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


NYSE Rulemaking Archive: 2002

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

NYSE File Number List for 2002

Additional Archives


Chronological List
Release No. Date Details

SR-NYSE-2002-49
34-47110 Dec. 31, 2002 Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications with the Public") and by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest
File No.:  SR-NASD-2002-154
See also:  Order: Rel. No. 34-48252; Notice: Rel. No. 34-47912
Comments received are available for this notice.

SR-NYSE-2002-55
34-47091 Dec. 23, 2002 Notice of Filing of a Proposed Rule Change Relating to the Dissemination of Liquidity Quotations
See also:  Order: Rel. No. 34-47614
Comments received are available for this notice.
See also Rel. No. 34-47614

SR-NYSE-2002-36
34-47021 Dec. 18, 2002 Notice of Extension of Comment Period for the Proposed Rule Changes by the National Association of Securities Dealers, Inc. and New York Stock Exchange, Inc. Relating to Supervisory Control Amendments
File No.:  SR-NASD-2002-162
See also:  Order: Rel. No. 34-49882; Notices: Rel. Nos. 34-46858A, 34-46858

SR-NYSE-2002-36
34-46858A Nov. 27, 2002 Correction to Release 34-46858
See also:  Order: Rel. No. 34-49882; Notice: Rel. No. 34-47921

SR-NYSE-2002-36
34-46858 Nov. 20, 2002 Notice of Filing of Proposed Rule Change to Adopt Amendments to Exchange Rule 342 ("Offices - Approval, Supervision and Control") and its Interpretation, Rule 401 ("Business Conduct"), Rule 408 ("Discretionary Power in Customers' Accounts"), and Rule 410 ("Records of Orders")
See also:  Order: Rel. No. 34-49882; Notices: Rel. Nos. 34-47021, 34-46585A, 34-46858
Comments received are available for this notice.

SR-NYSE-2002-53
34-46782 Nov. 7, 2002 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 thereto on a Pilot Basis Amending NYSE Rule 431, Margin Requirements for Security Futures

SR-NYSE-2002-46
34-46620 Oct. 8, 2002 Notice of Filing of Proposed Rule Change Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies
See also:  Order: Rel. No. 34-; Notices: Rel. Nos. 34-46620A, 34-46620
Comments received are available for this notice.

SR-NYSE-2002-19
34-46576 Oct. 1, 2002 Notice of Filing of Proposed Rule Change Relating to Customer Portfolio and Cross-Margining Requirements
Comments received are available for this notice.
See also:  Order: Rel. No. 34-52031; Notices: Rel. Nos. 34-51615, 34-50885

SR-NYSE-2002-35
34-46443 Aug. 30, 2002 Notice of Filing of Proposed Rule Change Relating to Business Continuity and Contingency Planning
See also:  Order: Rel. No. 34-49537; Notice: Rel. No. 34-48502
Comments received are available for this notice.

SR-NYSE-2002-09
34-45908 May 10, 2002 Order Approving Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 to the Proposed Rule Change by the National Association of Securities Dealers, Inc. and Amendment No. 1 to the Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest
File No.:  SR-NASD-2002-21
See also:  Notices: Rel. Nos. 34-45679, 34-45526

SR-NYSE-2002-10
34-45798 Apr. 22, 2002 Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs
File No.:  SR-NASD-2002-24

SR-NYSE-2002-09
34-45679 Apr. 2, 2002 Notice of Extension of the Comment Period for the Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest
File No.:  SR-NASD-2002-21
See also:  Order: Rel. No. 34-45908, Notice: Rel. No. 34-45526

SR-NYSE-2001-53
34-45644 Mar. 25, 2002 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Amending Its Rules Regarding the Transmission of Proxy and Other Shareholder Communication Material and the Proxy Reimbursement Guidelines Set Forth In Those Rules, and Requesting Permanent Approval of the Amended Proxy Reimbursement Guidelines
See also:  Notice: Rel. No. 34-45263

SR-NYSE-2002-09
34-45526 Mar. 8, 2002 Notice of Filing of Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest
File No.:  SR-NASD-2002-21
Comments received are available for this notice.
See also:  Order: Rel. No. 34-45908, Notice: Rel. No. 34-45679

SR-NYSE-2001-53
34-45263 Jan. 9, 2002 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Amending Its Rules Regarding the Transmission of Proxy and Other Shareholder Communication Material and the Proxy Reimbursement Guidelines Set Forth In Those Rules, and Requesting Permanent Approval of the Amended Proxy Reimbursement Guidelines
See also:  Order: Rel. No. 34-45644
Comments received are available for this notice.


NYSE File Number List for 2002
Release No. Date Details

SR-NYSE-2002-55
34-47614 Apr. 2, 2003 Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding the Dissemination of Liquidity Quotations
Comments received are available for this notice.
34-47091 Dec. 23, 2002 Notice of Filing of a Proposed Rule Change Relating to the Dissemination of Liquidity Quotations
Comments received are available for this notice.
See also Order Granting Interim Stay

SR-NYSE-2002-53
34-46782 Nov. 7, 2002 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 thereto on a Pilot Basis Amending NYSE Rule 431, Margin Requirements for Security Futures

SR-NYSE-2002-49
34-48252 Jul. 29, 2003 Order Approving Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications with the Public") and by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3 to the Proposed Rule Change by the New York Stock Exchange, Inc and Amendment No. 3 to the Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest
File No.:  SR-NASD-2002-154
Additional Materials:
*
*
NYSE Amendment No. 3 (includes response to comments)
*
*
NASD Amendment No. 3
*
*
NASD Response to Comments
34-47912 May 22, 2003 Notice of Filing of Amendment No. 2 to Proposed Rule Changes Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications with the Public") and by the National Association of Securities Dealers, Inc. Relating to NASD Rule 2711 ("Research Analysts and Research Reports")
File No.:  SR-NASD-2002-154
34-47110 Dec. 31, 2002 Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications with the Public") and by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest
File No.:  SR-NASD-2002-154
Comments received are available for this notice.

