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NYSE Rulemaking Archive: 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

NYSE File Number List for 2003

Additional Archives


Chronological List
Release No. Date Details

SR-NYSE-2003-29
34-48958 Dec. 18, 2003 Notice of Filing of Proposed Rule Change to Amend Rule 412 and its Interpretation Relating to Partial Customer Account Transfers
Comments received are available for this notice.
See also:  Order: Rel. No. 34-49415

SR-NYSE-2003-34
34-48946 Dec. 17, 2003

Order Approving Proposed Rule Change Relating to the Amendment and Restatement of the Constitution of the Exchange to Reform the Governance and Management Architecture of the Exchange
See also:  Notice: Rel. No. 34-48764


SR–NYSE–2003–33
34–48833 Nov. 25, 2003 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Fees for Closed-End Funds
See also:  Order: Rel. No. 34-49414
Comments received are available for this notice.

SR-NYSE-2003-34
34-48764 Nov. 7, 2003 Notice of Filing of Proposed Rule Change Relating to the Amendment and Restatement of the Constitution of the Exchange to Reform the Governance and Management Architecture of the Exchange
See also:  Order: Rel. No. 34-48946
Comments received are available for this notice.

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
See also:  Notice: Rel. No. 34-47672
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.

SR-NYSE-2003-23
34-48720 Oct. 30, 2003 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Repealing Exchange Rule 500 and Amending Section 806 of the Listed Company Manual
See also:  Notice: Rel. No. 34-48435

SR-NYSE-2002-35
34-48502 Sep. 17, 2003 Notice of Filing of Amendment No. 4 to a Proposed Rule Change Relating to Business Continuity and Contingency Planning
See also:  Order: Rel. No. 34-49537; Notice: Rel. No. 34-46443

SR-NYSE-2003-23
34-48435 Sep. 3, 2003 Notice of Filing of Proposed Rule Change Repealing Exchange Rule 500 and Amending Section 806 of the Listed Company Manual
See also:  Order: Rel. No. 34-48720
Comments received are available for this notice.

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
See also:  Notices: Rel. Nos. 34-47912 and 34-47110
Additional Materials:
*
*
NYSE Amendment No. 3 (includes response to comments)
*
*
NASD Amendment No. 3
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*
NASD Response to Comments

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
See also:  Notices: Rel. Nos. 34-46620A, 34-46620

SR-NYSE-2002-49
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
See also:  Order: Rel. No. 34-48252; Notice: Rel. No. 34-47110

SR-NYSE-99-51
34-47689 Apr. 17, 2003 Order Approving Proposed Rule Change Relating to Order Tracking

SR-NYSE-2002-33
34-47672 Apr. 11, 2003 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Corporate Governance
See also:  Order: Rel. No. 34-48745
Comments received are available for this notice.

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
See also:  Notice: Rel. No. 34-47091 and Order Granting Interim Stay
Comments received are available for this notice.


NYSE File Number List for 2003
Release No. Date Details

SR-NYSE-2003-43
34-49154 Jan. 29, 2004 Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto and Order Granting Accelerated Approval of the Proposed Rule Change To Establish a Pilot Program To Amend the Minimum Numerical Standards
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.

SR-NYSE-2003-42
34-49391 Mar. 10, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend its Rules 13, 72, 76 and 91 to Establish a Six-Month Pilot Program in Selected Stocks to Provide That Institutional XPress® Orders Be Executed Immediately Against an Institutional XPress® Eligible NYSE LiquidityQuoteSM Bid or Offer and Not Be Exposed for Price Improvement
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.
* Click to submit comments on SR-NYSE-2003-42

SR-NYSE-2003-37
34-49745 May 20, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend NYSE Rule 124 to Change the Way Odd-Lot Orders are Priced and Executed Systemically
34-49536 Apr. 7, 2004 Notice of Filing of Proposed Rule Change to Amend NYSE Rule 124 to Change the Way Odd-Lot Orders are Priced and Executed Systemically
Comments due:  May 5, 2004

SR-NYSE-2003-36
34-49063 Jan. 13, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Interpretation of Rule 15A
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.

SR-NYSE-2003-34
34-48946 Dec. 17, 2003

Order Approving Proposed Rule Change Relating to the Amendment and Restatement of the Constitution of the Exchange to Reform the Governance and Management Architecture of the Exchange

34-48764 Nov. 7, 2003 Notice of Filing of Proposed Rule Change Relating to the Amendment and Restatement of the Constitution of the Exchange to Reform the Governance and Management Architecture of the Exchange
Comments received are available for this notice.

SR–NYSE–2003–33
34–49414 Mar. 12, 2004 Order Granting Approval to a Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Thereto Relating to Exchange Fees for Closed-End Funds
34–48833 Nov. 25, 2003 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Fees for Closed-End Funds
Comments received are available for this notice.

SR-NYSE-2003-29
34-49415 Mar. 12, 2004

Order Granting Approval of a Proposed Rule Change Relating Partial Transfers and Other Non-Standard Customer Account Transfers

34-48958 Dec. 18, 2003 Notice of Filing of Proposed Rule Change to Amend Rule 412 and its Interpretation Relating to Partial Customer Account Transfers
Comments received are available for this notice.

SR-NYSE-2003-23
34-48720 Oct. 30, 2003 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Repealing Exchange Rule 500 and Amending Section 806 of the Listed Company Manual
34-48435 Sep. 3, 2003 Notice of Filing of Proposed Rule Change Repealing Exchange Rule 500 and Amending Section 806 of the Listed Company Manual
Comments received are available for this notice.

 

http://www.sec.gov/rules/sro/nyse/nysearchive/nysearchive2003.shtml


Modified: 06/17/2008