34-55158
Jan. 24, 2007
SR-NASD-2003-158
Order Approving Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Customer Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 thereto; Order Approving Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Industry Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 thereto File Nos.: Comments Due: View Received Comments Rel. No. 34-51856 , and comments received , Rel. No. 34-51857 , and comments received Federal Register version (72 FR 4573)
34-55161
Jan. 24, 2007
SR-ISE-2006-62
Order Granting Approval to Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto, To Implement a Penny Pilot Program To Quote Certain Options in Pennies Comments Due: View Received Comments Rel. No. 34-54603 Federal Register version (72 FR 4754)
34-55155
Jan. 23, 2007
SR-BSE-2006-49
Order Granting Approval To Proposed Rule Change as Modified by Amendment No. 1 Thereto, To Implement a Pilot Program To Quote Options in Pennies Rel. No. 34-54789 Federal Register version (72 FR 4741)
34-55153
Jan. 23, 2007
SR-Phlx-2006-74
Order Granting Approval to Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto, Relating to a Pilot Program To Quote Options in Penny Increments Comments Due: Rel. No. 34-54886 Federal Register version (72 FR 4553)
34-55151
Jan. 23, 2007
SR-OCC-2006-16
Order Granting Approval of a Proposed Rule Change Relating to the Definition of Fund Share Comments Due: Rel. No. 34-54786 , Rel. No. 34-54786 Federal Register version (72 FR 4762)
34-55152
Jan. 23, 2007
SR-OCC-2006-17
Order Granting Approval of a Proposed Rule Change Relating to the Definition of Fund Share and Options on Commodity Pool ETFs Comments Due: Rel. No. 34-54784 , Rel. No. 34-54784 Federal Register version (72 FR 4763)
34-55156
Jan. 23, 2007
SR-NYSEArca-2006-73
Order Granting Approval to Proposed Rule Change as Modified by Amendment No. 1 Thereto, To Create an Options Penny Pilot Program Comments Due: View Received Comments Rel. No. 34-54590 Federal Register version (72 FR 4759)
34-55157
Jan. 23, 2007
SR-NSCC-2006-12
Order Granting Approval to Proposed Rule Change Relating to Buy-Ins of Municipal Securities Comments Due: Rel. No. 34-54900 Federal Register version (72 FR 4320)
34-55154
Jan. 23, 2007
SR-CBOE-2006-92
Order Granting Approval to Proposed Rule Change as Modified by Amendment No. 1 Thereto, Relating to the Penny Pilot Program Comments Due: View Received Comments Rel. No. 34-54805 Federal Register version (72 FR 4743)
34-55132
Jan. 19, 2007
SR-NYSE-2006-57
Order Granting Approval of a Proposed Rule Change Amending Rule 180 to Require Member Organizations to Use the Automated Liability Notification System of a Registered Clearing Agency Comments Due: View Received Comments Rel. No. 34-54818 Federal Register version (72 FR 3896)
34-55134
Jan. 19, 2007
SR-FICC-2006-14
Order Granting Approval of Proposed Rule Change Relating To Returning Excess Clearing Fund Collateral Comments Due: Rel. No. 34-54787 Federal Register version (72 FR 3450)
34-55136
Jan. 19, 2007
SR-FICC-2006-17
Order Approving Proposed Rule Change Relating to Clearing Fund Deficiency Calls Comments Due: Rel. No. 34-54819 Federal Register version (72 FR 3887)
34-55138
Jan. 19, 2007
SR-NYSEArca-2007-01
Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to the Definition of "Complex Trade" as Applied to Trades Through the Options Intermarket Linkage File Nos.: Comments Due: Rel. No. 34-55012 , Rel. No. 34-54923 , Rel. No. 34-55051 , Rel. No. 34-55015 , Rel. No. 34-55048 Federal Register version (72 FR 3451)
34-55138
Jan. 19, 2007
SR-CBOE-2006-109
Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to the Definition of "Complex Trade" as Applied to Trades Through the Options Intermarket Linkage File Nos.: Comments Due: Rel. No. 34-55012 , Rel. No. 34-54923 , Rel. No. 34-55051 , Rel. No. 34-55015 , Rel. No. 34-55048 Federal Register version (72 FR 3451)
