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NYSE Rulemaking Archive: 2004

We invite comments on the following New York Stock Exchange, Inc. (NYSE) 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

NYSE File Number List for 2004

Additional Archives


Chronological List
Release No. Date Details

SR-NYSE-2004-63
34-50942 Dec. 29, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend Exchange Rules Relating to the Return of Membership Certificates, Notice and Return of Exchange-Issued Identification Cards, and Minor Violations of Rules
Comments due:  January 28, 2005
See also:  Order: Rel. No. 34-51188

SR-NYSE-2004-31
34-50939 Dec. 28, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to NYSE Rules 633, 634, and 635
Comments due:  January 25, 2005
See also:  Order: Rel. No. 34-51273
Comments received are available for this notice.

SR-NYSE-2004-68
34-50929 Dec. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Rules 440B, on Short Sales, and 440C, on Deliveries Against Short Sales
Comments due:  January 20, 2005

SR-NYSE-2004-61
34-50912 Dec. 22, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Rescind a Type of Order Known as an Institutional XPress® Order Through Amendments to Exchange Rules 13, 60 and 72
Comments due:  January 19, 2005
See also:  Order: Rel. No. 34-51319

SR-NYSE-2004-12
34-50896 Dec. 20, 2004 Notice of Filing of Proposed Rule Changes Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings ("IPOs")
File No.: SR-NASD-2003-140
Comments due:  January 18, 2005
See also:  Notice: Rel. No. 34-51039
Comments received are available for this notice.

SR-NYSE-2002-19
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
See also:  Order: Rel. No. 34-52031; Notice: Rel. No. 34-51615; Notice: Rel. No. 34-46576

SR-NYSE-2004-53
34-50844 Dec. 13, 2004 Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Relating to a Fee for the NYSE Alerts Datafeed
See also:  Notice: Rel. No. 34-50639

SR-NYSE-2004-66
34-50828 Dec. 9, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot for Its Automatic Execution Facility for Certain Limit Orders (NYSE Direct+®)
Comments due:  January 7, 2005

SR-NYSE-2004-04
34-50810 Dec. 7, 2004 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend Rules Regarding Listed Company Relations Proceedings
See also:  Notice: Rel. No. 34-50196

SR-NYSE-2004-67
34-50777 Dec. 1, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend its Pilot Program Permitting a Floor Broker to Use an Exchange Authorized and Provided Portable Phone on the Exchange Floor
Comments due:  December 29, 2004
Comments received are available for this notice.

SR-NYSE-2004-48
34-50734 Nov. 24, 2004 Order Granting Approval to Proposed Rule Change to Create New NYSE Rule 416A ("Member and Member Organization Profile Information Updates and Quarterly Certifications Via the Electronic Filing Platform") and to Amend NYSE Rule 476A ("Imposition of Fines for Minor Violations of Rules"), Adding New NYSE Rule 416A to the "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A"
See also:  Notice: Rel. No. 34-50559

SR-NYSE-2004-05
34-50667 Nov. 15, 2004 Notice of Filing of Amendment Nos. 2 and 3 to a Proposed Rule Change Relating to Enhancements to the Exchange’s Existing Automatic Execution Facility Pilot (NYSE Direct+)
Comments due:  December 13, 2004
See also:  Order: Rel. No. 34-53539;
Notices: Rel. No. 34-51906; Rel. No. 34-50277; Rel. No. 34-50173
Comments received are available for this notice.

SR-NYSE-2004-53
34-50639 Nov. 5, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to a Fee for the NYSE Alerts Datafeed
Comments due:  December 3, 2004
See also:  Order: Rel. No. 34-50844

SR-NYSE-2004-41
34-50625 Nov. 3, 2004 Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 Thereto to Amend Section 303A of the NYSE Listed Company Manual Relating to Corporate Governance
See also:  Notice: Rel. No. 34-50298

SR-NYSE-2004-58
34-50615 Oct. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Original Financial Listing Standards Pilot Program
Comments due:  November 29, 2004

SR-NYSE-2004-22
34-50603 Oct. 28, 2004 Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 1 and No. 2 Regarding Listing and Trading of streetTRACKS® Gold Shares
See also:  Notice: Rel. No. 34-49849

SR-NYSE-2004-13
34-50586 Oct. 25, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Adopt Rule 405A ("Non-Managed Fee-Based Account Programs - Disclosure and Monitoring")
Comments due:  November 22, 2004
See also:  Order: Rel. No. 34-51907
Comments received are available for this notice.

