The Federal Register http://thefederalregister.com/b.p/department/SECURITIES_AND_EXCHANGE_COMMISSION/2006-11-21/ Daily Publications of Meetings and Rules Changes for the Federal Government Tue, Dec 2 2008 11:00:00 GMT Tue, Dec 2 2008 11:00:00 GMT info@thefederalregister.com <![CDATA[ HealthShares, Inc., et al.; Notice of Application ]]> http://thefederalregister.com/d.p/2006-11-21-E6-19666

Summary of Application: Applicants request an order granting relief to permit (a) an openend management investment company, the series of which consist of the component securities of certain equity securities indexes, to issue shares (``Shares'') that can be redeemed only in large aggregations (``Creation Units''), (b) secondary market transactions in Shares to occur at negotiated prices on a national securities exchange, as defined in section 2(a)(26) of the Act (``Exchange''), (c) dealers to sell Shares to purchasers in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933 (``Securities Act''), and (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units.

Applicants: HealthShares, Inc. (``Corporation''), Ferghana Wellspring LLC (``Index Creator''), and XShares Advisors, LLC (``Advisor''). ]]> http://thefederalregister.com/d.p/2006-11-21-E6-19666 Tue, Nov 21 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed]]> http://thefederalregister.com/d.p/2006-11-21-E6-19622

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 31, 2006, the Boston Stock Exchange, Inc. (``BSE'' or ``Exchange'') filed with
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the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II and III below, which Items have been prepared by the BSE. On November 13, 2006, the BSE filed Amendment No. 1 to the proposed rule change.\3\ The BSE has designated this proposal as one changing a due, fee, or other charge under Section 19(b)(3)(A)(ii) of the Act,\4\ and Rule 19b4(f)(2) thereunder,\5\ which renders the proposal effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change, as amended, from interested parties.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ In Amendment No. 1, the Exchange revised the proposed rule text to correc ]]> http://thefederalregister.com/d.p/2006-11-21-E6-19622 Tue, Nov 21 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment]]> http://thefederalregister.com/d.p/2006-11-21-E6-19620

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 October 2, 2006, The NASDAQ Stock Market LLC (``Nasdaq'') filed with the Securities and Exchange Commission (``Commission'' or ``SEC'') the proposed rule change as described in Items I, II, and III below, which Items have been prepared by Nasdaq. On October 30, 2006, Nasdaq filed Amendment No. 1. Nasdaq filed Amendment No. 2 on October 31, 2006. The Commission is publishing this notice to solicit comments on the proposed rule change, as amended, from interested persons. \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

Nasdaq proposes to: (i) Modify annual fees for Nasdaq Global Market and Nasdaq Capital Market issuers; (ii) modify entry fees for Nasdaq Capital Market issuers; (iii) modify the listing of additional shares (``L ]]> http://thefederalregister.com/d.p/2006-11-21-E6-19620 Tue, Nov 21 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change]]> http://thefederalregister.com/d.p/2006-11-21-E6-19621

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 13, 2006, NYSE Acra, Inc. (``NYSE Arca'' or ``Exchange'') 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 by the Exchange. NYSE Arca has designated this proposal as one establishing or changing a due, fee, or other charge imposed by a selfregulatory organization pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule 19b4(f)(2) thereunder,\4\ which renders the proposal effective upon filing with the Commission. 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)(2).
I. SelfRegulatory Organization's Statement of the Terms of Substance of ]]> http://thefederalregister.com/d.p/2006-11-21-E6-19621 Tue, Nov 21 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Amended Filing of Proposed Rule Change To]]> http://thefederalregister.com/d.p/2006-11-21-E6-19619

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on January 12, 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 by OCC. On March 9, 2006, the Commission published notice of the proposed rule change to solicit comments from interested parties.\2\ The Commission received ten comment letters.\3\ To address the concerns raised by the commenters, OCC amended the proposed rule change on September 25, 2006. The Commission is publishing this notice to solicit comments on the proposed rule change, as amended, from interested parties.
\1\ 15 U.S.C. 78s(b)(1).
\2\ Securities Exchange Act Release No. 53400 (March 2, 2006), 71 FR 12226.
\3\ Joseph Haggenmiller (March 8, 2006); Erik A. Hartog, Operating Manager, Allagash Trading LLC (March 21, 2006) ]]> http://thefederalregister.com/d.p/2006-11-21-E6-19619 Tue, Nov 21 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of]]> http://thefederalregister.com/d.p/2006-11-21-E6-19623

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 9, 2006, the Philadelphia Stock Exchange, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by the Phlx. The Exchange filed the proposal as a ``noncontroversial'' rule change pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule 19b4(f)(6) thereunder,\4\ which rendered the proposal effective upon filing with the Commission. 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).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Phlx proposes to modify the def ]]> http://thefederalregister.com/d.p/2006-11-21-E6-19623 Tue, Nov 21 2006 11:00:00 GMT