34-55138
Jan. 19, 2007
SR-BSE-2006-55
Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to the Definition of "Complex Trade" as Applied to Trades Through the Options Intermarket Linkage File Nos.: Comments Due: Rel. No. 34-55012 , Rel. No. 34-54923 , Rel. No. 34-55051 , Rel. No. 34-55015 , Rel. No. 34-55048 Federal Register version (72 FR 3451)
34-55138
Jan. 19, 2007
SR-ISE-2006-73
Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to the Definition of "Complex Trade" as Applied to Trades Through the Options Intermarket Linkage File Nos.: Comments Due: Rel. No. 34-55012 , Rel. No. 34-54923 , Rel. No. 34-55051 , Rel. No. 34-55015 , Rel. No. 34-55048 Federal Register version (72 FR 3451)
34-55138
Jan. 19, 2007
SR-Amex-2006-119
Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to the Definition of "Complex Trade" as Applied to Trades Through the Options Intermarket Linkage File Nos.: Comments Due: Rel. No. 34-55012 , Rel. No. 34-54923 , Rel. No. 34-55051 , Rel. No. 34-55015 , Rel. No. 34-55048 Federal Register version (72 FR 3451)
34-55124
Jan. 18, 2007
SR-OCC-2006-20
Order Approving Proposed Rule Change To Accelerate the Expiration Date of American-Style Equity Options That Have Been Adjusted To Call for Cash-Only Delivery Comments Due: Rel. No. 34-54793 , Rel. No. 34-54793 Federal Register version (72 FR 3466)
34-55120
Jan. 18, 2007
SR-NYSE-2006-110
Order Fee Comments Due: Rel. No. 34-54912 Federal Register version (72 FR 3184)
34-55117
Jan. 17, 2007
SR-Amex-2006-101
Order Granting Accelerated Approval to a Proposed Rule Change as Modified by Amendments No. 1 and 2 Thereto Relating to the Listing and Trading of Shares of Funds of the ProShares Trust Comments Due: Rel. No. 34-54961 Federal Register version (72 FR 3442)
34-55114
Jan. 17, 2007
SR-Phlx-2006-81
Order Granting Approval to Proposed Rule Change Relating to the Establishment of a Maximum Number of Quoting Participants Permitted in a Particular Option on the Exchange Comments Due: Rel. No. 34-54914 Federal Register version (72 FR 3185)
34-55108
Jan. 16, 2007
SR-NASD-2006-101
Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Provide for the Payment of a $200 Honorarium Per Case for Each Arbitrator Who Considers Contested Motions for the Issuance of Subpoenas Comments Due: Rel. No. 34-54857 Federal Register version (72 FR 2914)
34-55111
Jan. 16, 2007
SR-Phlx-2006-59
Order Granting Approval of Proposed Rule Change as Modified by Amendments No. 1 and 2 Thereto Relating to an Amendment to a Philadelphia Board of Trade Market Data Distribution Network Fee Comments Due: Rel. No. 34-54890 Federal Register version (72 FR 3188)
34-55095
Jan. 12, 2007
SR-NSCC-2006-11
Order Approving Proposed Rule Change To Amend Its Rules and Procedures With Respect to Clearing Fund Collateral Comments Due: Rel. No. 34-54822 Federal Register version (72 FR 2915)
34-55080
Jan. 10, 2007
SR-Phlx-2006-51
Order Granting Approval to Proposed Rule Change Relating to Performance Evaluations for Streaming Quote Traders and Remote Streaming Quote Traders Comments Due: Rel. No. 34-54859 Federal Register version (72 FR 2324)
34-55079
Jan. 10, 2007
SR-NYSE-2006-97
Order Approving Proposed Rule Change Relating to Exchange Rule 342 ("Offices-Approval, Supervision and Control") Comments Due: Rel. No. 34-54847 Federal Register version (72 FR 2056)
34-55073
Jan. 9, 2007
SR-BSE-2006-48
Order Granting Approval to Proposed Rule Change To Implement a Quote Mitigation Plan View Received Comments Rel. No. 34-54779 Federal Register version (72 FR 2047)
34-55067
Jan. 9, 2007
SR-NYSE-2006-80
Order Approving a Proposed Rule Change and Amendment No. 1 Relating to NYSE Rule 1300 (Gold Shares) and NYSE Rule 51 (Hours of Business) Comments Due: Rel. No. 34-54801 Federal Register version (72 FR 2057)
34-55062
Jan. 8, 2007
SR-CBOE-2006-88
