The Federal Register http://thefederalregister.com/b.p/department/SECURITIES_AND_EXCHANGE_COMMISSION/2006-12-28/ 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[ Forum Funds, et al.; Notice of Application ]]> http://thefederalregister.com/d.p/2006-12-28-E6-22200 ]]> http://thefederalregister.com/d.p/2006-12-28-E6-22200 Thu, Dec 28 2006 11:00:00 GMT <![CDATA[ Joint Industry Plan; Solicitation of Comments and Order Granting Temporary Summary Effectiveness to Request to Extend]]> http://thefederalregister.com/d.p/2006-12-28-E6-22198

I. Introduction and Description

On December 12, 2006, NYSE Arca, Inc. (``NYSEArca''), on behalf of itself and the American Stock Exchange LLC (``Amex''), the Boston Stock Exchange, Inc. (``BSE''), the Chicago Stock Exchange, Inc. (``CHX''), the Chicago Board Options Exchange, Incorporated (``CBOE''), the International Securities Exchange, Inc. (``ISE''), the National Association of Securities Dealers, Inc. (``NASD''), the National Stock Exchange, Inc. (``NSX''), the Nasdaq Stock Market LLC (``Nasdaq''), and the Philadelphia Stock Exchange, Inc. (``Phlx'') (hereinafter referred to collectively as ``Participants''),\1\ as members of the operating committee (``Operating Committee'' or ``Committee'') of the Plan submitted to the Securities and Exchange Commission (``Commission'') a request to extend the operation of the Plan, along with a request for permanent approval of the Plan.\2\
\1\ NYSEArca is the chair of the operating committee
(``Operating Committee'' or ``Commit ]]> http://thefederalregister.com/d.p/2006-12-28-E6-22198 Thu, Dec 28 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; International Securities Exchange, LLC ; Notice of Filing and Immediate Effectiveness]]> http://thefederalregister.com/d.p/2006-12-28-E6-22193

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 21, 2006, the International Securities Exchange, LLC (``Exchange'' or ``ISE'') filed with the Securities and Exchange Commission the proposed rule change, as described in Items I, II, and III below, which items have been prepared by the Exchange. The ISE has designated this proposal as one establishing or changing a due, fee, or other charge imposed by the CBOE under 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 the Proposed Rul ]]> http://thefederalregister.com/d.p/2006-12-28-E6-22193 Thu, Dec 28 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Granting Approval to Proposed]]> http://thefederalregister.com/d.p/2006-12-28-E6-22197

I. Introduction

On March 22, 2006, the National Association of Securities Dealers, Inc. (``NASD'') 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: (1) Amend NASD rules to modify and expand NASD's authority to direct its members to halt trading and quotation in certain overthecounter (``OTC'') equity securities (``OTC Equity Securities''); \3\ and (2) adopt factors that NASD may consider in determining, in its discretion, whether to impose a trading and quotation halt in OTC Equity Securities. On May 23, 2006, NASD filed with the Commission Amendment No. 1 to the proposed rule change.\4\ The proposed rule change, as amended, was published for comment in the Federal Register on June 7, 2006.\5\ The Commission received one comment letter in response to the proposal.\6\ On November 8, 2006, NASD filed Amendment No. 2 to ]]> http://thefederalregister.com/d.p/2006-12-28-E6-22197 Thu, Dec 28 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate]]> http://thefederalregister.com/d.p/2006-12-28-E6-22199

Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\1 and Rule 19b4 thereunder,\2\ notice is hereby given that on December 20, 2006, the National Association of Securities Dealers, Inc. (``NASD'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II below, which Items have been substantially prepared by NASD. NASD has filed this proposal pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule 19b4(f)(6) 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)(6).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

NASD has filed a proposed rule change relating to a phased implem ]]> http://thefederalregister.com/d.p/2006-12-28-E6-22199 Thu, Dec 28 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed]]> http://thefederalregister.com/d.p/2006-12-28-E6-22196

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 14, 2006, the New York Stock Exchange LLC (``NYSE'' 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 substantially prepared by the Exchange. The Exchange filed the proposed rule change as a ``noncontroversial'' rule change pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule 19b4(f)(6) 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)(6).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchang ]]> http://thefederalregister.com/d.p/2006-12-28-E6-22196 Thu, Dec 28 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to]]> http://thefederalregister.com/d.p/2006-12-28-E6-22201

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 14, 2006, the New York Stock Exchange LLC (``NYSE'' 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. 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 Exchange proposes to amend Section 802.01E of its Listed Company Manual (``Manual'') to end as of December 31, 2007 the Exchange's discretion to continue the listing of certain companies that are twelve months late in filing their annual reports with the Commission. The text of the proposed rule c ]]> http://thefederalregister.com/d.p/2006-12-28-E6-22201 Thu, Dec 28 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto]]> http://thefederalregister.com/d.p/2006-12-28-E6-22261

On September 21, 2006, NYSE Arca, Inc. (``NYSE Arca'' 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 NYSE Arca Rule 3.3 to provide that the Exchange's Regulatory Oversight Committee (the ``ROC'') shall be comprised of at least three Public Directors, rather than all the Public Directors. On October 20, 2006, the Exchange filed Amendment No. 1 to the proposed rule change. The proposed rule change, as amended, was published for comment in the Federal Register on October 27, 2006.\3\ The Commission received no comments regarding the proposal. \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See Securities Exchange Act Release No. 54638 (October 23, 2006), 71 FR 63059.

The Commission finds that the proposed rule change is consistent with the requirements of the Act and the rules and ]]> http://thefederalregister.com/d.p/2006-12-28-E6-22261 Thu, Dec 28 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a]]> http://thefederalregister.com/d.p/2006-12-28-E6-22192

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 12, 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, II, and III below, which items have been prepared by Phlx. Phlx has designated the proposed rule change as one establishing or changing a due, fee, or other charge, 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 the Proposed Rule ]]> http://thefederalregister.com/d.p/2006-12-28-E6-22192 Thu, Dec 28 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/2006-12-28-E6-22194

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 13, 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 Phlx filed the proposed rule change as a ``noncontroversial'' rule change pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule 19b4(f)(6) 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)(6).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Phlx proposes to add th ]]> http://thefederalregister.com/d.p/2006-12-28-E6-22194 Thu, Dec 28 2006 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and]]> http://thefederalregister.com/d.p/2006-12-28-E6-22252

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 September 28, 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, II, and III below, which Items have been substantially prepared by the Phlx. The Phlx filed Amendment No. 1 to the proposed rule change on November 1, 2006.\3\ The Phlx filed Amendment No. 2 to the proposed rule change on December 20, 2006.\4\ 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 replaces and supersedes the original filing in its entirety.
\4\ Amendment No. 2 replaces and supersedes the original filing in its entirety.
I. SelfRegulatory Organization's Statement of the ]]> http://thefederalregister.com/d.p/2006-12-28-E6-22252 Thu, Dec 28 2006 11:00:00 GMT <![CDATA[ Barclays Global Fund Advisors, et al.; Notice of Application]]> http://thefederalregister.com/d.p/2006-12-28-E6-22262 [[Page 78236]]
in the Prior Fixed Income Order and in certain prior orders relating to other exchangetraded funds offered by iShares Trust (the ``Trust'') and iShares, Inc. (the ``Corporation,'' together with the ]]> http://thefederalregister.com/d.p/2006-12-28-E6-22262 Thu, Dec 28 2006 11:00:00 GMT