. Allstate Life Insurance Company, et al.; Notice of Application
NOTICES: Exemption applications—; Allstate Life Insurance Co. et al.,
Applicants: Allstate Life Insurance Company (``Allstate''), Allstate Financial Advisers Separate Account I (``Allstate Separate Account I''), Northbrook Life Insurance Company (``Northbrook''), Northbrook Variable Annuity Account (``Northbrook VA''), and Northbrook Variable Annuity Account II (``Northbrook VA II,'' together with the Northbrook
104. Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC Relating to
NOTICES: American Stock Exchange LLC,
November 22, 2002.
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 20, 2002, the American Stock Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in
105. Self-Regulatory Organizations; American Stock Exchange L.L.C.; Notice of Filing of Proposed Rule Change To Establish
NOTICES: American Stock Exchange LLC,
November 26, 2002.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 [[Page 72242]]
(``Act''),\1\ notice is hereby given that on April 22, 2002, American
Stock Exchange LLC (``Amex'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as described in
items I, II, and III below, which
106. Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No.
NOTICES: American Stock Exchange LLC,
November 25, 2002.
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 17, 2002, the American Stock Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in
107. Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No.
NOTICES: American Stock Exchange LLC,
November 25, 2002.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b4 thereunder,\2\
[[Page 72245]]
notice is hereby given that on October 28, 2002, the American Stock
Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and
Exchange Commission (``Commission'') the proposed rule change as
108. Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by
NOTICES: American Stock Exchange LLC,
November 27, 2002.
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 5, 2002, the American Stock Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'' or ``SEC'') the proposed rule change as
109. Self Regulatory Organizations; The Boston Stock Exchange, Incorporated; Order Granting Approval to Proposed Rule
NOTICES: Boston Stock Exchange, Inc.,
November 26, 2002.
On July 22, 2002, The Boston Stock Exchange, Inc. (``BSE'' 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\ a proposed rule change to eliminate its existing revenue sharing program and to establish two market
110. Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago
NOTICES: Chicago Board Options Exchange, Inc.,
November 26, 2002.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')\1\ and rule 19b4 thereunder,\2\ notice hereby is given that on November 1, 2002, the Chicago Board Options Exchange, Incorporated (``CBOE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change
111. Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of Proposed Rule Change To Establish the
NOTICES: Depository Trust Co.,
November 26, 2002.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on September 11, 2002, The Depository Trust Company (``DTC'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in items I, II, and III below, which items have
112. Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National
NOTICES: National Association of Securities Dealers, Inc.,
November 26, 2002.
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 23, 2002, the National Association of Securities Dealers, Inc. (``NASD''), through its subsidiary, The Nasdaq Stock Market, Inc. (``Nasdaq''), filed with the Securities and
113. Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Order Granting
NOTICES: National Securities Clearing Corp.,
November 26, 2002.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')\1\ notice is hereby given that on October 24, 2002, National Securities Clearing Corporation (``NSCC'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II, and III below, which
114. Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York
NOTICES: New York Stock Exchange, Inc.,
November 22, 2002.
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 16, 2002, the New York Stock Exchange, Inc. (``NYSE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in
115. Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No.
NOTICES: New York Stock Exchange, Inc.,
November 25, 2002.
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 8, 2002, the New York Stock Exchange, Inc. (``NYSE'' or ``Exchange'') submitted to the Securities and Exchange Commission (``Commission'') the proposed rule change as described
116. Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. to Adopt
NOTICES: New York Stock Exchange, Inc.; correction,
November 27, 2002.
Correction
In Release No. 3446858, issued on November 20, 2002, a portion of
the rule text for New York Stock Exchange rule 401 was noticed
incorrectly. The corrected text appears below. Additions are in italics; deletions are in brackets.
* * * * *
Business Conduct
Rule 401.(a)(b) no change.
