34-54834
Nov. 29, 2006
SR-Phlx-2006-69
Notice of Filing of Proposed Rule Change Relating to a Direct Registration System Comments Due: Rel. No. 34-55482 Federal Register version (71 FR 71013)
34-54837
Nov. 29, 2006
SR-NYSE-2006-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Inclusion of an Additional Security in the Pilot to Put Into Operation Certain Rule Changes Pending Before the Securities and Exchange Commission to Coincide With the Exchange's Implementation of Phase 3 of the NYSE HYBRID MARKETSM Comments Due: Federal Register version (71 FR 70575)
34-54831
Nov. 29, 2006
SR-CBOE-2006-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Appointment of CBSX DPMs Comments Due: Federal Register version (71 FR 70814)
34-54822
Nov. 28, 2006
SR-NSCC-2006-11
Notice of Filing of Proposed Rule Change To Amend its Rules and Procedures Wth Respect to Clearing Fund Collateral Comments Due: Rel. No. 34-55095 Federal Register version (71 FR 70820)
34-54825
Nov. 28, 2006
SR-NASDAQ-2006-047
Notice of Filing of Proposed Rule Change To Clarify the Process Surrounding a Reverse Merger Comments Due: Rel. No. 34-55052 Federal Register version (71 FR 70818)
34-54823
Nov. 28, 2006
SR-CBOE-2005-111
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Multiple Representation Exception Procedures Comments Due: Rel. No. 34-55263 Federal Register version (71 FR 70810)
34-54818
Nov. 27, 2006
SR-NYSE-2006-57
Notice of Filing of 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. 34-55132 Federal Register version (71 FR 71010)
34-54819
Nov. 27, 2006
SR-FICC-2006-17
Notice of Filing of a Proposed Rule Change Relating to Clearing Fund Deficiency Calls Comments Due: Rel. No. 34-55136 Federal Register version (71 FR 70817)
34-54813
Nov. 22, 2006
SR-Amex-2006-19
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to the Listing and Trading of Options on the Nuveen Municipal Fund Index Comments Due: Rel. No. 34-55182 Federal Register version (71 FR 70801)
34-54799
Nov. 21, 2006
SR-NASD-2003-141
Notice of Filing of Amendment Nos. 3, 4, and 5 to a Proposed Rule Change Relating to Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities Comments Due: View Received Comments Rel. No. 34-55638 , Rel. No. 34-51338 Federal Register version (71 FR 68856)
34-54808
Nov. 21, 2006
SR-NSX-2006-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Rule Regarding Third-Party Routing Services in Respect of Orders Entered Into NSX BLADE Comments Due: Federal Register version (71 FR 69163)
34-54802
Nov. 21, 2006
SR-Phlx-2006-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New Hours of Business on the Exchange's Foreign Currency Options Floor Comments Due: Federal Register version (71 FR 68875)
34-54807
Nov. 21, 2006
SR-Phlx-2006-53
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Assignments in Options Based on Root Symbol Comments Due: View Received Comments Rel. No. 34-55027 Federal Register version (71 FR 69173)
34-54800
Nov. 21, 2006
SR-NYSE-2006-69
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto To List and Trade Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the MSCI India Equities Index Comments Due: View Received Comments Rel. No. 34-54944 Federal Register version (71 FR 68864)
34-54801
Nov. 21, 2006
SR-NYSE-2006-80
Notice of Filing of 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. 34-55067 Federal Register version (71 FR 68870)
34-54809
Nov. 21, 2006
SR-ISE-2006-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes Comments Due: Federal Register version (71 FR 69154)
34-54803
Nov. 21, 2006
SR-CBOE-2006-97
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend CBOE Rule 8.3 Relating to the Appointment Costs of Certain Classes Comments Due: Federal Register version (71 FR 68852)
34-54804
Nov. 21, 2006
SR-CBOE-2006-98
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Adoption of a Hybrid Electronic Quoting Fee Comments Due: View Received Comments Federal Register version (71 FR 69150)
34-54805
Nov. 21, 2006
SR-CBOE-2006-92
Notice of Filing of Proposed Rule Change Relating to the Penny Pilot Program Comments Due: View Received Comments Rel. No. 34-55154 Federal Register version (71 FR 69151)
34-54790
Nov. 20, 2006
SR-Amex-2006-01
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendments No. 1, 2, and 3 Thereto Relating to the Listing and Trading of Principal Protected Notes Linked to the Dow Jones-AIG ExEnergy Sub-Index Comments Due: Federal Register version (71 FR 68645)
34-54789
Nov. 20, 2006
SR-BSE-2006-49
