1. Forum Funds, et al.; Notice of Application
NOTICES: Forum Funds, et al.,
December 20, 2006.
Pages: 1
2. Joint Industry Plan; Solicitation of Comments and Order Granting Temporary Summary Effectiveness to Request to Extend
NOTICES: American Stock Exchange LLC et al.,
December 20, 2006.
I. Introduction and Description
On December 12, 2006, NYSE Arca, Inc. (``NYSEArca''), on behalf of itself and the American Stock Exchange LLC (``Amex''), the Boston Stock Exchange, Inc. (``BSE''), the Chicago Stock Exchange, Inc. (``CHX''), the Chicago Board Options Exchange, Incorporated (``CBOE''), the International
3. Self-Regulatory Organizations; International Securities Exchange, LLC ; Notice of Filing and Immediate Effectiveness
NOTICES: International Securities Exchange, LLC,
December 20, 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 November 21, 2006, the International Securities Exchange, LLC (``Exchange'' or ``ISE'') filed with the Securities and Exchange Commission the proposed rule change, as described in Items
4. Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Granting Approval to Proposed
NOTICES: National Association of Securities Dealers, Inc.,
December 18, 2006.
I. Introduction
On March 22, 2006, the National Association of Securities Dealers, Inc. (``NASD'') 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: (1) Amend NASD rules
5. Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate
NOTICES: National Association of Securities Dealers, Inc.,
December 20, 2006.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\1 and Rule 19b4 thereunder,\2\ notice is hereby given that on December 20, 2006, the National Association of Securities Dealers, Inc. (``NASD'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as
6. Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed
NOTICES: New York Stock Exchange LLC,
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 14, 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
7. Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to
NOTICES: New York Stock Exchange LLC,
December 20, 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 14, 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
8. Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto
NOTICES: NYSE Arca, Inc.,
December 21, 2006.
On September 21, 2006, NYSE Arca, Inc. (``NYSE Arca'' 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 amend NYSE Arca Rule 3.3 to provide that the
9. Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a
NOTICES: Philadelphia Stock Exchange, Inc.,
December 20, 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 12, 2006, the Philadelphia Stock Exchange, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as
10. Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of
NOTICES: Philadelphia Stock Exchange, Inc.,
December 20, 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 13, 2006, the Philadelphia Stock Exchange, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as
11. Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and
NOTICES: Philadelphia Stock Exchange, Inc.,
December 20, 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 September 28, 2006, the Philadelphia Stock Exchange, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as
12. Barclays Global Fund Advisors, et al.; Notice of Application
NOTICES: Barclays Global Fund Advisors, et al.,
Summary of Application: Applicants request an order to amend a prior
order that permits: (a) An openend management investment company,
whose series are based on certain fixed income securities indices, to
issue shares of limited redeemability; (b) secondary market
transactions in the shares of the series to occur at negotiated prices;
and (c)
Common CFR Searches
14 CFR Part 39 40 CFR Part 52 14 CFR Part 71 33 CFR Part 165 50 CFR Part 679 47 CFR Part 73 26 CFR Part 1 40 CFR Part 180 33 CFR Part 117 50 CFR Part 17 44 CFR Part 67 50 CFR Part 648 14 CFR Part 97 40 CFR Part 63 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 300 6 CFR Part 5 40 CFR Part 271 47 CFR Part 64 40 CFR Parts 52 and 81 50 CFR Part 665 10 CFR Part 50 44 CFR Part 64 49 CFR Part 571 39 CFR Part 3020