The policies and procedures
117. Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Order Granting Accelerated
NOTICES: Options Clearing Corp.,
November 26, 2002.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), as amended,\1\ notice is hereby given that on September 27, 2002, The Options Clearing Corporation (``OCC'') filed with the Securities and Exchange Commission (``Commission'') and on October 18, 2002, amended the proposed rule change as described
118. Self-Regulatory Organizations; Order Granting Approval of Proposed Rule Change by the Pacific Exchange, Inc., To Amend
NOTICES: Pacific Exchange, Inc.,
November 25, 2002.
On September 23, 2002, the Pacific Exchange, Inc. (``PCX''), 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
[[Page 72263]]
thereunder, \2\ a proposed rule change relating to its ``Clearly
Erroneous Policy.''
119. Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No.
NOTICES: Philadelphia Stock Exchange, Inc.,
November 26, 2002.
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 31, 2002, the Philadelphia Stock Exchange, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as
120. Certain Research and Development Companies
PROPOSED RULES: Research and development companies; nonexclusive safe harbor from investment company definition,
The Commission is publishing for comment a new rule under the
Investment Company Act of 1940 that would provide a nonexclusive safe
harbor from the definition of investment company for certain bona fide
research and development companies. The rule is intended to allow
research and development companies greater flexibility to raise and
invest
121. Broker-Dealer Exemption from Sending Certain Financial Information to Customers
PROPOSED RULES: Broker-dealer exemption from sending financial information to customers,
We are proposing for comment amendments to a rule under the
Securities Exchange Act of 1934 that would provide a conditional
exemption from the rule's requirement that a brokerdealer that carries
customer accounts send its full balance sheet and certain other
financial information to each of its customers twice a year. Under the
proposed
122. Proposed Collection; Comment Request
NOTICES: Proposed collection; comment request,
Upon Written Request, Copies Available from: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC 20549.
Extension:
Rule 12f1, SEC File No. 270139, OMB Control No. 32350128
Rule 12f3, SEC File No. 270141, OMB Control No. 32350249
Rule 24b1, SEC File No. 270205, OMB Control No. 32350194
Notice
123. Existing Collection; Comment Request
NOTICES: Proposed collection; comment request,
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC 20549.
Extension:
Rule 31a1, SEC File No. 270173, OMB Control No. 32350178
Rule 18f3, SEC File No. 270385, OMB Control No. 32350441
Rule 498, SEC File No. 270435, OMB Control No. 32350488
Notice
124. Integrity Life Insurance Company, et al.
NOTICES: Shares substitution applications—; Integrity Life Insurance Co. et al.,
Applicants: Integrity Life Insurance Company (``Integrity''), Separate Account I of Integrity Life Insurance Company (``Integrity Separate Account I''), Separate Account II of Integrity Life Insurance Company (``Integrity Separate Account II''), National Integrity Life Insurance Company (``National Integrity''), Separate Account I of National
125. Securities Exchange Act of 1934; Order Extending Broker-Dealer Exemption From Sending Financial Information to
NOTICES: Broker-dealer exemption from sending financial information to customers,
In the Matter of Securities Industry Association, 1401 Eye Street, NW., Washington, DC 200052225.
The Securities and Exchange Commission (``Commission'') is extending its Temporary Order, which was originally issued on December 10, 1999\1\ and then extended on December 20, 2001,\2\ under Section 17(e) of the Securities Exchange Act of 1934
Common CFR Searches
14 CFR Part 39 40 CFR Part 52 14 CFR Part 71 33 CFR Part 165 47 CFR Part 73 26 CFR Part 1 50 CFR Part 679 40 CFR Part 180 50 CFR Part 17 33 CFR Part 117 44 CFR Part 67 50 CFR Part 648 14 CFR Part 97 40 CFR Part 63 6 CFR Part 5 33 CFR Part 100 50 CFR Part 622 50 CFR Part 660 26 CFR Part 301 44 CFR Part 65 39 CFR Part 111 40 CFR Part 271 40 CFR Part 300 47 CFR Part 64 40 CFR Parts 52 and 81 50 CFR Part 665 39 CFR Part 3020 50 CFR Part 229 44 CFR Part 64 49 CFR Part 571