NOTICES: Riverton Management, Inc.,
Published: 2005-12-15
Applicant: Riverton Management, Inc. (``Applicant'').
Relevant Advisers Act Sections: Exemption requested under section 202(a)(11)(F) from section 202(a)(11).
Summary of Application: Applicant requests that the SEC issue an order
declaring it and its employees acting within the scope of their
employment to be persons not within the intent of section
NOTICES: Meetings; Sunshine Act,
Published: 2005-12-15
Federal Register Citation of Previous Announcement: [70 FR 72318, December 2, 2005].
Status: Closed meeting.
Place: 100 F Street, NE., Washington, DC.
Announcement of Additional Meeting: Additional meeting.
An additional closed meeting has been scheduled for Tuesday, December 13, 2005 at 11:45 a.m.
Commissioners and certain staff members who
NOTICES: American Stock Exchange LLC,
Published: 2005-12-15
December 7, 2005.
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 21, 2005, the American Stock Exchange LLC (``Amex'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as
NOTICES: American Stock Exchange LLC,
Published: 2005-12-15
December 7, 2005.
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 21, 2005, the American Stock Exchange LLC (``Amex'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as
NOTICES: Boston Stock Exchange, Inc.,
Published: 2005-12-15
December 8, 2005.
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 30, 2005, the Boston Stock Exchange, Inc. (``Exchange'')
filed with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I and
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2005-12-15
December 8, 2005.
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 27, 2005, the Chicago Board Options Exchange, Inc. (``CBOE''
or ``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2005-12-15
December 6, 2005.
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, 2005, the National Association of Securities Dealers,
Inc. (``NASD''), through its subsidiary, The Nasdaq Stock Market, Inc.
(``Nasdaq''), filed with the Securities and
NOTICES: New York Stock Exchange, Inc.,
Published: 2005-12-15
December 7, 2005.
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 30, 2005, the New York Stock Exchange, Inc. (``NYSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as
NOTICES: Pacific Exchange, Inc.,
Published: 2005-12-15
December 8, 2005.
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, 2005, the Pacific Exchange, Inc. (``PCX'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items
NOTICES: Pacific Exchange, Inc.,
Published: 2005-12-15
December 7, 2005.
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 27, 2005, the Pacific Exchange, Inc. (``PCX'' or ``Exchange'')
filed with the Securities and Exchange Commission (``Commission'' or
``SEC'') the proposed rule change as described in
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2005-12-15
December 7, 2005.
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 5, 2005, the Philadelphia Stock Exchange, Inc.
(``Phlx'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as
NOTICES: Rockwell Automation, Inc.,
Published: 2005-12-15
December 8, 2005.
On December 1, 2005, Rockwell Automation, Inc., a Delaware
corporation (``Issuer''), 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, $1.00 par value
NOTICES: Depository Trust Co. et al.,
Published: 2005-12-14
December 7, 2005.
I. Introduction
On October 4, 2005, The Depository Trust Company (``DTC''), the
Fixed Income Clearing Corporation (``FICC''), and the National
Securities Clearing Corporation filed with the Securities and Exchange
Commission (``Commission'') proposed rule changes SRDTC200516, SR
FICC200519, and SRNSCC200514 pursuant to section
NOTICES: International Securities Exchange, Inc.,
Published: 2005-12-14
December 7, 2005.
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 21, 2005, the International Securities Exchange, Inc.
(``ISE'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2005-12-14
December 6, 2005.
On September 29, 2005, 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 19b4
NOTICES: New York Stock Exchange, Inc.,
Published: 2005-12-14
December 7, 2005.
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 30, 2005, the New York Stock Exchange, Inc. (``NYSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as
NOTICES: Pacific Exchange, Inc.,
Published: 2005-12-14
December 7, 2005.
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, 2005, the Pacific Exchange, Inc. (``PCX'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as
NOTICES: Pacific Exchange, Inc.,
Published: 2005-12-14
December 7, 2005.
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 23, 2005, the Pacific Exchange, Inc. (``PCX'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items
NOTICES: Pacific Exchange, Inc.,
Published: 2005-12-14
December 7, 2005.
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 3, 2005, the Pacific Exchange, Inc. (``PCX'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as described
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2005-12-14
December 7, 2005.
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 3, 2005, the Philadelphia Stock Exchange, Inc. (``Phlx'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2005-12-14
December 7, 2005.
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 16, 2005, the Philadelphia Stock Exchange, Inc. (``Phlx''
or ``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2005-12-14
December 7, 2005.
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 9, 2005, the Philadelphia Stock Exchange, Inc. (``Phlx'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change
NOTICES: Integrity Funds et al.,
Published: 2005-12-14
Summary of Application: Applicants request an order to permit
certain registered openend management investment companies relying on
section 12(d)(1)(F) of the Act to charge a sales load in excess of 1\1/ 2\ percent.
Applicants: Integrity Money Management, Inc. (the ``Adviser''),
Integrity Funds Distributor, Inc. (the ``Distributor''), and
NOTICES: Rydex ETF Trust et al.,
Published: 2005-12-14
Summary of the Application: The order would amend a prior order to
permit principal underwriters and brokers and dealers to sell shares of
certain registered openend management investment companies, certain of
which operate as exchangetraded funds, to other registered openend
management investment companies that are not part of the same group of
NOTICES: Pacific Exchange, Inc., et al.,
Published: 2005-12-14
December 5, 2005.
I. Introduction and Description
On December 2, 2005, the Pacific Exchange, Inc. (``PCX'') on behalf
of itself and the National Association of Securities Dealers, Inc.
(``NASD''), the American Stock Exchange LLC (``Amex''), the Boston
Stock Exchange, Inc. (``BSE''), the Chicago Stock Exchange, Inc.
(``CHX''), the National Stock