SR-NYSE-2004-48
34-50559 Oct. 19, 2004 Notice of Filing of Proposed Rule Change to Create New NYSE Rule 416A ("Member and Member Organization Profile Information Updates and Quarterly Certifications Via the Electronic Filing Platform") and to Amend NYSE Rule 476A ("Imposition of Fines for Minor Violations of Rules"), Adding New NYSE Rule 416A to the "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A"
Comments due:  November 15, 2004
See also:  Order: Rel. No. 34-50734

SR-NYSE-2004-55
34-50505 Oct. 8, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to List and Trade the iShares® FTSE/Xinhua China 25 Index Fund
Comments due:  November 5, 2004

SR-NYSE-2004-29
34-50510 Oct. 8, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 thereto Relating to Amendments to Procedures for the Appointment of Arbitrators to Arbitration Cases
Comments due:  December 2, 2004
Comments received are available for this notice.
* Click to submit comments on SR-NYSE-2004-29

SR-NYSE-2004-49
34-50452 Sep. 27, 2004 Notice of Filing of Proposed Rule Change Relating to Procedures for Companies that Fail to File Annual Reports in a Timely Manner
Comments due:  21 days after publication in the Federal Register
See also:  Order: Rel. No. 34-51777; Notice: Rel. No. 34-50982
Comments received are available for this notice.

SR-NYSE-2004-50
34-50449 Sep. 24, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Arbitration
Comments due:  21 days after publication in the Federal Register

SR-NYSE-2004-46
34-50412 Sep. 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 104 Regarding Specialists’ Ability to Establish a Proprietary Quote Interface to the Display Book
Comments due:  21 days after publication in the Federal Register

SR-NYSE-2004-33
34-50404 Sep. 16, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend Exchange Rule 345A ("Continuing Education for Registered Persons")
See also:  Notice: Rel. No. 34-50177

SR-NYSE-2004-45
34-50357 Sep. 13, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rescind Advice Previously Provided Regarding the Calculation of Transaction Fees
Comments due:  21 days after publication in the Federal Register

SR-NYSE-2004-06
34-50337 Sep. 9, 2004 Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to Exchange Rule 104 and Rule 123
See also:  Notice: Rel. No. 34-50090

SR-NYSE-2004-41
34-50298 Aug. 31, 2004 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Amend Section 303A of the NYSE Listed Company Manual Relating to Corporate
Comments due:  September 29, 2004
See also:  Order: Rel. No. 34-50625
Comments received are available for this notice.

SR-NYSE-2004-43
34-50275 Aug. 26, 2004 Notice of Filing of a Proposed Rule Change Establishing Fees for Receiving NYSE OpenBook® on a Real-Time Basis
Comments due:  September 23, 2004
See also:  Order: Rel. No. 34-53585 and
SR-NYSE-2005-32: Notice: Rel. No. 34-51925 and comments
Comments received are available for this notice.

SR-NYSE-2004-05
34-50277 Aug. 26, 2004 Notice of Extension of the Comment Period for the Proposed Rule Change Relating to Enhancements to the Exchange's Existing Automatic Execution Facility (NYSE Direct+)
Comments due:  September 22, 2004
See also:  Order: Rel. No. 34-53539;
Notices: Rel. Nos. 34-51906; 34-50667; 34-50173
Comments received are available for this notice.

SR-NYSE-2004-37
34-50237 Aug. 24, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Procedures for Gapping the Quote
Comments due:  September 21, 2004
Additional Materials:
*
*
Exhibit A

SR-NYSE-2004-04
34-50196 Aug. 13, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend NYSE Rules Regarding Listed Company Relations Proceedings
Comments due:  September 10, 2004
See also:  Order: Rel. No. 34-50810

SR-NYSE-2004-05
34-50173 Aug. 10, 2004 Notice of Proposed Rule Change and Amendment No. 1 Thereto Relating to enhancements to the Exchange's existing automatic execution facility (NYSE Direct+)
Comments due:  September 7, 2004
See also:  Order: Rel. No. 34-53539;
Notices: Rel. Nos. 34-51906; 34-50667; 34-50277
Comments received are available for this notice.

