RSS Feed RSS Feed

Department: SECURITIES AND EXCHANGE COMMISSION

Browse: Departments   Dates   Agencies  

The Federal Register

Pages: 1

1. Delegation of Authority to Chief Administrative Law Judge

RULES: Chief Administrative Law Judge,

The Securities and Exchange Commission (``Commission'') is amending its rules to delegate authority to the Chief Administrative Law Judge to issue orders to discontinue administrative proceedings as to a particular respondent who has died or cannot be found, or because of a mistake in the identity of a respondent named in the order for
SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

2. Proposed Amendments to Municipal Securities Disclosure

PROPOSED RULES: Municipal securities disclosure; amendments,

The Commission is publishing for comment proposed amendments to a rule under the Securities Exchange Act of 1934 (``Exchange Act'') relating to municipal securities disclosure which would delete references to the Municipal Securities Rulemaking Board (``MSRB'') as a recipient of material event notices filed by or on behalf of issuers of municipal
SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

3. Proposed Collection; Comment Request

NOTICES: Agency information collection activities; proposals, submissions, and approvals,

Upon written request, copies available from: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 20549.

Extension:

Rule 17f6; SEC File No. 270392; OMB Control No. 32350447.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 35013520), the Securities and Exchange

SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

4. Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year

NOTICES: Budget and annual accounting support fee,

The SarbanesOxley Act of 2002 (the ``Act'') established the Public Company Accounting Oversight Board (``PCAOB'') to oversee the audits of public companies and related matters, to protect investors, and to further the public interest in the preparation of informative, accurate and independent audit reports. The PCAOB is to accomplish these

SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

5. Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval

NOTICES: American Stock Exchange LLC,

November 30, 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 May 17, 2006, the American Stock Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in

SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

6. Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to

NOTICES: Depository Trust Co.,

December 1, 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 10, 2006, The Depository Trust Company (``DTC'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II, and III,

SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

7. Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed

NOTICES: NASDAQ Stock Market LLC,

December 1, 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 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

SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

8. Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule

NOTICES: National Association of Securities Dealers, Inc.,

December 1, 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 August 23, 2006, the National Association of Securities Dealers, Inc. (``NASD'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described

SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

9. Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed

NOTICES: New York Stock Exchange LLC,

December 1, 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 New York Stock Exchange LLC (``Exchange'' or ``NYSE'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in

SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

10. Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed

NOTICES: New York Stock Exchange LLC,

November 30, 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 New York Stock Exchange LLC (``Exchange'' or ``NYSE'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in

SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

11. Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed

NOTICES: New York Stock Exchange LLC,

November 30, 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 November 29, 2006, The New York Stock Exchange LLC (``Exchange'' or ``NYSE'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as

SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

12. Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval

NOTICES: New York Stock Exchange LLC,

December 1, 2006.

I. Introduction

On September 22, 2006, the New York Stock Exchange LLC (``NYSE'' 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 specialist

SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

©2004,2005,2006 theFederalRegister.com