Notice of Filing of Proposed Rule Change To Implement a Pilot Program To Trade Certain Options in Pennies Comments Due: Rel. No. 34-55155 Federal Register version (71 FR 68654)
34-54795
Nov. 20, 2006
SR-BSE-2006-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Existing BSE Fee Schedules Comments Due: Federal Register version (71 FR 68850)
34-54791
Nov. 20, 2006
SR-CHX-2006-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits Comments Due: Federal Register version (71 FR 68660)
34-54788
Nov. 20, 2006
SR-Phlx-2006-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Intermarket Sweep Orders in Nasdaq Securities Comments Due: Federal Register version (71 FR 68877)
34-54784
Nov. 20, 2006
SR-OCC-2006-17
Notice of Filing of a Proposed Rule Change Relating to the Definition of Fund Share and Options on Commodity Pool ETFs Comments Due: Rel. No. 34-55152 , Rel. No. 34-55152 Federal Register version (71 FR 68871)
34-54785
Nov. 20, 2006
SR-OCC-2006-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cash-Settled Interest Rate Futures Comments Due: Federal Register version (71 FR 68874)
34-54786
Nov. 20, 2006
SR-OCC-2006-16
Notice of Filing of a Proposed Rule Change Relating to the Definition of Fund Share Comments Due: Rel. No. 34-55151 , Rel. No. 34-55151 Federal Register version (71 FR 68872)
34-54793
Nov. 20, 2006
SR-OCC-2006-20
Notice of Filing of 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. 34-55124 , Rel. No. 34-55124 Federal Register version (71 FR 69172)
34-54796
Nov. 20, 2006
SR-NYSEArca-2006-85
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to a Six-Month Pilot Program To Adopt New Initial and Continued Listing Standards Comments Due: Federal Register version (71 FR 69166)
34-54797
Nov. 20, 2006
SR-NASDAQ-2006-041
Notice of Filing of Proposed Rule Change to Modify an Aspect of the Definition of Independent Director Comments Due: Rel. No. 34-55463 Federal Register version (71 FR 68855)
34-54787
Nov. 20, 2006
SR-FICC-2006-14
Notice of Filing of a Proposed Rule Change Relating To Returning Excess Clearing Fund Collateral Comments Due: Rel. No. 34-55134 Federal Register version (71 FR 68664)
34-54794
Nov. 20, 2006
SR-FICC-2006-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Administrative Provisions of the Rules of the Government Securities Division and the Mortgage-Backed Securities Division Comments Due: Federal Register version (71 FR 69153)
34-54792
Nov. 20, 2006
SR-CBOE-2006-96
Notice of Filing of Proposed Rule Change Regarding Allocation of Stocks to CBSX DPMs Comments Due: Rel. No. 34-55025 Federal Register version (71 FR 68659)
34-54777
Nov. 17, 2006
SR-Amex-2006-89
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Establish Fees for the Receipt and Use of Proprietary Market Data Disseminated by the Exchange Comments Due: View Received Comments Federal Register version (71 FR 68652)
34-54779
Nov. 17, 2006
SR-BSE-2006-48
Notice of Filing of Proposed Rule Change To Implement a Quote Mitigation Plan Comments Due: View Received Comments Rel. No. 34-55073 Federal Register version (71 FR 68655)
34-54773
Nov. 17, 2006
SR-NASD-2006-120
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Extend the Hours of Operation of the NASD/Nasdaq TRF, the OTC Reporting Facility and the Trade Reporting of Non-Nasdaq Exchange-Listed Securities Under the NASD Rule 6400 Series Comments Due: Federal Register version (71 FR 68665)
34-54778
Nov. 17, 2006
SR-NASD-2006-127
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New NASD Rule 7000C Series Relating to Fees and Credits for the Trade Reporting Facility Established by NASD and the National Stock Exchange (NASD/NSX TRF) Comments Due: Federal Register version (71 FR 68667)
34-54682A
Nov. 17, 2006
SR-FICC-2006-15
Notice of Filing of 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; Correction and Extension of Comment Period Comments Due: Rel. No. 34-54969 , Rel. No. 34-54682 Federal Register version (71 FR 67667)
34-54775
Nov. 17, 2006
SR-DTC-2006-14
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Amend Its Certificate of Organization To Provide for the Issuance of an Additional 500,000 Shares of DTC Series A Preferred Stock Comments Due: Federal Register version (71 FR 68662)
34-54780
Nov. 17, 2006
SR-CBOE-2006-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Relating to CBOE's Retail Automatic Execution System Comments Due: Federal Register version (71 FR 68853)
34-54770
Nov. 16, 2006
SR-Amex-2006-76
Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to the Listing and Trading of the DB Multi-Sector Commodity Trust Comments Due: Rel. No. 34-55029 Federal Register version (71 FR 67935)