SR-NYSE-2004-33
34-50177 Aug. 10, 2004 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Amend Exchange Rule 345A (“Continuing Education for Registered Persons”)
Comments due:  September 7, 2004
See also:  Order: Rel. No. 34-50404

SR-NYSE-2004-27
34-50142 Aug. 3, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendments No. 1 and 2 thereto Relating to the Trading Pursuant to Unlisted Trading Privileges of iShares MSCI Index Funds and the S&P Europe 350 Index Fund.
Comments due:  August 31, 2004

SR-NYSE-2004-36
34-50133 Aug. 2, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Amending the NYSE Constitution to Permit Certain Individuals to Serve on the Regulation, Enforcement & Listing Standards Committee
Comments due:  August 27, 2004

SR-NYSE-2004-40
34-50123 Jul. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Original Financial Listing Standards Pilot Program
Comments due:  August 26, 2004

SR-NYSE-2004-34
34-50114 Jul. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change filed with the Commission Relating to Amending Exchange Rule 103(B) with respect to the Allocation Panel.
Comments due:  August 25, 2004

SR-NYSE-2004-35
34-50109 Jul. 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Specialist License Fee for Investment Company Units
Comments due:  August 25, 2004

SR-NYSE-2004-06
34-50090 Jul. 27, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to Exchange Rule 104 and Rule 123
Comments due:  August 23, 2004
See also:  Order: Rel. No. 34-50337

SR-NYSE-2004-32
34-50040 Jul. 20, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to NYSE Liquidity QuoteSM Exhibit C
Comments due:  August 17, 2004
See also:  Order: Rel. No. 34-51438
Comments received are available for this notice.

SR-NYSE-2004-38
34-50021 Jul. 14, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Exempting Bonds from the Order Tracking System Requirements (NYSE Rule 132B)
Comments due:  August 11, 2004

SR-NYSE-2004-07
34-49988 Jul. 8, 2004 Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listed Company Manual's Requirement that Companies Make Certain Paper Filings
See also:  Notice: Rel. No. 34-49714

SR-NYSE-2004-30
34-49954 Jul. 1, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend NYSE's Pilot Program Permitting a Floor Broker to Use an Exchange Authorized and Provided Portable Phone on the Exchange Floor
Comments due:  July 29, 2004

SR-NYSE-2004-11
34-49926 Jun. 28, 2004 Order Approving Proposed Rule Change and Amendments No. 1 and No. 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto Amending NYSE Rule 122 Concerning Orders with More than One Broker
See also:  Notice: Rel. No. 34-49625

SR-NYSE-2004-28
34-49915 Jun. 25, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Relating to Voluntary Supplemental Procedures for Selecting Arbitrators
Comments due:  July 22, 2004

SR-NYSE-2004-20
34-49917 Jun. 25, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Change Original and Continued Quantitative Listing Standards
Comments due:  July 23, 2004
See also:  Order: Rel. No. 34-51813; Notice: Rel. No. 34-51332
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
See also:  Notices: Rel. Nos. 34-47021, 34-46858A, 34-46858

SR-NYSE-2004-22
34-49849 Jun. 10, 2004 Notice of Filing of a Proposed Rule Change Regarding Listing and Trading of Equity Gold Shares
Comments due:  July 8, 2004
See also:  Order: Rel. No. 34-50603

SR- NYSE-2004-14
34-49821 Jun. 7, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to NYSE Listed Company Manual Section 102.04 (Closed-end Management Investment Companies Registered Under the Investment Company Act of 1940-Business Development Companies)
Comments due:  July 6, 2004

SR-NYSE-2004-25
34-49804 Jun. 3, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listed Company Fee Exclusion for NYSEnetSM Data
Comments due:  July 6, 2004

SR-NYSE-2004-16
34-49779 May 27, 2004 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 thereto Relating to Revised Uniform Application for Securities Industry Registration or Transfer (Form U4) and Revised Uniform Termination Notice for Securities Industry Registration (Form U5)
Comments due:  June 29, 2004

SR-NYSE-2004-26
34-49776 May 26, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Trading Hours for Three Exchange-Traded Funds Listed on the Exchange
Comments due:  June 24, 2004

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
See also:  Notice: Rel. No. 34-49536

SR-NYSE-2004-07
34-49714 May 17, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listed Company Manual's Requirement that Companies Make Certain Paper Filings
Comments due:  June 14, 2004
See also:  Order: Rel. No. 34-49988

SR-NYSE-2004-09
34-49682 May 11, 2004 Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to Amend NYSE Rule 123C Relating to Market-on-Close Policy and Expiration Procedures
Comments due:  June 9, 2004
See also:  Notice: Rel. No. 34-49476

SR-NYSE-2004-21
34-49649 May 4, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto to Extend for an Additional Year the Pilot Relating to the Allocation Policy for Trading of Exchange-Traded Funds on an Unlisted Trading Privileges Basis (NYSE Rule 103B)
Comments due:  June 1, 2004

SR-NYSE-2004-19
34-49653 May 4, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Establishing an Examination Development Fee in Connection with the Series 86/87 Examination for Research Analysts
Comments due:  June 1, 2004

SR-NYSE-2004-11
34-49625 Apr. 28, 2004 Notice of Filing of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto to Amend its Rule 122 Concerning Orders With More Than One Broker
Comments due:  July 23, 2004
See also:  Order: Rel. No. 34-49926