Order Granting Approval to Proposed Rule Change To Codify a Fee Schedule for the Sale of Open and Close Volume Data on CBOE Listed Options by Market Data Express, LLC Comments Due: Rel. No. 34-54771 Federal Register version (72 FR 2048)
34-55049
Jan. 5, 2007
SR-OPRA-2006-02
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Provide That Classes of Foreign Currency Options Newly Introduced for Trading by Any of the Parties to the Plan Be Treated Under the Provision "Special Temporary Provision for Newly Traded FCO Securities" During a Temporary Period Ending on December 31, 2007 Comments Due: Rel. No. 34-54870 Federal Register version (72 FR 1568)
34-55052
Jan. 5, 2007
SR-NASDAQ-2006-047
Order Approving Proposed Rule Change To Modify Its Listing Rules in the Case of a Reverse Merger Comments Due: Rel. No. 34-54825 Federal Register version (72 FR 1569)
34-55038
Jan. 3, 2007
SR-NASD-2005-079
Order Granting Accelerated Approval to Amendment No. 4 to Revise Rule 10322 of the NASD Code of Arbitration Procedure Pertaining to Subpoenas and the Power to Direct Appearances Comments Due: View Received Comments Rel. No. 34-54134 , Rel. No. 34-51981 Federal Register version (72 FR 1353)
34-55037
Jan. 3, 2007
SR-FICC-2006-10
Order Approving Proposed Rule Change To Amend the Rules of Its Mortgage-Backed Securities Division Regarding Membership Requirements for Unregistered Investment Pools Comments Due: Rel. No. 34-54769 Federal Register version (72 FR 1252)
34-55029
Dec. 29, 2006
SR-Amex-2006-76
Order Granting Accelerated Approval to Proposed Rule Change as Modified by Amendments No. 1, 2, 3, and 4 Thereto and Notice of Filing of Amendments No. 3 and 4 Relating to the Listing and Trading of the DB Multi-Sector Commodity Trust Comments Due: Rel. No. 34-54770 Federal Register version (72 FR 806)
34-55027
Dec. 29, 2006
SR-Phlx-2006-53
Order Granting Approval to Proposed Rule Change as Modified by Amendment No. 1 Thereto, Relating to Assignments in Options Based on Root Symbol Comments Due: View Received Comments Rel. No. 34-54807 Federal Register version (72 FR 1358)
34-55035
Dec. 29, 2006
SR-ODD-2006-01
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding U.S. Dollar-Denominated Foreign Currency Options Federal Register version (72 FR 1358)
34-55025
Dec. 29, 2006
SR-CBOE-2006-96
Order Approving a Proposed Rule Change Regarding Allocation of Stocks to CBSX DPMs Comments Due: Rel. No. 34-54792 Federal Register version (72 FR 812)
34-55008
Dec. 22, 2006
SR-Amex-2006-98
Order Approving Proposed Rule Change Relating to the Codification of Exchange Policy Regarding Specialist Commissions Comments Due: View Received Comments Rel. No. 34-54618 Federal Register version (72 FR 597)
34-55006
Dec. 22, 2006
SR-Amex-2006-57
Order Approving Proposed Rule Change Relating To Stop Orders for Exchange Traded Funds and Trust Issued Receipts Comments Due: Rel. No. 34-54584 Federal Register version (72 FR 599)
34-54986
Dec. 21, 2006
SR-NYSEArca-2006-58
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Its Regulatory Oversight Committee Comments Due: Rel. No. 34-54638 Federal Register version (71 FR 78250)
34-54998
Dec. 21, 2006
SR-NYSE-2006-98
Order Granting Accelerated Approval to Amendment No. 1 Thereto, Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses and the Deletion of NYSE Rule 300T Comments Due: View Received Comments Rel. No. 34-54713 Federal Register version (71 FR 78496)
34-54999
Dec. 21, 2006
SR-NYSE-2006-30
Order Approving a Proposed Rule Change and Amendments No. 1 & 2 Thereto Relating to the Treasury Share Exception in NYSE Listed Company Manual Section 312.03, Section 312.04, Section 703.01(A), and Section 903.02 Comments Due: View Received Comments Rel. No. 34-54579 Federal Register version (72 FR 170)
34-54963
Dec. 19, 2006
SR-CHX-2006-30