34-54768
Nov. 16, 2006
SR-NASD-2006-110
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to Establish a Two-Year Pilot Program Exempting from TRACE Reporting Transactions in Bonds Traded on a Facility of NYSE Comments Due: View Received Comments Federal Register version (71 FR 67673)
34-54765
Nov. 16, 2006
SR-NASDAQ-2006-009
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendments No. 1 and 2 Thereto To Permit Trading Pursuant to Unlisted Trading Privileges of streetTRACKS Gold Shares and To Establish Trading Rules to Trade, Pursuant to Unlisted Trading Privileges, Certain Securities Whose Value Is Linked to the Value of One or More Commodities Comments Due: Federal Register version (71 FR 67668)
34-54769
Nov. 16, 2006
SR-FICC-2006-10
Notice of Filing of Proposed Rule Change To Amend the Rules of Its Mortgage-Backed Securities Division Regarding Membership Requirements for Unregistered Investment Pools Comments Due: Rel. No. 34-55037 Federal Register version (71 FR 67946)
34-54761
Nov. 16, 2006
SR-CBOE-2006-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of Quarterly Index Expiration or QIX Comments Due: Federal Register version (71 FR 67665)
34-54762
Nov. 16, 2006
SR-CBOE-2006-93
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Regarding Quarterly Options Series Comments Due: Federal Register version (71 FR 67663)
34-54771
Nov. 16, 2006
SR-CBOE-2006-88
Notice of Filing of 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. 34-55062 Federal Register version (71 FR 68657)
34-54756
Nov. 15, 2006
SR-SCCP-2006-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Trade Recording and Value Fees and NMS Linkage Comments Due: Federal Register version (71 FR 67689)
34-54760
Nov. 15, 2006
SR-Phlx-2006-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 185A, Intermarket Sweep Orders-Temporary Comments Due: Federal Register version (71 FR 67687)
34-54758
Nov. 15, 2006
SR-NYSEArca-2006-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Related to Complex Order Trading Comments Due: Federal Register version (71 FR 67685)
34-54759
Nov. 15, 2006
SR-NYSEArca-2006-80
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Procedures for Executing Complex Options Orders in Open Outcry Comments Due: Federal Register version (71 FR 67684)
34-54747
Nov. 14, 2006
SR-BSE-2006-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Fees and Charges Comments Due: Federal Register version (71 FR 67408)
34-54753
Nov. 14, 2006
SR-NSX-2006-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto To Implement a Fee Schedule Under NSX Rule 16.1(a) and 16.1(c) for Transactions Executed Through NSTS and To Modify a Fee Schedule for ITS Transactions Comments Due: Federal Register version (71 FR 67678)
34-54746
Nov. 14, 2006
SR-Phlx-2006-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Clarifying Its Payment for Order Flow Program as It Relates to Order Flow Providers Comments Due: Federal Register version (71 FR 67188)
34-54749
Nov. 14, 2006
SR-Phlx-2006-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of Core Session for XLE Comments Due: Federal Register version (71 FR 67418)
34-54748
Nov. 14, 2006
SR-OCC-2006-01
Notice of Amended Filing of Proposed Rule Change To Revise Option Adjustment Methodology Comments Due: View Received Comments Rel. No. 34-55258 , Rel. No. 34-53400 , Rel. No. 34-55258 , Rel. No. 34-53400 Federal Register version (71 FR 67415)
34-54750
Nov. 14, 2006
SR-NYSEArca-2006-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges Comments Due: Federal Register version (71 FR 67414)
34-54752
Nov. 14, 2006
SR-NASDAQ-2006-040
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, To Modify Certain Fees for Listing on the Nasdaq Stock Market and To Make Available Products and Services Intended To Assist Companies With Their Disclosure and Regulatory Obligations, Shareholder Communications, and Other Corporate Objectives Comments Due: View Received Comments Rel. No. 34-55202 Federal Register version (71 FR 67410)
34-54742
Nov. 13, 2006
SR-NASD-2006-122
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASD Members Using ITS/CAES, Brut, and Inet Comments Due: Federal Register version (71 FR 67179)
34-54743
Nov. 13, 2006
SR-NYSE-2006-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 116 ("Stop" Constitutes Guarantee) Comments Due: Federal Register version (71 FR 67187)
34-54741
Nov. 9, 2006
SR-Amex-2006-106
