NOTICES: American Stock Exchange LLC,
Published: 2007-12-31
December 21, 2007.
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, 2007, 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: 2007-12-31
December 21, 2007.
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, 2007, the Chicago Stock Exchange, Inc. (``CHX'' or the
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as
NOTICES: Financial Industry Regulatory Authority, Inc.,
Published: 2007-12-31
December 21, 2007.
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, 2007, Financial Industry Regulatory Authority, Inc.
(``FINRA'') (f/k/a National Association of Securities Dealers, Inc.
(``NASD'')) filed with the Securities and Exchange
NOTICES: International Securities Exchange, LLC,
Published: 2007-12-31
December 20 2007.
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, 2007, the International Securities Exchange, LLC
(``Exchange'' or ``ISE'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as
NOTICES: International Securities Exchange, LLC,
Published: 2007-12-31
December 21, 2007.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 [[Page 74384]]
(``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on August 21, 2007, the International Securities Exchange, LLC (``ISE''
or ``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the
NOTICES: NASDAQ Stock Market LLC,
Published: 2007-12-31
December 20, 2007.
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 20, 2007, 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: New York Stock Exchange LLC,
Published: 2007-12-31
December 21, 2007.
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 19, 2007, the New York Stock Exchange, LLC (``NYSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule changes as described
NOTICES: NYSE Arca, Inc.,
Published: 2007-12-31
December 21, 2007.
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 16, 2007, NYSE Arca, Inc. (``Exchange''), through its wholly
owned subsidiary NYSE Arca Equities, Inc. (``NYSE Arca Equities''),
filed with the Securities and Exchange Commission
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2007-12-31
December 20, 2007.
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 6, 2007, 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: 2007-12-31
December 21, 2007.
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 19, 2007, 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: 2007-12-31
December 20, 2007.
On October 29, 2007, the Philadelphia Stock Exchange, Inc.
(``Phlx'' 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 expand the type of business
that
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2007-12-31
December 21, 2007.
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 12, 2007, the Philadelphia Stock Exchange, Inc.
(``Phlx'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as
RULES: Staff accounting bulletin No. 110,
Published: 2007-12-31
This staff accounting bulletin (``SAB'') expresses the views
of the staff regarding the use of a ``simplified'' method, as discussed
in SAB No. 107 (``SAB 107''), in developing an estimate of expected
term of ``plain vanilla'' share options in accordance with Statement of
Financial Accounting Standards No. 123 (revised 2004), ShareBased
Payment.
NOTICES: Main Street Capital Corp., et al.,
Published: 2007-12-31
Summary of the Application: Applicants, Main Street Capital Corporation
(the ``Company''), Main Street Mezzanine Fund, LP (``MSMF''), Main
Street Capital Partners, LLC (the ``Investment Adviser''), and Main
Street Mezzanine Management, LLC (the ``General Partner''), request an
order to permit: (1) A business development company and its wholly
owned
NOTICES: UBS Funds et al.,
Published: 2007-12-31
Summary of Application: Applicants request an order to permit funds
of funds relying on rule 12d12 under the Act to invest in certain financial instruments.
Applicants: The UBS Funds, SMA Relationship Trust, UBS Investment
Trust, UBS Index Trust, UBS Series Trust, and UBS Relationship Funds
(collectively, the ``Trusts''); UBS Global Asset
NOTICES: American Stock Exchange LLC,
Published: 2007-12-31
December 20, 2007.
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 19, 2007, 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 Board Options Exchange, Inc.,
Published: 2007-12-28
December 20, 2007.
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 27, 2007, the Chicago Board Options Exchange, Incorporated
( ``Exchange'' or ``CBOE'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule
NOTICES: Chicago Stock Exchange, Inc.,
Published: 2007-12-28
December 20, 2007.
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 August 31, 2007, the Chicago Stock Exchange, Inc. (``CHX'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission''), and on October 22, 2007 amended, the
NOTICES: Financial Industry Regulatory Authority, Inc.,
Published: 2007-12-28
December 14, 2007.
I. Introduction
On May 25, 2007, the National Association of Securities Dealers,
Inc. (``NASD'')\1\ 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'').\2\ Notice of the
proposal was published in the Federal
NOTICES: Financial Industry Regulatory Authority, Inc.,
Published: 2007-12-28
December 20, 2007.
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 1, 2007, Financial Industry Regulatory Authority, Inc.
(``FINRA'') (f/k/a National Association of Securities Dealers, Inc.
(``NASD'')) filed with the Securities and Exchange
NOTICES: Financial Industry Regulatory Authority, Inc.,
Published: 2007-12-28
December 20, 2007.
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 12, 2007, the Financial Industry Regulatory Authority,
Inc. (``FINRA'') (f/k/a National Association of Securities Dealers,
Inc. (``NASD'') filed with the Securities and
NOTICES: International Securities Exchange, LLC,
Published: 2007-12-28
December 19, 2007.
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 14, 2007, the International Securities Exchange, LLC
(the ``ISE'' or the ``Exchange'') filed with the Securities and
Exchange Commission (the ``Commission'') the proposed
NOTICES: International Securities Exchange, LLC,
Published: 2007-12-28
December 20, 2007.
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, 2007, the International Securities Exchange, LLC (
``Exchange'' or ``ISE'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as
NOTICES: International Securities Exchange, LLC,
Published: 2007-12-28
December 20, 2007.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (``Act'') and Rule 19b4 thereunder,\2\ notice is hereby given
that on December 10, 2007, the International Securities Exchange, LLC
(``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in