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
See also:  Notices: Rel. Nos. 34-48502, 34-46443

SR-NYSE-2003-37
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
See also:  Order: Rel. No. 34-49745

SR-NYSE-2004-18
34-49521 Apr. 2, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Arbitration
Comments due:  April 29, 2004

SR-NYSE-2004-17
34-49515 Apr. 1, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing of Income Deposit Securities (Sections 102.01C, 202.05 and 802.01B of the Listed Company Manual)
Comments due:  May 4, 2004

SR-NYSE-2004-09
34-49476 Mar. 25, 2004 Notice of Filing of a Proposed Rule Change to Amend NYSE Rule 123C Relating to Market-on-Close Policy and Expiration Procedures
Comments due:  April 22, 2004
See also:  Order: Rel. No. 34-49682

SR-NYSE-2004-03
34-49464 Mar. 24, 2004 Order Granting Accelerated Approval of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions from Taking the Research Analyst Qualification Examination ("Series 86/87")
See also:  Notice: Rel. No. 34-49314

SR-NYSE-2004-15
34-49443 Mar. 18, 2004

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pilot Program to Review Minimum Numerical Continued Listing Standards
Comments due:  April 14, 2004


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
See also:  Notice: Rel. No. 34-48833

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


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-2004-03
34-49314 Feb. 24, 2004 Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions from Taking the Research Analyst Qualification Examination ("Series 86/87")
See also:  Order: Rel. No. 34-49464
Comments received are available for this notice.
File Nos.:  SR-NYSE-2004-03; SR-NASD-2004-020

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-2003-36
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.


NYSE File Number List for 2004
Release No. Date Details

SR-NYSE-2004-73
34-52579 Oct. 7, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend NYSE Rule 440A Relating to Telephone Solicitation
34-52308 Aug. 19, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend NYSE Rule 440A Relating to Telephone Solicitation
Comments due:  September 15, 2005

SR-NYSE-2004-72
34-50957 Jan. 4, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of Amendments, Approved Pursuant to File No. SR-NYSE-2002-36, from December 17, 2004 to January 31, 2005 to Conform with the Effective Date of Corresponding Rule Amendments Filed by the National Association of Securities Dealers, Inc. (“NASD”)
Comments due:  February 1, 2005

SR-NYSE-2004-71
34-51573 Apr. 19, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend NYSE Rule 104 Regarding the Requirement that Specialists Obtain Floor Official Approval for Destabilizing Dealer Account Transactions in ETFs
34-51329 Mar. 8, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 to Amend NYSE Rule 104 Regarding the Requirement that Specialists Obtain Floor Official Approval for Destabilizing Dealer Account Transactions in ETFs
Comments due:  April 5, 2005

SR-NYSE-2004-70
34-57312 Feb. 12, 2008 Notice of Filing of Amendments No. 2, 3, and 5 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments No. 2, 3, and 5, to Amend Rule 104 to Require Specialists to Yield Proprietary Trades to Later-Arriving System Orders
Comments due:  March 11, 2008
34-51048 Jan. 18, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend Exchange Rule 104 to Require Specialists to Yield Orally-Consummated Proprietary Trades to Later-Arriving System Orders
Comments due:  February 18, 2005
Comments received are available for this notice.

SR-NYSE-2004-69
34-54767 Nov. 16, 2006 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Establish Rules for the Trading of Unregistered Corporate Debt Securities
Comments received are available for this notice.
34-51999 Jul. 8, 2005 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Establish Rules for the Trading of Unlisted Debt Securities on the Exchange’s Automated Bond System
Comments due:  August 15, 2005
Comments received are available for this notice.

SR-NYSE-2004-68
34-50929 Dec. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Rules 440B, on Short Sales, and 440C, on Deliveries Against Short Sales
Comments due:  January 20, 2005

SR-NYSE-2004-67
34-50777 Dec. 1, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend its Pilot Program Permitting a Floor Broker to Use an Exchange Authorized and Provided Portable Phone on the Exchange Floor
Comments due:  December 26, 2004
Comments received are available for this notice.

SR-NYSE-2004-66
34-50828 Dec. 9, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot for Its Automatic Execution Facility for Certain Limit Orders (NYSE Direct+®)
Comments due:  January 7, 2005

SR-NYSE-2004-64
34-52780 Nov. 16, 2005 Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change Relating to Exchange Rule 342 ("Offices – Approval, Supervision and Control")
Comments received are available for this notice.
34-52259 Aug. 15, 2005 Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 thereto Relating to Proposed Changes to Exchange Rule 342 ("Offices - Approval, Supervision and Control")
Comments due:  September 12, 2005
Comments received are available for this notice.