Order Approving Proposed Rule Change To Permit Routing From the Matching System to a Destination Selected by a Participant Comments Due: Rel. No. 34-54642 Federal Register version (71 FR 77834)
34-54969
Dec. 19, 2006
SR-FICC-2006-15
Order Approving Proposed Rule Change To Modify its Rules To Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions To Improve Liquidity and Minimize Risk for Its Members Comments Due: Rel. No. 34-54682A , Rel. No. 34-54682 Federal Register version (71 FR 77837)
34-54952
Dec. 18, 2006
SR-NASD-2006-039
Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Amend NASD Rules To Modify and Expand NASD's Authority To Initiate Trading and Quotation Halts in OTC Equity Securities Comments Due: View Received Comments Rel. No. 34-53920 Federal Register version (71 FR 78242)
34-54957
Dec. 18, 2006
SR-FICC-2006-07
Order Approving a Proposed Rule Change Relating To Providing Certain Reports to Its Members Comments Due: Rel. No. 34-54619 Federal Register version (71 FR 77839)
34-54944
Dec. 15, 2006
SR-NYSE-2006-69
Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the MSCI India Equities Index Comments Due: View Received Comments Rel. No. 34-54800 Federal Register version (71 FR 77432)
34-54935
Dec. 13, 2006
SR-OCC-2006-10
Order Granting Accelerated Approval of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options Comments Due: Rel. No. 34-54721 , Rel. No. 34-54721 Federal Register version (71 FR 76417)
34-54910
Dec. 11, 2006
SR-NYSE-2006-93
Order Approving Proposed Rule Change To Amend NYSE Rule 607 Concerning the Use of the Random Selection Method To Appoint Arbitrators in Matters Not Involving Customers Comments Due: View Received Comments Rel. No. 34-54694 Federal Register version (71 FR 75599)
34-54810A
Dec. 8, 2006
SR-NYSE-2005-90
Order Granting Accelerated Approval to Amendment No. 2 Thereto To Allow Certain Institutional Customers To Elect Not To Receive Account Statements Comments Due: View Received Comments Rel. No. 34-54810 , Rel. No. 34-53826 Federal Register version (71 FR 75798)
34-54904
Dec. 8, 2006
SR-NYSE-2005-09
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Rule 409 Regarding Statements of Accounts to Customers and Proposed New Rule 409A Regarding SIPC Disclosure Comments Due: Rel. No. 34-54491 Federal Register version (71 FR 75600)
34-54899
Dec. 8, 2006
SR-FICC-2006-11
Order Approving a Proposed Rule Change Relating to Establishing New Reporting Processes To Support the Bilateral Comparison of Pool Details Associated With Specified Pool Trade Activity Comments Due: Rel. No. 34-54609 Federal Register version (71 FR 75284)
34-54882
Dec. 6, 2006
SR-Amex-2006-80
Order Approving Proposed Rule Change To Amend Rule 777 Regarding Depository Eligibility Comments Due: Rel. No. 34-54442 Federal Register version (71 FR 74964)
34-54880
Dec. 6, 2006
SR-OCC-2006-12
Order Approving a Proposed Rule Change Relating to an Escrow Program Fee To Be Charged to Escrow Banks Comments Due: Rel. No. 34-54572 , Rel. No. 34-54572 Federal Register version (71 FR 74974)
34-54879
Dec. 6, 2006
SR-FICC-2006-12
Order Approving a Proposed Rule Change Relating to Financial Responsibility, Operational Capability, Insolvency, and Ceasing To Act Comments Due: Rel. No. 34-54570 Federal Register version (71 FR 75283)
34-54869
Dec. 4, 2006
SR-NYSEArca-2006-70
Order Approving a Proposed Rule Change To Extend the Term of Index-Linked Securities Comments Due: Rel. No. 34-54636 Federal Register version (71 FR 74974)
34-54844
Nov. 30, 2006
SR-Amex-2006-88
Order Approving Proposed Rule Change To Extend the Term of Index-Linked Securities Comments Due: Rel. No. 34-54629 Federal Register version (71 FR 71000)
34-54839
Nov. 29, 2006
SR-Amex-2006-82
Order Granting Accelerated Approval to Amendment No. 2 Thereto Relating to MACRO Tradeable Shares Comments Due: Rel. No. 34-54658 Federal Register version (71 FR 70804)
34-54827
Nov. 29, 2006