Notice of Filing of Proposed Rule Change Relating to the Adoption of a Penny Quoting Pilot Program Comments Due: View Received Comments Rel. No. 34-55162 Federal Register version (71 FR 67176)
34-54730
Nov. 9, 2006
SR-NYSEArca-2006-04
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendments No. 1, 2 and 3 Thereto Relating to the Criteria for Securities that Underlie Options Traded on the Exchange Comments Due: Federal Register version (71 FR 66999)
34-54731
Nov. 9, 2006
SR-NYSE-2006-54
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 To List and Trade Two Series of Commodity-Linked Securities of Wachovia Corporation Comments Due: Federal Register version (71 FR 66814)
34-54737
Nov. 9, 2006
SR-NSCC-2006-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clarifying and Technical Changes to NSCC's Rules Regarding ACATS Fund/SERV Comments Due: Federal Register version (71 FR 67185)
34-54732
Nov. 9, 2006
SR-NASDAQ-2006-044
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Modify the Rules of the Nasdaq Global Select Market Comments Due: Federal Register version (71 FR 66998)
34-54738
Nov. 9, 2006
SR-CBOE-2006-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated To Increase the Class Quoting Limit in the Option Class Research in Motion Comments Due: Federal Register version (71 FR 67178)
34-54728
Nov. 8, 2006
SR-NASD-2006-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an Automated Process for Opening Quotations of ITS/CAES Market Makers Comments Due: Federal Register version (71 FR 66813)
34-54721
Nov. 8, 2006
SR-OCC-2006-10
Notice of Filing of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options Comments Due: Rel. No. 34-54935 , Rel. No. 34-54935 Federal Register version (71 FR 67004)
34-54727
Nov. 8, 2006
SR-NYSE-2006-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Fee on Orders in Equities and Exchange Traded Funds Routed From the Exchange and Executed in Another Market Pursuant to the Linkage Plan Comments Due: Federal Register version (71 FR 66820)
34-54726
Nov. 8, 2006
SR-CBOE-2006-89
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Exchange's Open Outcry Crossing Rule Comments Due: Federal Register version (71 FR 66810)
34-54729
Nov. 8, 2006
SR-CBOE-2006-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Orders Comments Due: Federal Register version (71 FR 66808)
34-54713
Nov. 6, 2006
SR-NYSE-2006-98
Notice of Filing of a Proposed Rule Change 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. 34-54998 Federal Register version (71 FR 66359)
34-54702
Nov. 3, 2006
SR-NASD-2006-121
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rule 11890(b)(2) To Allow NASD To Designate Officers To Take Action Under the Rule With Respect to Clearly Erroneous Transactions Comments Due: Federal Register version (71 FR 65860)
34-54705
Nov. 3, 2006
SR-NASD-2005-146
Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Expand the Scope of IM-2110-2 Relating To Trading Ahead of Customer Limit Orders To Apply to All OTC Equity Securities Comments Due: View Received Comments Rel. No. 34-55351 Federal Register version (71 FR 65863)
34-54706
Nov. 3, 2006
SR-NASDAQ-2006-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exempt Certain Cross Transactions From NASDAQ Rule 3350(a) Comments Due: Federal Register version (71 FR 66571)
34-54691
Nov. 2, 2006
SR-Amex-2006-103
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Eliminating the Post-Trade Allocation Feature in ANTE Comments Due: Federal Register version (71 FR 65844)
34-54696
Nov. 2, 2006
SR-Amex-2006-93
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Equities and Exchange Traded Fund Shares ("ETFs") Fee Schedule Comments Due: Federal Register version (71 FR 65846)
34-54698
Nov. 2, 2006
SR-Amex-2006-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Certain Licensing Fees Comments Due: Federal Register version (71 FR 65845)
34-54695
Nov. 2, 2006
SR-NASD-2006-116
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASD Members Using ITS/CAES, Brut and Inet Comments Due: Federal Register version (71 FR 65862)
34-54692
Nov. 2, 2006
SR-NSX-2006-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a Fee Schedule Under Rule 16.1(a) and 16.1(c) for Transactions Executed Through the Intermarket Trading System Plan and/or the Plan for the Purpose of Creating and Operating an Intermarket Communications Linkage Comments Due: Federal Register version (71 FR 65867)
34-54688
Nov. 2, 2006
SR-Phlx-2006-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PACE Equity Transaction Charge and NMS Linkage Comments Due: Federal Register version (71 FR 65870)
