I. Introduction and Description

Notice is hereby given that on December 13, 2006, the operating committee (``Operating Committee'' or ``Committee'') \1\ of the Joint SelfRegulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of Quotation and Transaction Information for NasdaqListed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis (``Nasdaq/UTP Plan'' or ``Plan'') filed with the Securities and Exchange Commission (``Commission'') an amendment to the Plan pursuant to Rule 608 under the Securities Exchange Act of 1934 (the ``Act'') \2\. This amendment represents Amendment 18 made to the Plan and reflects the modification of the Access Section to be consistent with Rule 610 of Regulation NMS.\3\ Amendment 18 was unanimously approved by the Committee on August 17, 2006.\4\ The Commission is publishing this notice of filing and effectiveness to solicit comments from
[[Page 76382]]
interested persons on Amendment No. 18.
\ ]]> http://thefederalregister.com/d.p/2006-12-20-E6-21708 Wed, Dec 20 2006 11:00:00 GMT http://thefederalregister.com/d.p/2006-12-20-E6-21659

Pursuant to Section 107(b) of the SarbanesOxley Act of 2002 (the ``Act''), notice is hereby given that on October 31, 2006, the Public Company Accounting Oversight Board (the ``Board'' or the ``PCAOB'') filed with the Securities and Exchange Commission (the ``SEC'' or ``Commission'') the proposed rule change described in Items I and II below, which items have been prepared by the Board. The PCAOB has designated the proposed rule change as ``constituting a stated policy, practice, or interpretation with respect to the meaning,
administration, or enforcement of an existing rule'' under Section 19(b)(3)(A)(i) of the Securities Exchange Act of 1934 (``Exchange Act'') (as incorporated, by reference, into Section 107(b)(4) of the Act), which renders the proposal effective upon receipt of this filing by the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Board's Statement of the Terms of Substance of ]]> http://thefederalregister.com/d.p/2006-12-20-E6-21659 Wed, Dec 20 2006 11:00:00 GMT http://thefederalregister.com/d.p/2006-12-20-E6-21654

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 7, 2006, the Chicago Board Options Exchange, Incorporated (``CBOE'' 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 substantially prepared by the Exchange. On October 30, 2006, the CBOE submitted Amendment No. 1 to the proposed rule change.\3\ 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.
\3\ Amendment No. 1 (``Amendment No. 1'') supersedes and replaces the original filing in its entirety. The substance of Amendment No. 1 is incorporated into this notice.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange ]]> http://thefederalregister.com/d.p/2006-12-20-E6-21654 Wed, Dec 20 2006 11:00:00 GMT http://thefederalregister.com/d.p/2006-12-20-E6-21655

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, 2006, the Chicago Stock Exchange, Inc. (``CHX'' 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 CHX. The Exchange has filed this proposal 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 the Proposed Rule Change

The CHX proposes to amend its Schedule of Participant Fees and Credi ]]> http://thefederalregister.com/d.p/2006-12-20-E6-21655 Wed, Dec 20 2006 11:00:00 GMT http://thefederalregister.com/d.p/2006-12-20-E6-21683

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on March 28, 2006, The Depository Trust Company (``DTC'') filed with the Securities and Exchange Commission (``Commission'') and on September 29, 2006, amended the proposed rule change as described in Items I, II, and III below, which items have been prepared primarily by DTC. 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 add a new Rule 32, Wind Down of a Participant,\2\ to DTC's Rules to address a situation where a participant notifies DTC that it intends to wind down its activities and DTC determines in its discretion that it must take special action in order to protect itself and its participants.\3\
\2\ The text of DTC's proposed Rul ]]> http://thefederalregister.com/d.p/2006-12-20-E6-21683 Wed, Dec 20 2006 11:00:00 GMT http://thefederalregister.com/d.p/2006-12-20-E6-21707

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on March 28, 2006, Fixed Income Clearing Corporation (``FICC'') filed with the Securities and Exchange Commission (``Commission'') and on September 28, 2006, amended the proposed rule change as described in Items I, II, and III below, which items have been prepared primarily by FICC. 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 add a new Rule 21A, WindDown of a Netting Member, to the Rules of FICC's Government Securities Division (``GSD'') and a new Rule 2A, WindDown of a Participant, to the Rules of FICC's MortgageBacked Securities Division (``MBSD'') \2\ to address a situation where a participant notifies FICC that it intends to wind dow ]]> http://thefederalregister.com/d.p/2006-12-20-E6-21707 Wed, Dec 20 2006 11:00:00 GMT http://thefederalregister.com/d.p/2006-12-20-E6-21653

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 4, 2006, the International Securities Exchange, LLC (``ISE'' 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. 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.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The ISE proposes to amend ISE Rule 1900 to revise the definition of ``Complex Trade'' as such definition applies to trades through the Intermarket Linkage (``Linkage''). The text of the proposed rule change appears below, with additions italicized and deletions in [brackets]: Rule 1900. Definitions
* * * ]]> http://thefederalregister.com/d.p/2006-12-20-E6-21653 Wed, Dec 20 2006 11:00:00 GMT http://thefederalregister.com/d.p/2006-12-20-E6-21779

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 24, 2006, the Municipal Securities Rulemaking Board (``MSRB'' or ``Board'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the MSRB. 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.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The MSRB is filing with the Commission a proposed rule change consisting of amendments to Rule G27, on supervision, and the related recordkeeping and record retention requirements of Rules G8 and G9. The text of the proposed rule change is available on the MSRB's Web site ( ]]> http://thefederalregister.com/d.p/2006-12-20-E6-21779 Wed, Dec 20 2006 11:00:00 GMT http://thefederalregister.com/d.p/2006-12-20-E6-21652

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 1, 2006, 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 III below, which Items have been substantially prepared by Nasdaq. On December 7, 2006, the Exchange submitted Amendment No. 1 to the proposed rule change. Nasdaq has filed the proposal 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
[[Page 76405]]
Commission. The Commission is publishing this notice to solicit comments on the proposed rule change, as amended, from interested persons.
\1\ 5 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 Substanc ]]> http://thefederalregister.com/d.p/2006-12-20-E6-21652 Wed, Dec 20 2006 11:00:00 GMT http://thefederalregister.com/d.p/2006-12-20-E6-21648

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 1, 2006, the National Association of Securities Dealers, Inc. (``NASD''), through its subsidiary, The Nasdaq Stock Market, Inc. (``Nasdaq''), 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 substantially prepared by Nasdaq. Nasdaq filed the proposed rule change pursuant to Section
19(b)(3)(A)(ii) 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)(ii).
\4\ 17 CFR 240.19b4(f)(2).
I. SelfRegulatory Organization's Statement of the Terms of Substance of t ]]> http://thefederalregister.com/d.p/2006-12-20-E6-21648 Wed, Dec 20 2006 11:00:00 GMT http://thefederalregister.com/d.p/2006-12-20-E6-21650

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 National Association of Securities Dealers, Inc. (``NASD''), through its subsidiary, The Nasdaq Stock Market, Inc. (``Nasdaq''), 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 substantially prepared by Nasdaq. On December 6, 2006, Nasdaq submitted Amendment No. 1 to the proposed rule change. Nasdaq filed the proposed rule change pursuant to Section 19(b)(3)(A)(ii) 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, as amended, 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)(ii).
\4\ ]]> http://thefederalregister.com/d.p/2006-12-20-E6-21650 Wed, Dec 20 2006 11:00:00 GMT http://thefederalregister.com/d.p/2006-12-20-E6-21660

I. Introduction