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Amex Rulemaking Archives: 2003

We encourage the public to submit comments on the following filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this web site.

Note: Only selected Self-Regulatory Organization rule proposals were posted to the SEC web site prior to 2004. To obtain copies of releases not appearing on the web site, please refer to How to Request Public Documents.

Chronological List

Amex File Number List for 2003

Additional Archives

2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998


Chronological List

Release No. Date Details

SR-Amex-2003-100
34-48872 Dec. 3, 2003

Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to Broker Voting on Stock Option and Equity Compensation Plans


SR-Amex-2003-65
34-48863 Dec. 1, 2003 Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Relating To Enhanced Corporate Governance Requirements Applicable to Listed Companies
See also:   Notice: Rel. No. 34-48706

SR-Amex-2003-28
34-48818 Nov. 21, 2003 Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change Relating to the Elimination of the 10-Second Interval at Which Persons May Enter Auto-Ex Eligible Orders for Exchange-Traded Funds
Comments received are available for this notice.

SR-Amex-2003-65
34-48706 Oct. 27, 2003 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Enhanced Corporate Governance Requirements Applicable to Listed Companies
See also:   Order: Rel. No. 34-48863
Comments received are available for this notice.

SR-Amex-2003-81
34-48652 Oct. 17, 2003

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reporting of "At-the-Close" Orders in Nasdaq Securities
Comments received are available for this notice.


SR-Amex-2003-42
34-48610 Oct. 9, 2003 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to Shareholder Approval of Stock Option Plans and Other Equity Compensation Arrangements
Comments received are available for this notice.

SR-Amex-2003-34
34-48172 Jul. 14, 2003 Order Granting Approval of Proposed Rule Change Relating to Indications, Openings and Re-Openings

SR-Amex-2003-50
34-48053 Jun. 17, 2003 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to a Marketing Fee To Be Imposed on Certain Transactions of Specialists and Registered Options Traders
Comments received are available for this notice.

SR-Amex-2003-35
34-47842 May 13, 2003 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Legal Fees Incurred by the Exchange Arrangements
Comments received are available for this notice.

SR-Amex-2003-18
34-47658 Apr. 10, 2003 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to "At the Close" Orders in Nasdaq Securities
Comments received are available for this notice.


Amex File Number List for 2003

Release No. Date Details

SR-Amex-2003-110
34-49574 Apr. 16, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto lating to Procedures Applicable to Continued Listing Evaluation and Follow-Up

SR-Amex-2003-105
34-49531 Apr. 6, 2004 Order Granting Approval of Proposed Rule Change Relating to the Exceptions to the Exchange's Quote Rule

SR-Amex-2003-100
34-48872 Dec. 3, 2003

Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to Broker Voting on Stock Option and Equity Compensation Plans


SR-Amex-2003-93
34-49017 Jan. 2, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Notes Linked to the Annual Performance of the Standard & Poor’s 500 Stock Index
Comments received are available for this notice.

SR-Amex-2003-90
34-50999 Jan. 7, 2005 Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Amendment of Exchange Rule 153
34-50866 Dec. 16, 2004 Notice of Filing of Proposed Rule Change Relating to Amendment of Exchange Rule 153
Comments due:  January 6, 2005

SR-Amex-2003-89
34-49747 May 20, 2004

Order Approving Proposed Rule Change and Amendments No. 1, 2, 3, 4, 5, and 6 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 7 to the Proposed Rule Change to Implement a New Options Trading Platform Known as the Amex New Trading Environment or ANTE
Comments due:  June 17, 2004

34-49465 Mar. 24, 2004

Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, 3, 4, 5 and 6 Thereto to Implement a New Options Trading Platform Known as the Amex New Trading Environment or ANTE
( Text of proposed rules also available)
Comments due:  April 21, 2004


SR-Amex-2003-82
34-50283 Aug. 27, 2004 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Relating to Auto-Match
Comments due:  September 24, 2004
Comments received are available for this notice.

SR-Amex-2003-81
34-48652 Oct. 17, 2003

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reporting of "At-the-Close" Orders in Nasdaq Securities
Comments received are available for this notice.


SR-Amex-2003-78
34-49438 Mar. 17, 2004 Order Approving a Proposed Rule Change Relating to Resolving Uncompared Options Transactions

SR-Amex-2003-66
34-51567 Apr. 18, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5, 6, and 7 Thereto Relating to the Listing and Trading of Trust Issued Receipts Based on a Single Issuer
Comments due:  May 13, 2005

SR-Amex-2003-65
34-48863 Dec. 1, 2003 Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Relating To Enhanced Corporate Governance Requirements Applicable to Listed Companies
34-48706 Oct. 27, 2003 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Enhanced Corporate Governance Requirements Applicable to Listed Companies
Comments received are available for this notice.

SR-Amex-2003-50
34-48053 Jun. 17, 2003 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to a Marketing Fee To Be Imposed on Certain Transactions of Specialists and Registered Options Traders
Comments received are available for this notice.

SR-Amex-2003-44
34-49441 Mar. 17, 2004 Order Granting Approval to Proposed Rule Change Relating to Percentages Used to Allocate Executed Options Contracts Between the Specialist and Registered Options Traders

SR-Amex-2003-42
34-48610 Oct. 9, 2003 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to Shareholder Approval of Stock Option Plans and Other Equity Compensation Arrangements
Comments received are available for this notice.

SR-Amex-2003-39
34-49941 Jun. 29, 2004 Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 to a Proposed Rule Change to Adopt a Clearly Erroneous Transaction Rule and Half-Point Error Guarantee for Trades in Nasdaq National Market Securities
Comments due:  July 28, 2004

SR-Amex-2003-35
34-47842 May 13, 2003 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Legal Fees Incurred by the Exchange Arrangements
Comments received are available for this notice.

SR-Amex-2003-34
34-48172 Jul. 14, 2003 Order Granting Approval of Proposed Rule Change Relating to Indications, Openings and Re-Openings

SR-Amex-2003-28
34-48818 Nov. 21, 2003 Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change Relating to the Elimination of the 10-Second Interval at Which Persons May Enter Auto-Ex Eligible Orders for Exchange-Traded Funds
Comments received are available for this notice.

SR-Amex-2003-18
34-47658 Apr. 10, 2003 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to "At the Close" Orders in Nasdaq Securities
Comments received are available for this notice.

 

http://www.sec.gov/rules/sro/amex/amexarchive/amexarchive2003.shtml


Modified: 10/16/2014