Agency: Securities and Exchange Commission

Years: 200020012002200320042005200620072008200920102011201220132014

Pages: «<34567>»

[FR Doc E4-3570] 101. Man-Glenwood Lexington, LLC, et al., Notice of Application

Applicants: ManGlenwood Lexington, LLC (``Lexington''), ManGlenwood Lexington TEI, LLC (``TEI,'' together with Lexington, the ``Funds''), ManGlenwood Lexington Associates Portfolio, LLC (``Portfolio Company''), Glenwood Capital Investments, L.L.C. (the ``Adviser''), and Man Investments Inc. (the ``Distributor'').
Summary of Application: Applicants

Published: 2004-12-09 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3576] 102.

December 2, 2004.

Pursuant to Section 11A of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 11Aa32 thereunder,\2\ notice is hereby given that on October 19, 2004, the Options Price Reporting Authority (``OPRA'')\3\ submitted to the Securities and Exchange Commission (``Commission'') an amendment to the Plan for Reporting of

Published: 2004-12-09 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3575] 103.

December 3, 2004.

Pursuant to Section 11A of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 11Aa32 thereunder,\2\ notice is hereby given that on October 14, 2004, the Options Price Reporting Authority (``OPRA'') \3\ submitted to the Securities and Exchange Commission (``Commission'') an amendment to the Plan for Reporting of

Published: 2004-12-09 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3568] 104.

December 3, 2004.

Pursuant to Section 107(b) of the SarbanesOxley Act of 2002 (the ``Act''), notice is hereby given that on December 1, 2004, the Public Company Accounting Oversight Board (the ``Board'' or the ``PCAOB'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule, described in Items I and II below,

Published: 2004-12-09 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3569] 105.

December 3, 2004.

This order extends, for an additional ninemonth period, a de minimis exemption to the provisions of the Intermarket Trading System Plan (``ITS Plan''),\1\ a national market system plan,\2\ governing intermarket tradethroughs. The de minimis exemption was originally issued by the Commission on August 28, 2002 \3\ and extended

Published: 2004-12-09 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3534] 106.

December 1, 2004.

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, 2004 the Chicago Board Options Exchange, Incorporated (``CBOE'' or ``Exchange'') submitted to the Securities and Exchange Commission (``Commission'') the proposed rule

Published: 2004-12-08 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3533] 107.

December 2, 2004.

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on October 25, 2004, the Fixed Income Clearing Corporation (``FICC'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change described in Items I, II, and III below, which items

Published: 2004-12-08 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3536] 108.

December 1, 2004.

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on November 29, 2004, the International Securities Exchange, Inc., (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule

Published: 2004-12-08 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3532] 109.

December 1, 2004.

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on November 10, 2004, the 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,

Published: 2004-12-08 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3535] 110.

December 1, 2004.

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 22, 2004, the New York Stock Exchange, Inc., (``NYSE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described

Published: 2004-12-08 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3537] 111.

December 1, 2004.

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 23, 2004, the Philadelphia Stock Exchange, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as

Published: 2004-12-08 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3499] 112. Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 20549.
Extension: Rule 17f1(g); SEC File No. 27030; OMB Control No. 3235 0290

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and

Published: 2004-12-07 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3513] 113.

November 30, 2004.

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 17, 2004, the Chicago Board Options Exchange, Incorporated (``CBOE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule

Published: 2004-12-07 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3515] 114.

December 1, 2004.

On October 14, 2004, the Chicago Board Options Exchange, Inc., (``CBOE'' or ``Exchange'') submitted to 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 eliminate the Designated

Published: 2004-12-07 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3514] 115.

December 1, 2004.

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 18, 2004, the Municipal Securities Rulemaking Board (``MSRB'' or ``Board'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule

Published: 2004-12-07 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc 04-26809] 116.

November 29, 2004.

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 February 4, 2004, the National Association of Securities Dealers, Inc. (``NASD'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change

Published: 2004-12-07 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3498] 117. 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 17a4; SEC File No. 270198; OMB Control No. 3235 0279.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and

Published: 2004-12-07 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3469] 118.

November 29, 2004.

On July 28, 2004, we issued an order (``Pilot Order'') establishing a one year Pilot (``Pilot'') suspending the provisions of Rule 10a1(a) under the Securities Exchange Act of 1934 (the ``Act'') \1\ and any short sale price test of any exchange or national securities association for short sales \2\ of certain securities.\3\

Published: 2004-12-06 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3472] 119.

November 30, 2004.

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on November 24, 2004, the Chicago Board Options Exchange, Incorporated (``CBOE'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the

Published: 2004-12-06 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3467] 120.

November 29, 2004.

On October 12, 2004, the National Association of Securities Dealers, Inc.
[[Page 70486]]
(``NASD'') submitted to 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 amend its Rule

Published: 2004-12-06 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3473] 121.

November 29, 2004.

I. Introduction

On October 1, 2004, the National Association of Securities Dealers, Inc. (``NASD''), 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 Exchange Act of 1934 (``Act''),\1\ and Rule

Published: 2004-12-06 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3468] 122.

November 29, 2004.

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 18, 2004, the Pacific Exchange, Inc. (``PCX'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items

Published: 2004-12-06 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3471] 123.

November 30, 2004.

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 22, 2004, the Pacific Exchange, Inc., (``PCX'' or ``Exchange'') submitted to the Securities and Exchange Commission (``Commission'') the proposed rule change as described in

Published: 2004-12-06 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3466] 124.

November 29, 2004.

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, 2004, the Philadelphia Stock Exchange (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as

Published: 2004-12-06 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E4-3470] 125.

November 29, 2004.

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 3, 2004, the Philadelphia Stock Exchange, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as

Published: 2004-12-06 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

Years: 200020012002200320042005200620072008200920102011201220132014

Pages: «<34567>»