SR-NYSE-2004-63
34-51188 Feb. 10, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend Exchange Rules Relating to the Return of Membership Certificates, Notice and Return of Exchange-Issued Identification Cards, and Minor Violations of Rules
34-50942 Dec. 29, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend Exchange Rules Relating to the Return of Membership Certificates, Notice and Return of Exchange-Issued Identification Cards, and Minor Violations of Rules
Comments due:  January 28, 2005

SR-NYSE-2004-62
34-51973 Jul. 5, 2005 Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto to Eliminate Rule 496 and to Amend the Listed Company Manual Relating to Transfer Agents
34-51372 Mar. 15, 2005 Notice of Filing of Proposed Rule Change to Eliminate Rule 496 and to Amend the Listed Company Manual Relating to Transfer Agents
Comments due:  April 13, 2005
Comments received are available for this notice.

SR-NYSE-2004-61
34-51319 Mar. 4, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Rescind a Type of Order Known as an Institutional XPress® Order Through Amendments to Exchange Rules 13, 60 and 72
34-50912 Dec. 22, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Rescind a Type of Order Known as an Institutional XPress® Order Through Amendments to Exchange Rules 13, 60 and 72
Comments due:  January 19, 2005

SR-NYSE-2004-59
34-51539 Apr. 13, 2005 Order Approving Proposed Rule Change to Adopt a New Rule (NYSE Rule 401A) Requiring Members and Member Organizations to Respond to Customer Complaints, and Adding Failure to Acknowledge Customer Complaints to the Minor Fine Provisions of NYSE Rule 476A
34-51276 Feb. 28, 2005 Notice of Filing of Proposed Rule Change to Adopt New Rule 401A (“Customer Complaints”), and an Amendment to Rule 476A ("Imposition of Fines for Minor Violations of Rules"), Adding Rule 401A to the List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A
Comments due:  March 28, 2005

SR-NYSE-2004-58
34-50615 Oct. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Original Financial Listing Standards Pilot Program
Comments due:  November 29, 2004

SR-NYSE-2004-57
34-51729 May 24, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and No. 2 thereto Relating to Member Organization Increases in Arbitration Filing Fees and Member Organization Surcharges in Arbitration Claims filed by Customers
Comments due:  June 21, 2005

SR-NYSE-2004-56
34-55593 Apr. 6, 2007 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change Relating to Amendments to Exchange Rule 611, "Disqualification or Other Disability of Arbitrators"
Comments due:  May 3, 2007
34-54232 Jul. 27, 2006 Notice of Filing of Proposed Rule Change Relating to Amendments to Exchange Rule 611, "Disqualification or Other Disability of Arbitrators"
Comments due:  August 28, 2006

SR-NYSE-2004-55
34-50505 Oct. 8, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to List and Trade the iShares® FTSE/Xinhua China 25 Index Fund
Comments due:  November 5, 2004

SR-NYSE-2004-54
34-51217 Feb. 16, 2005 Order Approving Proposed Rule Change Relating to Amendments to the NYSE Constitution and the Adoption of an Independence Policy of the NYSE Board of Directors
34-51015 Jan. 11, 2005 Notice of Filing of Proposed Rule Change Relating to Amendments to the NYSE Constitution and the Adoption of an Independence Policy of the NYSE Board of Directors
Comments due:  February 4, 2005

SR-NYSE-2004-53
34-50844 Dec. 13, 2004 Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Relating to a Fee for the NYSE Alerts Datafeed
34-50639 Nov. 5, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to a Fee for the NYSE Alerts Datafeed
Comments due:  December 3, 2004

SR-NYSE-2004-51
34-52850 Nov. 29, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to a Proposed Interpretation to Rule 342 (Offices – Approval, Supervision, and Control)
34-52640 Oct. 19, 2005 Notice of Filing of Proposed Rule and Amendment No. 1 Thereto Relating to a Proposed Interpretation to Rule 342 (Offices – Approval, Supervision, and Control)
Comments due:  November 15, 2005

SR-NYSE-2004-50
34-50449 Sep. 24, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Arbitration
Comments due:  October 22, 2004

SR-NYSE-2004-49
34-51777 Jun. 2, 2005 Order Approving Proposed Rule Change and Amendment No. 3 Thereto Relating to Procedures for Companies that Fail to File Annual Reports in a Timely Manner
34-50982 Jan. 6, 2005 Notice of Filing of Amendment No. 3 to Proposed Rule Change Relating to Procedures for Companies that Fail to File Annual Reports in a Timely Manner
Comments due:  February 4, 2005
Comments received are available for this notice.
34-50452 Sep. 27, 2004 Notice of Filing of Proposed Rule Change Relating to Procedures for Companies that Fail to File Annual Reports in a Timely Manner
Comments due:  October 22, 2004
Comments received are available for this notice.

