NOTICES: Depository Trust Co.,
Published: 2006-12-20
December 13, 2006.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on March 28, 2006, The
Depository Trust Company (``DTC'') filed with the Securities and
Exchange Commission (``Commission'') and on September 29, 2006, amended
the proposed rule change as described in Items I, II, and
NOTICES: Fixed Income Clearing Corp.,
Published: 2006-12-20
December 13, 2006.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on March 28, 2006, Fixed
Income Clearing Corporation (``FICC'') filed with the Securities and
Exchange Commission (``Commission'') and on September 28, 2006, amended
the proposed rule change as described in Items I,
NOTICES: International Securities Exchange LLC,
Published: 2006-12-20
December 12, 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 4, 2006, the International Securities Exchange, LLC
(``ISE'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change, as
NOTICES: Municipal Securities Rulemaking Board,
Published: 2006-12-20
December 13, 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 24, 2006, the Municipal Securities Rulemaking Board
(``MSRB'' or ``Board'') filed with the Securities and Exchange
Commission (``SEC'' or ``Commission'') the proposed rule
NOTICES: NASDAQ Stock Market LLC,
Published: 2006-12-20
December 13, 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 NASDAQ Stock Market LLC (``Nasdaq'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I, II, and
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2006-12-20
December 13, 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 National Association of Securities Dealers,
Inc. (``NASD''), through its subsidiary, The Nasdaq Stock Market, Inc.
(``Nasdaq''), filed with the Securities and
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2006-12-20
December 13, 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 30, 2006, the National Association of Securities Dealers,
Inc. (``NASD''), through its subsidiary, The Nasdaq Stock Market, Inc.
(``Nasdaq''), filed with the Securities and
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2006-12-20
December 13, 2006.
I. Introduction
On September 29, 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 proposal to establish an NASD trade
NOTICES: National Securities Clearing Corp.,
Published: 2006-12-20
December 13, 2006.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on March 28, 2006, National
Securities Clearing Corporation (``NSCC'') filed with the Securities
and Exchange Commission (``Commission'') and on September 28, 2006,
amended the proposed rule change as described in
NOTICES: National Securities Clearing Corp.,
Published: 2006-12-20
December 12, 2006.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on November 2, 2006, the
National Securities Clearing Corporation (``NSCC'') filed with the
Securities and Exchange Commission (``Commission'') the proposed rule
change described in Items I, II, and III below, which
NOTICES: Options Clearing Corp.,
Published: 2006-12-20
December 13, 2006.
I. Introduction
On June 8, 2006, The Options Clearing Corporation (``OCC'') filed
with the Securities and Exchange Commission (``Commission'') proposed
rule change SROCC200610 pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act'').\1\ On October 26, 2006, OCC
amended the proposed rule change. Notice of
NOTICES: MEMBERS Mutual Funds, et al.,
Published: 2006-12-20
Summary of the Application: The order would permit certain registered
openend management investment companies to acquire shares of other
registered openend management investment companies and unit investment
trusts (``UITs'') that are within and outside the same group of investment companies.
Applicants: MEMBERS Mutual Funds (``MMF''), ULTRA Series
NOTICES: American Stock Exchange LLC et al.,
Published: 2006-12-20
December 14, 2006.
I. Introduction and Description
Notice is hereby given that on December 13, 2006, the operating
committee (``Operating Committee'' or ``Committee'') \1\ of the Joint
SelfRegulatory Organization Plan Governing the Collection,
Consolidation, and Dissemination of Quotation and Transaction
Information for NasdaqListed Securities
NOTICES: Tax services for persons in financial reporting oversight roles; propose rule filing,
Published: 2006-12-20
December 14, 2006.
Pursuant to Section 107(b) of the SarbanesOxley Act of 2002 (the
``Act''), notice is hereby given that on October 31, 2006, the Public
Company Accounting Oversight Board (the ``Board'' or the ``PCAOB'')
filed with the Securities and Exchange Commission (the ``SEC'' or
``Commission'') the proposed rule change described in
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2006-12-20
December 13, 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 July 7, 2006, the Chicago Board Options Exchange, Incorporated
(``CBOE'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as
NOTICES: Chicago Stock Exchange, Inc.,
Published: 2006-12-20
December 12, 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 16, 2006, the Chicago Stock Exchange, Inc. (``CHX'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described
NOTICES: Agency information collection activities; proposals, submissions, and approvals,
Published: 2006-12-19
Upon written request, copies available from: Securities and Exchange
Commission Office of Filings and Information Services, Washington, DC 20549.
Extension: Rule 206(3)2; SEC File No. 270216; OMB Control No. 32350243.
[[Page 76004]]
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.) the
NOTICES: Agency information collection activities; proposals, submissions, and approvals,
Published: 2006-12-19
Upon written request, copies available from: Securities and Exchange
Commission Office of Filings and Information Services, Washington, DC 20549.
Extension: Rule 30e2; SEC File No. 270437; OMB Control No. 3235 0494.
Notice is hereby given that, under the Paperwork Reduction Act of
1995 (44 U.S.C. 350l3520), the Securities and Exchange Commission
NOTICES: Agency information collection activities; proposals, submissions, and approvals,
Published: 2006-12-19
Upon written request; copies available from: Securities and Exchange
Commission Office of Filings and Information Services, Washington, DC 20549.
Extensions:
Rule 12d13; OMB Control No. 32350109; SEC File No. 270116.
Schedule 13E4F; OMB Control No. 32350375; SEC File No. 270 340.
Form FX; OMB Control No. 32350379; SEC File No. 270336.
NOTICES: Agency information collection activities; proposals, submissions, and approvals,
Published: 2006-12-19
Upon written request, copies available from: Securities and Exchange
Commission Office of Filings and Information Services, Washington, DC 20549
Extension: Form N6; SEC File No. 270446; OMB Control No. 3235 0503.
[[Page 76006]]
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.) the Securities and
NOTICES: Agency information collection activities; proposals, submissions, and approvals,
Published: 2006-12-19
Upon written request, copies available from: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC 20549.
Extension: Form N4; SEC File No. 270282; OMB Control No. 3235 0318.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange
NOTICES: Agency information collection activities; proposals, submissions, and approvals,
Published: 2006-12-19
Upon written request, copies available from: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC 205490004.
Extension: Form 1E, Regulation E; SEC File No. 270221; OMB Control No. 32350232.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the
NOTICES: Agency information collection activities; proposals, submissions, and approvals,
Published: 2006-12-19
Upon written request, copies available from: Securities and Exchange
Commission Office of Filings and Information Services, Washington, DC 20549.
Extension: Rules 8b1 to 8b33; SEC File No. 270135; OMB Control No. 32350176
.Notice is hereby given that pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and
NOTICES: New York Stock Exchange LLC,
Published: 2006-12-19
December 11, 2006.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b4 thereunder,\3\ notice is hereby
given that on August 24, 2006 the New York Stock Exchange LLC (``NYSE''
or ``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as
NOTICES: Broker-dealers; financial statement requirements,
Published: 2006-12-18
December 12, 2006.
The Securities and Exchange Commission (``Commission'') is
extending its Order, originally issued on August 4, 2003,\1\ and
extended on July 14, 2004 \2\ and on December 7, 2005 (the ``2005
Order'') \3\ under Section 17(e) of the Securities Exchange Act of 1934
(``Exchange Act''), regarding audits of financial statements of
