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NSX Rulemaking Archive: 2004
We encourage the public to submit comments on the following National Stock Exchange (NSX; formerly Cincinnati Stock Exchange) 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 website.
Chronological List
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
NSX File Number List for 2004
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NSX-2004-07 |
| 34-50898 |
Dec. 21, 2004 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Non-Member Give-Ups
See also: Order: Rel. No. 34-51456
|
SR-NSX-2004-12 |
| 34-50796 |
Dec. 6, 2004 |
Notice of Filing of Proposed Rule Change to Eliminate the “CBOE Exerciser Member” Membership Class, to Eliminate the Exchange’s Special Nominating Committee, and to Remove Certain Special Limitations on Changes to Certain By-Laws and Rules
See also: Order: Rel. No. 34-51033
|
SR-NSX-2004-06 |
| 34-50708 |
Nov. 19, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its By-Laws and Rules to Change the Designation of its Board
Comments due: December 20, 2004
|
| Third Quarter |
SR-NSX-2004-02 |
| 34-50475 |
Sep. 30, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Anti-Money Laundering Compliance Programs
See also: Notice: Rel. No. 34-50198
|
SR-NSX-2004-02 |
| 34-50198 |
Aug. 13, 2004 |
Notice of Proposed Rule Change and Amendment No. 1 to Adopt an Anti-Money Laundering Compliance Program Rule
See also: Order: Rel. No. 34-50475
|
SR-NSX-2004-09 |
| 34-50190 |
Aug. 12, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Amend NSX’s SOR and Tape B Market Data Revenue Sharing Programs
Comments due: September 9, 2004
|
SR-NSX-2004-11 |
| 34-50145 |
Aug. 4, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Workstation Fee
Comments due: September 2, 2004
|
SR-NSX-2004-08 |
| 34-50146 |
Aug. 4, 2004 |
Notice of Filing of Proposed Rule Change Relating to Manual Processing Fee
Comments due: September 2, 2004
 Click to submit comments on SR-NSX-2004-08
|
SR-NSX-2004-10 |
| 34-49998 |
Jul. 9, 2004 |
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Corporate Governance
Comments due: August 6, 2004
|
| Second Quarter |
SR-NSX-2004-04 |
| 34-49913 |
Jun. 24, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend an Existing Pilot Rule that Stipulates the Price Increment by which Designated Dealers Must Better Customer Orders
Comments Due: July 23, 2004
|
SR-NSX-2004-05 |
| 34-49792 |
Jun. 2, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Liquidity Provider Fee and Rebate Pilot Program
Comments due: June 30, 2004
|
SR-NSX-2004-03 |
| 34-49586 |
Apr. 21, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Fee Schedule to Cap Members Monthly Transaction Fees and Reduce the Designated Dealer's Principal Activity Fees
Comments due: May 19, 2004
|
| First Quarter |
| No proposals were posted to website. |
| NSX File Number List for 2004 |
| Release No. |
Date |
Details |
SR-NSX-2004-12 |
| 34-51033 |
Jan. 13, 2005 |
Order Granting Approval to a Proposed Rule Change to Eliminate the “CBOE Exerciser Member” Membership Class, to Eliminate the Exchange’s Special Nominating Committee, and to Remove Certain Special Restrictions on Changes to Certain NSX By-Laws and Rules
|
| 34-50796 |
Dec. 6, 2004 |
Notice of Filing of Proposed Rule Change to Eliminate the “CBOE Exerciser Member” Membership Class, to Eliminate the Exchange’s Special Nominating Committee, and to Remove Certain Special Limitations on Changes to Certain By-Laws and Rules
|
SR-NSX-2004-11 |
| 34-50145 |
Aug. 4, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Workstation Fee
Comments due: September 2, 2004
|
SR-NSX-2004-10 |
| 34-49998 |
Jul. 9, 2004 |
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Corporate Governance
Comments due: August 6, 2004
|
SR-NSX-2004-09 |
| 34-50190 |
Aug. 12, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Amend NSX’s SOR and Tape B Market Data Revenue Sharing Programs
Comments due: September 9, 2004
|
SR-NSX-2004-08 |
| 34-50146 |
Aug. 4, 2004 |
Notice of Filing of Proposed Rule Change Relating to Manual Processing Fee
Comments due: September 2, 2004
Click to submit comments on SR-NSX-2004-08
|
SR-NSX-2004-07 |
| 34-51456 |
Mar. 31, 2005 |
Order Approving Proposed Rule Change Relating to Non-Member Give-Ups
|
| 34-50898 |
Dec. 21, 2004 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Non-Member Give-Ups
|
SR-NSX-2004-06 |
| 34-50708 |
Nov. 19, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its By-Laws and Rules to Change the Designation of its Board
Comments due: December 20, 2004
|
SR-NSX-2004-05 |
| 34-49792 |
Jun. 2, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Liquidity Provider Fee and Rebate Pilot Program
Comments due: June 30, 2004
|
SR-NSX-2004-04 |
| 34-49913 |
Jun. 24, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend an Existing Pilot Rule that Stipulates the Price Increment by which Designated Dealers Must Better Customer Orders
Comments Due: July 23, 2004
|
SR-NSX-2004-03 |
| 34-49586 |
Apr. 21, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Fee Schedule to Cap Members Monthly Transaction Fees and Reduce the Designated Dealer's Principal Activity Fees
Comments due: May 19, 2004
|
SR-NSX-2004-02 |
| 34-50475 |
Sep. 30, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Anti-Money Laundering Compliance Programs
|
| 34-50198 |
Aug. 13, 2004 |
Notice of Proposed Rule Change and Amendment No. 1 to Adopt an Anti-Money Laundering Compliance Program Rule
Comments due: September 10, 2004
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http://www.sec.gov/rules/sro/nsx/nsxarchive/nsxarchive2004.shtml
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