PROPOSED RULES: Financial reporting; internal control; management's report; interpretive guidance,
Published: 2006-12-27
We are proposing interpretive guidance for management
regarding its evaluation of internal control over financial reporting.
The interpretive guidance sets forth an approach by which management
can conduct a topdown, riskbased evaluation of internal control over
financial reporting. The proposed guidance is intended to assist
companies of all
NOTICES: American Stock Exchange LLC,
Published: 2006-12-27
December 18, 2006.
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 24, 2006, the American Stock Exchange LLC (``Amex'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in
NOTICES: Chicago Stock Exchange, Inc.,
Published: 2006-12-27
December 19, 2006.
I. Introduction
On October 19, 2006, the Chicago Stock Exchange, Inc. (``CHX'' 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 permit CHX participants to
NOTICES: Fixed Income Clearing Corp.,
Published: 2006-12-27
December 19, 2006.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on October 4, 2006, the Fixed
Income Clearing Corporation (``FICC'') filed with the Securities and
Exchange Commission (``Commission'') and on November 14, 2006, amended
the proposed rule change as described in Items
NOTICES: Fixed Income Clearing Corp.,
Published: 2006-12-27
December 19, 2006.
I. Introduction
On October 4, 2006, the Fixed Income Clearing Corporation
(``FICC'') filed with the Securities and Exchange Commission
(``Commission'') proposed rule change SRFICC200615 pursuant to
Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'').\1\
Notice of the proposal was published in the Federal
NOTICES: Fixed Income Clearing Corp.,
Published: 2006-12-27
December 18, 2006.
On April 21, 2006, the Fixed Income Clearing Corporation (``FICC'')
filed with the Securities and Exchange Commission (``Commission'') a
proposed rule change pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'').\1\ Notice of the proposal was published
in the Federal Register on October 4, 2006.\2\ No
NOTICES: NASDAQ Stock Market LLC,
Published: 2006-12-27
December 19, 2006.
Pursuant to the provisions of Section 19(b)(1) under the Securities
Exchange Act of 1934 (``Act''),\1\ and Rule 19b4 thereunder,\2\ The
NASDAQ Stock Market LLC (``Nasdaq'') is filing with the Securities and
Exchange Commission (``Commission'') the proposed rule change as
described in Items I and II below, which Items have
NOTICES: NASDAQ Stock Market LLC,
Published: 2006-12-27
December 19, 2006.
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 7, 2006, The NASDAQ Stock Market LLC (``Nasdaq'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I and II
NOTICES: NASDAQ Stock Market LLC,
Published: 2006-12-27
December 18, 2006.
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 December 12, 2006, The NASDAQ Stock Market LLC (``Nasdaq'')
filed with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I, II
NOTICES: National Securities Clearing Corp.,
Published: 2006-12-27
December 18, 2006.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on November 3, 2006, 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,
NOTICES: New York Stock Exchange LLC,
Published: 2006-12-27
December 18, 2006.
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 1, 2006, the New York Stock Exchange LLC (``NYSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in
NOTICES: NYSE Arca, Inc.,
Published: 2006-12-27
December 19, 2006.
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, 2006, NYSE Arca, Inc. (the ``Exchange''), through its
wholly owned subsidiary, NYSE Arca Equities, Inc. (``NYSE Arca
Equities''), filed with the Securities and Exchange
NOTICES: NYSE Arca, Inc.,
Published: 2006-12-27
December 19, 2006.
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 1, 2006, NYSE Arca, Inc. (``NYSE Arca'' or ``Exchange'')
filed with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items, I,
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2006-12-27
December 18, 2006.
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, 2006, the Philadelphia Stock Exchange, Inc. (``Phlx'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as
