SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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


Chronological List
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

 

http://www.sec.gov/rules/sro/nsx/nsxarchive/nsxarchive2004.shtml


Modified: 03/19/2009