SR-CBOE-2006-81
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Minor Rule Violations in Connection With Trade Reporting Comments Due: Rel. No. 34-54631 Federal Register version (71 FR 70810)
34-54821
Nov. 28, 2006
SR-FICC-2006-13
Order Granting Approval of a Proposed Rule Change Relating to the Federal Reserve's National Settlement System Comments Due: Rel. No. 34-54622 Federal Register version (71 FR 70816)
34-54820
Nov. 27, 2006
SR-NYSE-2006-65
Order Granting Accelerated Approval of Amendment No. 5 Thereto Relating to Exchange Rules Governing Certain Definitions, Systemic Processing of Certain Orders, and the Implementation Schedule of the NYSE Hybrid Market Comments Due: View Received Comments Rel. No. 34-54520 Federal Register version (71 FR 70824)
34-54816
Nov. 27, 2006
SR-NSCC-2006-09
Order Approving Proposed Rule Change To Allow Cash, Next Day, and Seller's Option Equity Trades To Be Processed in the Continuous Net Settlement System and To Modify the Clearing Fund Formula To Mitigate the Risk Associated With the Shorter Settlement Cycle of Cash and Next Day Settling Trades Comments Due: Rel. No. 34-54482 Federal Register version (71 FR 69604)
34-54811
Nov. 22, 2006
SR-NASD-2006-066
Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Allow Certain Institutional Customers To Elect Not To Receive Account Statements Comments Due: View Received Comments Rel. No. 34-54566 Federal Register version (71 FR 69161)
34-54810
Nov. 22, 2006
SR-NYSE-2005-90
Order Granting Accelerated Approval to Amendment No. 2 Thereto To Allow Certain Institutional Customers To Elect Not To Receive Account Statements Comments Due: View Received Comments Rel. No. 34-54810A , Rel. No. 34-53826 Federal Register version (71 FR 69165)
34-54798
Nov. 21, 2006
SR-NASD-2006-104
Order Granting Accelerated Approval to Amendment No. 2 Thereto To Reflect Nasdaq's Complete Separation From the NASD Upon the NASDAQ Stock Market LLC's Operation as a National Securities Exchange for Non-Nasdaq Exchange-Listed Securities Comments Due: Rel. No. 34-54451 Federal Register version (71 FR 69156)
34-54767
Nov. 16, 2006
SR-NYSE-2004-69
Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Establish Rules for the Trading of Unregistered Corporate Debt Securities Comments Due: View Received Comments Rel. No. 34-51999 Federal Register version (71 FR 67680)
34-54755
Nov. 15, 2006
SR-NASD-2006-007
Order Approving Proposed Rule Change Relating to Option Position and Exercise Limits and Position Reporting Obligations; and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto Comments Due: View Received Comments Rel. No. 34-53189 Federal Register version (71 FR 67675)
34-54715A
Nov. 14, 2006
SR-NASD-2006-108
Order Granting Accelerated Approval of Amendment No. 1 to a Proposed Rule Change Relating to an NASD Trade Reporting Facility Established in Conjunction With the National Stock Exchange, Inc.; Corrrection Comments Due: View Received Comments Rel. No. 34-54715 , Rel. No. 34-54479 Federal Register version (71 FR 67183)
34-54751
Nov. 14, 2006
SR-ISE-2006-56
Order Approving Proposed Rule Change and Amendment No. 1 Relating to Customer Fees for Certain Complex Orders Comments Due: Rel. No. 34-54571 Federal Register version (71 FR 67667)
34-54734
Nov. 9, 2006
SR-SCCP-2006-02
Order Granting Approval of a Proposed Rule Change Relating to the Definition of a Margin Member Comments Due: Rel. No. 34-54488 Federal Register version (71 FR 67005)
34-54739
Nov. 9, 2006
SR-Amex-2006-78
Order Granting Accelerated Approval to Amendment No. 2 Thereto Relating to Generic Listing Standards for Series of Portfolio Depositary Receipts and Index Fund Shares Based on International or Global Indexes Comments Due: View Received Comments Rel. No. 34-54595 Federal Register version (71 FR 66993)
34-54733
Nov. 9, 2006
SR-BSE-2006-36
