The Federal Register http://thefederalregister.com/b.p/department/SECURITIES_AND_EXCHANGE_COMMISSION/2006-12-14/ 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[ Sunshine Act Meeting ]]> http://thefederalregister.com/d.p/2006-12-14-06-9722 Status: Open Meeting.
Place: 100 F Street, NE., Auditorium, LL002, Washington, DC. Date and Time of Previously Announced Meeting: Wednesday, December 13, 2006.

Change in the Meeting: Additional Item.

The following matter will also be considered as part of Item 3 during the 10 a.m. Open Meeting scheduled for Wednesday, December 13, 2006:

The Commission will consider whether to propose changes to its requirements for attestation reports.

Commissioner Casey, as duty officer, determined that no earlier notice thereof was possible.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 5515400.

Dated: December 11, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. 069722 Filed 121206; 10:53 am]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2006-12-14-06-9722 Thu, Dec 14 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a]]> http://thefederalregister.com/d.p/2006-12-14-E6-21277

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on August 11, 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 below, which Items have been prepared primarily by DTC. DTC filed the proposed rule change pursuant to Section 19(b)(3)(A) of the Act \2\ and Rule 19b4(f)(1) \3\ thereunder so that the proposal was 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\ 15 U.S.C. 78s(b)(3)(A).
\3\ 17 CFR 240.19b4(f)(1).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The proposed rule change clarifies recent changes to DTC's Deposit Service procedures.
II. SelfRegulatory Organization's Statement of the Purpos ]]> http://thefederalregister.com/d.p/2006-12-14-E6-21277 Thu, Dec 14 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change Relating to]]> http://thefederalregister.com/d.p/2006-12-14-E6-21234

On June 15, 2006 the Fixed Income Clearing Corporation (``FICC'') filed a proposed rule change with the Securities and Exchange Commission (``Commission'') pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and on September 22, 2006, amended the proposed rule change. Notice of the proposal was published in the Federal Register on October 4, 2006.\2\ No comment letters were received. For the reasons discussed below, the Commission is approving the proposed rule change.
\1\ 15 U.S.C. 78s(b)(1).
\2\ Securities Exchange Act Release No. 54570 (Oct. 4, 2006), 71 FR 60591.

I. Description

The rule change will amend FICC's Government Securities Division's (``GSD'') and Mortgage Backed Securities Division's (``MBSD'') rules relating to members' or applicants' financial responsibility, operational capability, and insolvency and to FICC ceasing to act for members.

A. Cease To Act and Insolvency Rules

FICC will amend GSD's rules governing wh ]]> http://thefederalregister.com/d.p/2006-12-14-E6-21234 Thu, Dec 14 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change Relating to]]> http://thefederalregister.com/d.p/2006-12-14-E6-21278

On June 15, 2006, the Fixed Income Clearing Corporation (``FICC'') 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'') \1\ and on June 30, 2006, amended the proposed rule change. Notice of the proposed rule change was published in the Federal Register on October 24, 2006.\2\ No comment letters were received. For the reasons discussed below, the Commission is approving the proposed rule change.
\1\ 15 U.S.C. 78s(b)(1).
\2\ Securities Exchange Act Release No. 54609 (Oct. 16, 2006), 71 FR 62324.

I. Description

The proposed rule change will add new rules to FICC's Mortgage Backed Securities Division (``MBSD'') Rulebook to establish new reporting processes to support the bilateral comparison of pool details associated with specified pool trade (``SPT'') activity. Specifically, FICC will enable MBSD members to submit the pool number and original face val ]]> http://thefederalregister.com/d.p/2006-12-14-E6-21278 Thu, Dec 14 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting]]> http://thefederalregister.com/d.p/2006-12-14-E6-21236

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 15, 2006, the National Association of Securities Dealers, Inc. (``NASD'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by NASD. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. For the reasons discussed below, the Commission is granting accelerated approval of the proposed rule change.
\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

NASD is filing the proposed rule change to establish May 31, 2007 as the effective date for the amendments to NASD Rule 2340 (concerning customer account statements) that the SEC approved in September 2 ]]> http://thefederalregister.com/d.p/2006-12-14-E6-21236 Thu, Dec 14 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change]]> http://thefederalregister.com/d.p/2006-12-14-E6-21281

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on October 16, 2006, the National Securities Clearing Corporation (``NSCC'') 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 NSCC. 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 consists of modifications to NSCC's rules concerning buyins of municipal securities.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, NSCC included statements concerning the purpose of and basis for the proposed rule change and discussed any co ]]> http://thefederalregister.com/d.p/2006-12-14-E6-21281 Thu, Dec 14 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise]]> http://thefederalregister.com/d.p/2006-12-14-E6-21276

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on May 19, 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. The Commission is publishing this notice to solicit comments on the proposed rule change from interested parties.
\1\ 15 U.S.C. 78s(b)(1).
[[Page 75288]]
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

OCC is seeking to amend Article XII (Futures and Futures Options), Section 3 (Adjustments to Futures and Futures Options) of OCC's ByLaws to conform to the changes sought in proposed rule change SROCC200601 to Article VI (Clearance of Exchange Transactions), Section 11A (Adjustments for Stock Option Contracts).\2\
\2\ The Commission published the notice for proposed rule change ]]> http://thefederalregister.com/d.p/2006-12-14-E6-21276 Thu, Dec 14 2006 11:00:00 GMT