SR-NYSE-2004-48
34-50734 Nov. 24, 2004 Order Granting Approval to Proposed Rule Change to Create New NYSE Rule 416A ("Member and Member Organization Profile Information Updates and Quarterly Certifications Via the Electronic Filing Platform") and to Amend NYSE Rule 476A ("Imposition of Fines for Minor Violations of Rules"), Adding New NYSE Rule 416A to the "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A"
34-50559 Oct. 19, 2004 Notice of Filing of Proposed Rule Change to Create New NYSE Rule 416A ("Member and Member Organization Profile Information Updates and Quarterly Certifications Via the Electronic Filing Platform") and to Amend NYSE Rule 476A ("Imposition of Fines for Minor Violations of Rules"), Adding New NYSE Rule 416A to the "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A"
Comments due:  November 15, 2004

SR-NYSE-2004-47
34-52391 Sep. 7, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend Rule 352 Concerning Guarantees and Sharing in Accounts
34-52179 Jul. 29, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend Rule 352 Concerning Guarantees and Sharing in Accounts
Comments due:  August 26, 2005

SR-NYSE-2004-46
34-50412 Sep. 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 104 Regarding Specialists’ Ability to Establish a Proprietary Quote Interface to the Display Book
Comments due:  October 18, 2004

SR-NYSE-2004-45
34-50357 Sep. 13, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rescind Advice Previously Provided Regarding the Calculation of Transaction Fees
Comments due:  October 12, 2004

SR-NYSE-2004-43
34-50275 Aug. 26, 2004 Notice of Filing of a Proposed Rule Change Establishing Fees for Receiving NYSE OpenBook® on a Real-Time Basis
Comments due:  September 23, 2004
See also:   Order: Rel. No. 34-53585
Comments received are available for this notice.

SR-NYSE-2004-42
34-51790 Jun. 6, 2005 Order Approving a Proposed Rule Change and Amendment No. 1 to Eliminate the Requirement that a Floor Official Approve Certain Transactions on the Exchange's Automated Bond System
34-51613 Apr. 26, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate the Requirement that a Floor Official Approve Certain Transactions on the Exchange’s Automated Bond System
Comments due:  May 23, 2005
Comments received are available for this notice.

SR-NYSE-2004-41
34-50625 Nov. 3, 2004 Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 Thereto to Amend Section 303A of the NYSE Listed Company Manual Relating to Corporate Governance
34-50298 Aug. 31, 2004 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Amend Section 303A of the NYSE Listed Company Manual Relating to Corporate
Comments due:  September 29, 2004
Comments received are available for this notice.

SR-NYSE-2004-40
34-50123 Jul. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Original Financial Listing Standards Pilot Program
Comments due:  August 26, 2004

SR-NYSE-2004-39
34-52951 Dec. 14, 2005 Order Approving a Proposed Rule Change and Partial Amendment No. 1 to Amend Exchange Rule 431 (Margin Requirements)
34-52738 Nov. 4, 2005 Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 to Amend Exchange Rule 431 (Margin Requirements)
Comments due:  December 1, 2005

SR-NYSE-2004-38
34-50021 Jul. 14, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Exempting Bonds from the Order Tracking System Requirements (NYSE Rule 132B)
Comments due:  August 11, 2004

SR-NYSE-2004-37
34-50237 Aug. 24, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Procedures for Gapping the Quote
Comments due:  September 21, 2004
Additional Materials:
*
*
Exhibit A

SR-NYSE-2004-36
34-50133 Aug. 2, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Amending the NYSE Constitution to Permit Certain Individuals to Serve on the Regulation, Enforcement & Listing Standards Committee
Comments due:  August 27, 2004

SR-NYSE-2004-35
34-50109 Jul. 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Specialist License Fee for Investment Company Units
Comments due:  August 25, 2004

SR-NYSE-2004-34
34-50114 Jul. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change filed with the Commission Relating to Amending Exchange Rule 103(B) with respect to the Allocation Panel.
Comments due:  August 25, 2004

SR-NYSE-2004-33
34-50404 Sep. 16, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend Exchange Rule 345A ("Continuing Education for Registered Persons")
34-50177 Aug. 10, 2004 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Amend Exchange Rule 345A (“Continuing Education for Registered Persons”)
Comments due:  September 7, 2004

SR-NYSE-2004-32
34-51438 Mar. 28, 2005 Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Relating to NYSE Liquidity QuoteSM
34-50040 Jul. 20, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to NYSE Liquidity QuoteSM Exhibit C
Comments due:  August 17, 2004
Comments received are available for this notice.