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Market Opening Pilot Program for the Boston Options Exchange Facility Rel. No. 34-54507 Federal Register version (71 FR 66807)
34-54740
Nov. 9, 2006
SR-NASD-2006-073
Order Granting Accelerated Approval To Amendment No. 2 To Amend NASD Interpretive Material 2210-4 To Require Certain Member Firms to Provide a Hyperlink to the NASD's Internet Home Page Comments Due: View Received Comments Rel. No. 34-54058 Federal Register version (71 FR 67184)
34-54715
Nov. 6, 2006
SR-NASD-2006-108
Order Granting Accelerated Approval of Amendment No. 1 to a Proposed Rule Change Relating to an NASD Trade Reporting Facility Established in Conjunction With the National Stock Exchange, Inc. Comments Due: View Received Comments Rel. No. 34-54715A , Rel. No. 34-54479 Federal Register version (71 FR 66354)
34-54709
Nov. 3, 2006
SR-Amex-2006-72
Order Granting Accelerated Approval to Amendment No. 3, To Adopt New Rules To Implement on a Pilot Basis an Initial Version of AEMI, Its Proposed New Hybrid Market Trading Platform For Equity Products and Exchange Traded Funds Comments Due: View Received Comments Rel. No. 34-54413 Federal Register version (71 FR 65847)
34-54704
Nov. 3, 2006
SR-ISE-2006-44
Order Approving a Proposed Rule Change To Amend the Schedule of Fees To Expand the Broker Marketing Alliance To Include Non-Broker-Dealers With Regard to the Enhanced Sentiment Market Data Offering Comments Due: Rel. No. 34-54508 Federal Register version (71 FR 65859)
34-54701
Nov. 3, 2006
SR-DTC-2006-11
Order Approving Proposed Rule Change To Allow the Inventory Management System To Accept Real-Time and Late Affirmed Trades From Omgeo Comments Due: Rel. No. 34-54521 Federal Register version (71 FR 65854)
34-54672
Oct. 30, 2006
SR-NYSEArca-2006-47
Order Granting Accelerated Approval to Amendment No. 2 to Modify the Voluntary Withdrawal Procedures of Securities From Listing on the Exchange and, for Dually-Listed Issuers Voluntarily Withdrawing Listed Securities on the Exchange, To Eliminate the Requirement To Submit Resolutions by Their Board of Directors Comments Due: Rel. No. 34-54348 Federal Register version (71 FR 65021)
34-54654
Oct. 26, 2006
SR-NASD-2006-060
Order Approving Proposed Rule Change To Require Members To File Regulatory Notices With NASD Electronically Comments Due: View Received Comments Rel. No. 34-54319A , Rel. No. 34-54319 Federal Register version (71 FR 64326)
34-54655
Oct. 26, 2006
SR-NYSEArca-2006-48
Order Approving Proposed Rule Change To Amend NYSE Arca Equities, Inc.'s Clearly Erroneous Executions Rule To Include an Appeal Fee for the NYSE Arca Marketplace (f/k/a the Archipelago Exchange) Comments Due: Rel. No. 34-54466 Federal Register version (71 FR 64596)
34-54648
Oct. 24, 2006
SR-Phlx-2006-52
Order Granting Approval to Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Quoting Obligations Comments Due: View Received Comments Rel. No. 34-54429 Federal Register version (71 FR 63375)
34-54644
Oct. 23, 2006
SR-ISE-2004-17
Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Relating to Market Maker Orders Comments Due: Rel. No. 34-54415 Federal Register version (71 FR 63374)
34-54437A
Oct. 18, 2006
SR-CHX-2005-06
Order Granting Accelerated Approval to Amendment No. 2 to a Proposed Rule Change Relating to Disciplinary and Delisting Procedures; Correction Comments Due: 34-54437 , Rel. No. 34-54021 Federal Register version (71 FR 62496)
34-54612
Oct. 17, 2006
SR-MSRB-2006-07
Order Approving Proposed Rule Change to MSRB Rule G-14 RTRS Procedures Relating to "List Offering Price" and "Takedown" Transactions Comments Due: Rel. No. 34-54416 Federal Register version (71 FR 62141)
34-54608
Oct. 16, 2006
SR-Amex-2005-060
Order Granting Accelerated Approval to Amendment Nos. 4 and 5 Thereto Relating to Amendments to the Obvious Error Rules Comments Due: View Received Comments Rel. No. 34-52718 Federal Register version (71 FR 62021)