34-54690
Nov. 2, 2006
SR-NYSEArca-2006-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extending the Time Period by Which the Exchange Will Amend the NASD-NYSE Arca Options Agreement Pursuant to Rule 17d-2 Comments Due: Federal Register version (71 FR 66211)
34-54694
Nov. 2, 2006
SR-NYSE-2006-93
Notice of Filing of Proposed Rule Change Relating to Amendments to 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. 34-54910 Federal Register version (71 FR 65869)
34-54697
Nov. 2, 2006
SR-ISE-2006-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Fee Changes Comments Due: Federal Register version (71 FR 65857)
34-54693
Nov. 2, 2006
SR-CBOE-2006-74
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding the Initial and Continued Listing and Trading of Options on Units That Represent Interests in a Trust That Holds a Specified Non-U.S. Currency Comments Due: Federal Register version (71 FR 65851)
34-54681
Nov. 1, 2006
SR-NASD-2006-103
Notice of Filing of a Proposed Rule Change Relating to TRACE Requirements in Connection With the Exercise or Settlement of Options, Swaps, or Similar Instruments Comments Due: View Received Comments Federal Register version (71 FR 65555)
34-54686
Nov. 1, 2006
SR-NYSEArca-2006-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Revision of Certain Equity Transaction Fees Comments Due: Federal Register version (71 FR 65561)
34-54685
Nov. 1, 2006
SR-NYSE-2006-95
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include an Additional 32 Securities in the Current Exchange Pilot Operating in Conjunction With the Implementation of Hybrid Market Phase 3 Comments Due: Federal Register version (71 FR 65559)
34-54682
Nov. 1, 2006
SR-FICC-2006-15
Notice of Filing of 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. 34-54969 , Rel. No. 34-54682A Federal Register version (71 FR 65855)
34-54680
Nov. 1, 2006
SR-CBOE-2006-86
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Duration of CBOE Rule 6.45A(b) Pertaining to Orders Represented in Open Outcry Comments Due: Federal Register version (71 FR 65554)
34-54675
Oct. 31, 2006
SR-NYSE-2006-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Request to Extend the Pilot Operating During the Exchange's Implementation of NYSE Hybrid Market Phase 3 Until November 30, 2006 Comments Due: View Received Comments Federal Register version (71 FR 65019)
34-54673
Oct. 30, 2006
SR-NYSEArca-2006-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Market Maker Transaction Fees and Credits Comments Due: Federal Register version (71 FR 65023)
34-54671
Oct. 30, 2006
SR-MSRB-2006-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment to Rule A-6, on Committees of the Board Comments Due: Federal Register version (71 FR 64750)
34-54659
Oct. 27, 2006
SR-Phlx-2006-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Cap Registered Options Trader and Specialist Equity Option Comparison and Transaction Charges When Certain Requirements Are Met Comments Due: Federal Register version (71 FR 64603)
34-54664
Oct. 27, 2006
SR-NYSEArca-2006-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Revision of Certain Equity Transaction and Market Data Revenue Sharing Credits Comments Due: Federal Register version (71 FR 65024)
34-54658
Oct. 26, 2006
SR-Amex-2006-82
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to MACRO Tradeable Shares Comments Due: Exhibit 5 , Rel. No. 34-54839 Federal Register version (71 FR 64573)
34-54657
Oct. 26, 2006
SR-CHX-2006-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits Comments Due: Federal Register version (71 FR 64590)
34-54653
Oct. 26, 2006
SR-NYSE-2006-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 122 (Orders With More Than One Broker) Until the Availability of Full d-Quote Functionality in a Particular Security or February 5, 2007, Whichever Comes First Comments Due: Federal Register version (71 FR 64594)
34-54650
Oct. 25, 2006
SR-NASD-2004-130
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Amendments to Rule 2320(g) (Three Quote Rule) and Corresponding Recordkeeping Requirements Under Rule 3110(b) Comments Due: View Received Comments Rel. No. 34-56004 Federal Register version (71 FR 63812)
34-54651
Oct. 25, 2006
SR-NASD-2006-119
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance the Flexibility of Nasdaq's INET Facility Order Routing Process for Reactive Only DOT Orders That Currently Are Ultimately Directed to the New York Stock Exchange or the American Stock Exchange Comments Due: Federal Register version (71 FR 63814)