SR-NYSE-2004-31
34-51273 Feb. 28, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Relating to Appointments to the NYSE’s Board of Arbitration and Other Changes to the NYSE’s Arbitration Program
34-50939 Dec. 28, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to NYSE Rules 633, 634, and 635
Comments due:  January 25, 2005
Comments received are available for this notice.

SR-NYSE-2004-30
34-49954 Jul. 1, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend NYSE's Pilot Program Permitting a Floor Broker to Use an Exchange Authorized and Provided Portable Phone on the Exchange Floor
Comments due:  July 29, 2004

SR-NYSE-2004-29
34-50510 Oct. 8, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 thereto Relating to Amendments to Procedures for the Appointment of Arbitrators to Arbitration Cases
Comments due:  December 2, 2004
Comments received are available for this notice.
* Click to submit comments on SR-NYSE-2004-29

SR-NYSE-2004-28
34-49915 Jun. 25, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Relating to Voluntary Supplemental Procedures for Selecting Arbitrators
Comments due:  July 22, 2004

SR-NYSE-2004-27
34-50142 Aug. 3, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendments No. 1 and 2 thereto Relating to the Trading Pursuant to Unlisted Trading Privileges of iShares MSCI Index Funds and the S&P Europe 350 Index Fund.
Comments due:  August 31, 2004

SR-NYSE-2004-26
34-49776 May 26, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Trading Hours for Three Exchange-Traded Funds Listed on the Exchange
Comments due:  June 24, 2004

SR-NYSE-2004-25
34-49804 Jun. 3, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listed Company Fee Exclusion for NYSEnetSM Data
Comments due:  July 6, 2004

SR-NYSE-2004-24
34-51593 Apr. 21, 2005 Order Approving Proposed Rule Changes to Prohibit Participation by a Research Analyst in a Road Show Related to an Investment Banking Services Transaction and to Require Certain Communications about an Investment Banking Services Transaction to Be Fair, Balanced and Not Misleading
File No.:  SR-NASD-2004-141
34-51358 Mar. 10, 2005 Notice of Filing of Proposed Rule Changes to Prohibit Participation by a Research Analyst in a Road Show Related to an Investment Banking Services Transaction and to Require Certain Communications About an Investment Banking Services Transaction to be Fair, Balanced and Not Misleading
File No.: SR-NASD-2004-141
Comments due:  April 7, 2005
Comments received are available for this notice.

SR-NYSE-2004-22
34-50603 Oct. 28, 2004 Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 1 and No. 2 Regarding Listing and Trading of streetTRACKS® Gold Shares
34-49849 Jun. 10, 2004 Notice of Filing of a Proposed Rule Change Regarding Listing and Trading of Equity Gold Shares
Comments due:  July 8, 2004

SR-NYSE-2004-21
34-49649 May 4, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto to Extend for an Additional Year the Pilot Relating to the Allocation Policy for Trading of Exchange-Traded Funds on an Unlisted Trading Privileges Basis (NYSE Rule 103B)
Comments due:  June 1, 2004

SR-NYSE-2004-20
34-51813 Jun. 9, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 4, 5, 6, and 7 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 8 Thereto to Amend Its Original and Continued Quantitative Listing Standards
34-51332 Mar. 8, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5, 6, and 7 thereto To Amend its Original and Continued Quantitative Listing Standards
[Correction]
Comments due:  April 6, 2005
Comments received are available for this notice.
34-49917 Jun. 25, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Change Original and Continued Quantitative Listing Standards
Comments due:  July 23, 2004
Comments received are available for this notice.

SR-NYSE-2004-19
34-49653 May 4, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Establishing an Examination Development Fee in Connection with the Series 86/87 Examination for Research Analysts
Comments due:  June 1, 2004

SR-NYSE-2004-18
34-49521 Apr. 2, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Arbitration
Comments due:  April 29, 2004

SR-NYSE-2004-17
34-49515 Apr. 1, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing of Income Deposit Securities (Sections 102.01C, 202.05 and 802.01B of the Listed Company Manual)
Comments due:  May 4, 2004

SR-NYSE-2004-16
34-49779 May 27, 2004 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 thereto Relating to Revised Uniform Application for Securities Industry Registration or Transfer (Form U4) and Revised Uniform Termination Notice for Securities Industry Registration (Form U5)
Comments due:  June 29, 2004

SR-NYSE-2004-15
34-49443 Mar. 18, 2004

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pilot Program to Review Minimum Numerical Continued Listing Standards
Comments due:  April 14, 2004


SR- NYSE-2004-14
34-49821 Jun. 7, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to NYSE Listed Company Manual Section 102.04 (Closed-end Management Investment Companies Registered Under the Investment Company Act of 1940-Business Development Companies)
Comments due:  July 6, 2004

SR-NYSE-2004-13
34-51907 Jun. 22, 2005 Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 2 and No. 3 Thereto to Adopt Rule 405A (“Non-Managed Fee-Based Account Programs – Disclosure and Monitoring”)
34-50586 Oct. 25, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Adopt Rule 405A ("Non-Managed Fee-Based Account Programs - Disclosure and Monitoring")
Comments due:  November 22, 2004
Comments received are available for this notice.