34-54607
Oct. 16, 2006
SR-NASD-2005-094
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Classification of Arbitrators Pursuant To Rule 10308 of the NASD Code of Arbitration Procedure Comments Due: View Received Comments Rel. No. 34-52332 Federal Register version (71 FR 62026)
34-54597
Oct. 12, 2006
SR-NYSEArca-2006-21
Order Approving Proposed Rule Change Relating to NYSE Arca Data Comments Due: View Received Comments Rel. No. 34-59039 Federal Register version (71 FR 62029)
34-54585
Oct. 10, 2006
SR-NASD-2005-101
Order Granting Accelerated Approval to Amendment No. 1 Thereto Relating to Expansion of OATS Reporting Requirements to OTC Equity Securities Comments Due: View Received Comments Rel. No. 34-52581 Federal Register version (71 FR 61112)
34-54411A
Oct. 6, 2006
SR-NASD-2004-171
Order Approving Proposed Rule Change Relating to Rule 2340 Concerning Customer Account Statements Comments Due: View Received Comments Rel. No. 34-54411 , Rel. No. 34-51181 Federal Register version (71 FR 61115)
34-54583
Oct. 6, 2006
SR-NASDAQ-2006-021
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto to Modify Certain of Nasdaq's Corporate Governance Standards, Including the Definition of Independent Director Comments Due: Rel. No. 34-54333 Federal Register version (71 FR 60782)
34-54580
Oct. 6, 2006
SR-ISE-2006-40
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Establishment of the Second Market Comments Due: Rel. No. 34-54340 Federal Register version (71 FR 60781)
34-54577
Oct. 5, 2006
SR-NYSE-2006-36
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Provide Floor Brokers With the Ability To Enter Discretionary Instructions and/or Pegging Instructions With Respect to Floor Broker Agency Interest Files (e-Quotes) Comments Due: View Received Comments Rel. No. 34-54150 Federal Register version (71 FR 60208)
34-54556
Oct. 2, 2006
SR-BSE-2005-09
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Its Minor Rule Violation Plan Rel. No. 34-54374 Federal Register version (71 FR 59562)
34-54552
Sept. 29, 2006
SR-Amex-2005-104
Order Granting Accelerated Approval to Amendment No. 6, To Establish a New Hybrid Trading System Known as AEMISM Comments Due: Rel. No. 34-54145 Federal Register version (71 FR 59546)
34-54546
Sept. 29, 2006
SR-BSE-2006-30
Order Granting Accelerated Approval to Amendment No. 2 Relating to the Implementation of the Second Phase of the Boston Equities Exchange ("BeX") Trading System Comments Due: View Received Comments Rel. No. 34-54291 Federal Register version (71 FR 59161)
34-54550
Sept. 29, 2006
SR-CHX-2006-05
Order Granting Accelerated Approval to Amendment No. 2 Thereto to Implement a New Trading Model Comments Due: View Received Comments Rel. No. 34-54301 Federal Register version (71 FR 59563)
34-54551
Sept. 29, 2006
4-524
Order Approving NMS Linkage Plan Filed by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., The NASDAQ Stock Market LLC, National Stock Exchange, New York Stock Exchange LLC, NYSE Arca, Inc., and Philadelphia Stock Exchange, Inc. Comments Due: Release No. 34-54239 Federal Register version (71 FR 59148)
34-54537
Sept. 28, 2006
SR-NASD-2006-091
Order Granting Accelerated Approval to Amendment No. 3 Thereto to Align NASD Rules With Regulation NMS Comments Due: Rel. No. 34-54277 , Amendment No. 3 Federal Register version (71 FR 59173)
34-54539
Sept. 28, 2006
SR-NSX-2006-06
Order Approving Proposed Rule Change To Allow the Primary Market Print Protection Rule To Be Applied on an Optional Basis Comments Due: Rel. No. 34-54018 Federal Register version (71 FR 58891)
34-54538
Sept. 28, 2006
SR-Phlx-2006-43
Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to the Exchange's New Equity Trading System, XLE Comments Due: View Received Comments Rel. No. 34-54329 Federal Register version (71 FR 59184)
