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SECDocs 5/30/2008 | 0 (0) | 2 | 0 | 0 | English
SECURITIES AND EXCHANGE COMMISSION [Release No. PA-35; File No. S7-04-06] Privacy Act of 1974: Establishment of a New System of Records: Automated Emergency Notification System (SEC-53) AGENCY: Securities and Exchange Commission. ACTION: Notice of the establishment of a new system of records. SUMMARY: In accordance with the requirements of the Priv ... more>>
SECDocs 5/30/2008 | 0 (0) | 3 | 0 | 0 | English
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 53201 / January 31, 2006 INVESTMENT ADVISERS ACT OF 1940 Rel. No. 2477 / January 31, 2006 Admin. Proc. File No. 3-11762
In the Matter of SCHIELD MANAGEMENT COMPANY and MARSHALL L. SCHIELD c/o Edward T. Lyons, Jr., Esq. Jones & Keller, P.C. 1625 Broadway, S ... more>>
SECDocs 5/30/2008 | 0 (0) | 2 | 0 | 0 | English
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934 Release No. 53210 / February 2, 2006 ADMINISTRATIVE PROCEEDING File No. 3-12168 ______________________________ : In the Matter of James G. : Lewis, : : Respondent. : : : ______________________________:
ORDER INSTITUTING ADMINISTRATIVE PROCEEDING ... more>>
SECDocs 5/30/2008 | 0 (0) | 6 | 0 | 0 | English
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No. 8657 / January 31, 2006 SECURITIES EXCHANGE ACT OF 1934 Release No. 53199 / January 31, 2006 ADMINISTRATIVE PROCEEDING File No. 3-10437 In the Matter of Hunter Adams, Jason A. Cohen, Steven M. Cohen, David Hirsch, Jonathan D. Winston, John J. G ... more>>
SECDocs 5/30/2008 | 0 (0) | 2 | 0 | 0 | English
SECURITIES AND EXCHANGE COMMISSION (Release No. 34-53224; File No. SR-NASD-2005-112) February 3, 2006 Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change Relating to Amendments to Rule 3360 to Expand Short Interest Reporting to OTC Equity Securities I. Introduction On September 20, 2 ... more>>
SECDocs 5/30/2008 | 0 (0) | 6 | 0 | 0 | English
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SUPREME COURT OF THE STATE OF NEVADA
NANOPIERCE TECHNOLOGIES, INC., a Nevada Corporation; STEPHEN SEITZ, an individual; JANE SEITZ, an individual; KATHY KNIGHT-MCCONNELL, an individual; JAMES STOCK, an individual; MAUREEN O’SULLIVAN, ... more>>
SECDocs 5/30/2008 | 0 (0) | 2 | 0 | 0 | English
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION
INVESTMENT ADVISERS ACT OF 1940 Release No. 2479 / February 03, 2006 Administrative Proceeding File No. 3-12170 IN THE MATTER OF N2K TRADING ACADEMY, INC. The Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(c)(2)(B) of the Investment Ad ... more>>
SECDocs 5/30/2008 | 0 (0) | 1 | 0 | 0 | English
SECURITIES AND EXCHANGE COMMISSION (Release No. 34-53211; File No. SR-ISE-2006-08) February 2, 2006 Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of Proposed Rule Change Establishing Fees for Historical Options Tick Market Data for NonMembers Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1 ... more>>
SECDocs 5/30/2008 | 0 (0) | 1 | 0 | 0 | English
SECURITIES AND EXCHANGE COMMISSION (Release No. 34-53212; File No. SR-ISE-2006-07) February 2, 2006 Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fees for Historical Options Tick Market Data Pursuant to Section 19(b)(1) of the Securities Exch ... more>>
SECDocs 5/30/2008 | 0 (0) | 5 | 0 | 0 | English
SECURITIES AND EXCHANGE COMMISSION (Release No. 34-53223; File No. SR-ISE-2006-06) February 3, 2006 Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Competitive Market Maker Inactivity Fees Pursuant to Section 19(b)(1) ... more>>
SECDocs 5/30/2008 | 0 (0) | 2 | 0 | 0 | English
UNITED STATES OF AMERICA
Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 53251 / February 8, 2006 INVESTMENT ADVISERS ACT OF 1940 Release No. 2484 / February 8, 2006 INVESTMENT COMPANY ACT OF 1940 Release No. 27223 / February 8, 2006 ADMINISTRATIVE PROCEEDING File No. 3-12177 ORDER INSTITUTING ADMINISTRATI ... more>>
SECDocs 5/30/2008 | 0 (0) | 5 | 0 | 0 | English
SECURITIES AND EXCHANGE COMMISSION (Release No. 34-53205; File No. SR-Amex-2005-124) February 1, 2006 Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, and 3 Thereto Relating to Increases in the Original Listing and Annual Fees Pursuant to Section 19(b)(1) of the Securities ... more>>
SECDocs 5/30/2008 | 0 (0) | 2 | 0 | 0 | English
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No. 2482 / February 7, 2006 ADMINISTRATIVE PROCEEDING File No. 3-12175
In the Matter of JON M. KNIGHT, Respondent.
ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 203(f) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FIN ... more>>
SECDocs 5/30/2008 | 0 (0) | 4 | 0 | 0 | English
SECURITIES AND EXCHANGE COMMISSION Release No. 35-28082; 70-10294 Exelon Corporation, et al. Order Denying Request for Hearing by City of Philadelphia and Philadelphia Gas Works February 7, 2006 On March 15, 2005, Exelon Corporation, a registered holding company under the Public Utility Holding Company Act of 1935 (“Act”), and Public Service Enterp ... more>>
SECDocs 5/30/2008 | 0 (0) | 3 | 0 | 0 | English
SECURITIES AND EXCHANGE COMMISSION (Release No. 34-53244; File No. SR-Amex-2006-003) February 7, 2006 Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to Adjust the Close of Normal Trading Hours in Equity Options and NarrowBased ... more>>
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