NOTICES: American Stock Exchange LLC,
Published: 2002-01-08
December 20, 2001.
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
December 10, 2001, the American Stock Exchange LLC (``Amex'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2002-01-08
January 2, 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 19, 2001, the Chicago Board Options Exchange, Inc.
(``CBOE'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') Amendment No. 2
NOTICES: Public utility holding company filings,
Published: 2002-01-08
January 2, 2002.
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
NOTICES: Suspension of trading—; WSF Corp.,
Published: 2002-01-07
January 3, 2002.
It appears to the Securities and Exchange Commission that there is
a lack of current and accurate information concerning the securities of
WSF Corporation (``WSF''), a Delaware corporation headquartered in
Honolulu, Hawaii. Questions have been raised about the adequacy and
accuracy of publicly disseminated information because
NOTICES: International Securities Exchange LLC,
Published: 2002-01-07
I. Introduction and Description of the Proposal
On November 19, 2001, the International Securities Exchange LLC
(``ISE'' 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
NOTICES: Deregistration applications—; Somerset Exchange Fund et al.,
Published: 2002-01-04
December 28, 2001.
The following is a notice of applications for deregistration under
section 8(f) of the Investment Company Act of 1940 for the month of
December 2001. A copy of each application may be obtained for a fee at
the SEC's Public Reference Branch, 450 Fifth St., NW., Washington, DC
205490102 (tel. 2029428090). An order granting each
NOTICES: Foreign currency options; exclusion from calculation of capacity allocation provided in OPRA plan; amendment,
Published: 2002-01-04
December 28, 2001.
Pursuant to Rule 11Aa32 under the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on December 10, 2001, the
Options Price Reporting Authority (``OPRA''),\2\ submitted to the
Securities and Exchange Commission (``Commission'') an amendment to the
Plan for Reporting of Consolidated Options Last Sale
NOTICES: Municipal Securities Rulemaking Board,
Published: 2002-01-04
December 27, 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 Municipal Securities Rulemaking Board
(``Board'' or ``MSRB'') filed with the Securities and Exchange
Commission (``Commission'' or ``SEC'') a
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2002-01-04
December 28, 2001.
I. Introduction
On October 31, 2001, the National Association of Securities
Dealers, Inc. (``NASD'' or ``Association''), through its subsidiary,
the Nasdaq Stock Market, Inc. (``Nasdaq''), filed with the Securities
and Exchange Commission (``Commission''), pursuant to section 19(b)(1)
of the Securities
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2002-01-04
December 21, 2001.
On October 22, 2001, 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
thereunder,\2\ a proposed rule change to establish a remote
NOTICES: Broker-dealer exemption from sending financial information to customers—; Securities Industry Assoc.; correction,
Published: 2002-01-04
Correction
In notice document 0131918 beginning on page 67341 in the issue of Friday, December 28, 2001 make the following correction:
On page 67341, in the second column, the subject line is corrected to read as set forth above.
[FR Doc. C131918 Filed 1302; 8:45 am]
BILLING
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2002-01-03
December 26, 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 6, 2001, the Chicago Board Options Exchange, Inc. (``CBOE''
or ``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2002-01-03
December 27, 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 19, 2001, the Philadelphia Stock Exchange, Inc. (``Phlx''
or ``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2002-01-02
December 21, 2001.
On October 22, 2001, 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
thereunder,\2\ a proposed rule change to establish a
RULES: Safe harbors to money managers who use commission dollars to obtain research and brokerage services; interpretative guidance,
Published: 2002-01-02
We are publishing interpretive guidance on the application of
Section 28(e) of the Securities Exchange Act of 1934 (``Exchange
Act''). This section provides a safe harbor to money managers who use
the commission dollars of their advised accounts to obtain research and
brokerage services. The guidance we are publishing today clarifies that
the term
NOTICES: Proposed collection; comment request,
Published: 2002-01-02
Upon Written Request, Copy Available From: Securities and Exchange
Commission, Office of Filings and Information Services, 450 Fifth Street, NW, Washington, DC 20549.
Extension: Form N14, SEC File No. 270297, OMB Control No. 3235 0336.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.),