SR-NYSE-2004-12
34-51039 Jan. 14, 2005 Notice of Extension of the Comment Period of Proposed Rule Changes Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings
File No.: SR-NASD-2003-140
Comments due:  February 15, 2005
See also:  Notice: Rel. No. 34-50896
* Click to submit comments on SR-NYSE-2004-12
34-50896 Dec. 20, 2004 Notice of Filing of Proposed Rule Changes Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings ("IPOs")
File No.: SR-NASD-2003-140
Comments due:  January 18, 2005
Comments received are available for this notice.

SR-NYSE-2004-11
34-49926 Jun. 28, 2004 Order Approving Proposed Rule Change and Amendments No. 1 and No. 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto Amending NYSE Rule 122 Concerning Orders with More than One Broker
34-49625 Apr. 28, 2004 Notice of Filing of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto to Amend its Rule 122 Concerning Orders With More Than One Broker
Comments due:  July 23, 2004

SR-NYSE-2004-09
34-49682 May 11, 2004 Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to Amend NYSE Rule 123C Relating to Market-on-Close Policy and Expiration Procedures
Comments due:  June 9, 2004
34-49476 Mar. 25, 2004 Notice of Filing of a Proposed Rule Change to Amend NYSE Rule 123C Relating to Market-on-Close Policy and Expiration Procedures
Comments due:  April 22, 2004

SR-NYSE-2004-07
34-49988 Jul. 8, 2004 Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listed Company Manual's Requirement that Companies Make Certain Paper Filings
34-49714 May 17, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listed Company Manual's Requirement that Companies Make Certain Paper Filings
Comments due:  June 14, 2004

SR-NYSE-2004-06
34-50337 Sep. 9, 2004 Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to Exchange Rule 104 and Rule 123
34-50090 Jul. 27, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to Exchange Rule 104 and Rule 123
Comments due:  August 23, 2004

SR-NYSE-2004-05
34-53539 Mar. 22, 2006 Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 3, and 5 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 6, 7, and 8 to the Proposed Rule Change to Establish the Hybrid Market
Comments received are available for this notice.
34-51906 Jun. 22, 2005 Notice of Filing of Amendment No. 5 to a Proposed Rule Change Relating to Enhancements to the Exchange's Existing Automatic Execution Facility Pilot (NYSE Direct+)
Comments due:  July 20, 2005
Comments received are available for this notice.
34-50667 Nov. 15, 2004 Notice of Filing of Amendment Nos. 2 and 3 to a Proposed Rule Change Relating to Enhancements to the Exchange’s Existing Automatic Execution Facility Pilot (NYSE Direct+)
Comments due:  December 13, 2004
Comments received are available for this notice.
34-50277 Aug. 26, 2004 Notice of Extension of the Comment Period for the Proposed Rule Change Relating to Enhancements to the Exchange's Existing Automatic Execution Facility (NYSE Direct+)
Comments due:  September 22, 2004
34-50173 Aug. 10, 2004 Notice of Proposed Rule Change and Amendment No. 1 Thereto Relating to enhancements to the Exchange's existing automatic execution facility (NYSE Direct+)
Comments due:  September 7, 2004
Comments received are available for this notice.

SR-NYSE-2004-04
34-50810 Dec. 7, 2004 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend Rules Regarding Listed Company Relations Proceedings
34-50196 Aug. 13, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend NYSE Rules Regarding Listed Company Relations Proceedings
Comments due:  September 10, 2004

SR-NYSE-2004-03
34-49464 Mar. 24, 2004 Order Granting Accelerated Approval of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions from Taking the Research Analyst Qualification Examination ("Series 86/87")
34-49314 Feb. 24, 2004 Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions from Taking the Research Analyst Qualification Examination ("Series 86/87")
Comments received are available for this notice.
File Nos.:  SR-NYSE-2004-03; SR-NASD-2004-020

 

http://www.sec.gov/rules/sro/nyse/nysearchive/nysearchive2004.shtml


Modified: 10/16/2014