SR-NYSE-2002-46
34-48108 Jun. 30, 2003 Order Approving NYSE and Nasdaq Proposed Rule Changes and Nasdaq Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to NYSE Amendments No. 1 and 2 and Nasdaq Amendments No. 2 and 3 Thereto Relating to Equity Compensation Plans
File No.:  SR-NASD-2002-140
34-46620 Oct. 8, 2002 Notice of Filing of Proposed Rule Change Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies
See also: Correction Notice: Rel. No. 34-46620A, Oct. 21, 2002
Comments received are available for this notice.

SR-NYSE-2002-36
34-49882 Jun. 17, 2004 Order Approving Proposed Rule Change and Amendments No. 1, 2, and 3 Relating to Internal Controls and Supervisory Control Amendments and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 4
34-47021 Dec. 18, 2002 Notice of Extension of Comment Period for the Proposed Rule Changes by the National Association of Securities Dealers, Inc. and New York Stock Exchange, Inc. Relating to Supervisory Control Amendments
File No.:  SR-NASD-2002-162
34-46858 Nov. 20, 2002 Notice of Filing of Proposed Rule Change to Adopt Amendments to Exchange Rule 342 ("Offices - Approval, Supervision and Control") and its Interpretation, Rule 401 ("Business Conduct"), Rule 408 ("Discretionary Power in Customers' Accounts"), and Rule 410 ("Records of Orders")
See also:  Correction Notice: Rel. No. 34-46858A
Comments received are available for this notice.

SR-NYSE-2002-35
34-49537 Apr. 7, 2004 Order Approving Proposed Rule Changes Relating to Business Continuity Planning of Members and Notice of Filing and Order Granting Accelerated Approval of NASD Amendment Nos. 6, 7, and 8
File No.:  SR-NASD-2002-108
34-48502 Sep. 17, 2003 Notice of Filing of Amendment No. 4 to a Proposed Rule Change Relating to Business Continuity and Contingency Planning
34-46443 Aug. 30, 2002 Notice of Filing of Proposed Rule Change Relating to Business Continuity and Contingency Planning
Comments received are available for this notice.

SR-NYSE-2002-34
34-52402 Sep. 9, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 to the Proposed Rule Change Relating to the Amendment of Rule 342 (Offices-Approval, Supervision and Control) to Provide for a Uniform Definition of “Branch Office”
Comments due:  October 7, 2005

SR-NYSE-2002-33
34-48745 Nov. 4, 2003 New York Stock Exchange, Inc. and National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Changes (SR-NYSE-2002-33 and SR-NASD-2002-141) and Amendments No. 1 thereto; Order Approving Proposed Rule Changes (SR-NASD-2002-77, SR-NASD-2002-80, SR-NASD-2002-138 and SR-NASD-2002-139) and Amendments No. 1 to SR-NASD-2002-80 and SR-NASD-2002-139; and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to SR-NYSE-2002-33, Amendment Nos. 2, 3, 4 and 5 to SR-NASD-2002-141, Amendment Nos. 2 and 3 to SR-NASD-2002-80, Amendment Nos. 1, 2, and 3 to SR-NASD-2002-138, and Amendment No. 2 to SR-NASD-2002-139, Relating to Corporate Governance
File Nos.:  SR-NASD-2002-77, SR-NASD-2002-80, SR-NASD-2002-138, SR-NASD-2002-139, and SR-NASD-2002-141
Comments received for SR-NYSE-2002-33are available for this notice.
Comments received for SR-NASD-2002-77 are available for this notice.
Comments received for SR-NASD-2002-80 are available for this notice.
Comments received for SR-NASD-2002-138 are available for this notice.
Comments received for SR-NASD-2002-139 are available for this notice.
Comments received for SR-NASD-2002-141 are available for this notice.
34-47672 Apr. 11, 2003 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Corporate Governance
Comments received are available for this notice.

SR-NYSE-2002-19
34-52031 Jul. 14, 2005 Order Approving a Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to Customer Portfolio and Cross-Margining Requirements
34-51615 Apr. 26, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to Customer Portfolio and Cross-Margining Requirements
Comments due:  May 24, 2005
34-50885 Dec. 20, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Customer Portfolio and Cross-Margining Requirements
Comments due:  January 18, 2005
34-46576 Oct. 1, 2002 Notice of Filing of Proposed Rule Change Relating to Customer Portfolio and Cross-Margining Requirements
Comments received are available for this notice.

SR-NYSE-2002-10
34-45798 Apr. 22, 2002 Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs
File No.:  SR-NASD-2002-24

SR-NYSE-2002-09
34-45908 May 10, 2002 Order Approving Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 to the Proposed Rule Change by the National Association of Securities Dealers, Inc. and Amendment No. 1 to the Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest
File No.:  SR-NASD-2002-21
34-45679 Apr. 2, 2002 Notice of Extension of the Comment Period for the Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest
File No.:  SR-NASD-2002-21
34-45526 Mar. 8, 2002 Notice of Filing of Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest
File No.:  SR-NASD-2002-21
Comments received are available for this notice.

 

http://www.sec.gov/rules/sro/nyse/nysearchive/nysearchive2002.shtml


Modified: 10/16/2014