The Federal Register http://thefederalregister.com/b.p/department/SECURITIES_AND_EXCHANGE_COMMISSION/2006-04-03/ Daily Publications of Meetings and Rules Changes for the Federal Government Thu, May 23 2013 11:00:00 GMT Thu, May 23 2013 11:00:00 GMT info@thefederalregister.com <![CDATA[Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed]]> http://thefederalregister.com/d.p/2006-04-03-E6-4755

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 March 15, 2006, the Boston Stock Exchange, Inc. (``BSE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule
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change as described in Items I and II below, which Items have been prepared by the Exchange. The BSE filed the proposal as a ``non controversial'' proposed rule change pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule 19b4(f)(6) thereunder,\4\ which renders it effective upon filing with the Commission.\5\ The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(B)(3)(A).
\4\ 17 CFR 240.19b4(f)(6).
\5\ As required by Rule 19b4(f)(6)(iii), 17 CFR 240.19b 4(f)(6)(iii), the BSE submitted written notice of its intent to file the ]]> http://thefederalregister.com/d.p/2006-04-03-E6-4755 Mon, Apr 3 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change]]> http://thefederalregister.com/d.p/2006-04-03-E6-4757

On August 18, 2005, the National Association of Securities Dealers, Inc. (``NASD'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission''), a proposed rule change to NASD Rule 6740 relating to the submission of SEC Rule 15c211 information on non Nasdaq securities pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'' or ``Exchange Act'') ;\1\ and Rule 19b4 thereunder.\2\ On January 10, 2006, NASD submitted Amendment No. 1 to the proposed rule change.\3\ The Commission published the proposed rule change, as amended, for comment in the Federal Register on February 21, 2006.\4\ The Commission received no comments on the proposal. \1\ 5 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ Amendment No. 1 made certain technical and clarifying changes to the original rule filing of August 18, 2005 and superseded and replaced the original rule filing in its entirety. \4\ See Securities Exchange Act Release No. 53276 (February 13, 2006 ]]> http://thefederalregister.com/d.p/2006-04-03-E6-4757 Mon, Apr 3 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a]]> http://thefederalregister.com/d.p/2006-04-03-E6-4756

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on March 14, 2006, The Options Clearing Corporation (``OCC'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II, and III below, which items have been prepared primarily by OCC. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. \1\ 15 U.S.C. 78s(b)(1).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The proposed rule change would clarify the definition of non customer as it relates to member affiliates.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, OCC included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the ]]> http://thefederalregister.com/d.p/2006-04-03-E6-4756 Mon, Apr 3 2006 11:00:00 GMT