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


PCX Rulemaking Archive: 2004

Name change in effect as of April 7, 2006:
NYSE Arca, Inc.

We encourage the public to submit comments on the following Pacific Exchange, Inc. (PCX) 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.

Note:  Only selected SRO rule proposals were posted to the SEC website prior to 2004. To obtain releases not appearing on the website, contact the Public Reference Room at (202) 551-8090 or by e-mail: publicinfo@sec.gov.

Chronological List

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

PCX File Number List for 2004

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-PCX-2004-128
34-50948 Dec. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Phase-In of PCX Plus
Comments due:  January 28, 2005

SR-PCX-2004-59
34-50868 Dec. 16, 2004 Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to a New Order Modifier Entitled "Proactive if Locked Reserve"

SR-PCX-2004-122
34-50854 Dec. 14, 2004 Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Implementation of a New Order Audit Trail System
See also:  Order: Rel. No. 34-50998

SR-PCX-2002-57
34-50847 Dec. 14, 2004 Notice of Withdrawal of Proposed Rule Change by the Pacific Exchange, Incorporated Relating to the Implementation of a New Order Audit Trail System

SR-PCX-2004-58
34-50830 Dec. 9, 2004 Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Exchange's Rules Under the Minor Rule Plan and Recommended Fine Schedule
See also:  Order: Rel. No. 34-51051

SR-PCX-2004-96
34-50818 Dec. 7, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend PCX Equities, Inc. Rule 4.5 To Require All Financial/Operations Principals of PCXE ETP Firms To Successfully Complete The Series 27 Examination and All Compliance Supervisors Of PCXE ETP Firms To Successfully Complete the Series 24 Examination
See also:  Order: Rel. No. 34-51038

SR-PCX-2004-105
34-50817 Dec. 7, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Make Clarifying Changes to the PCX Schedule of Fees and Charges with Respect to the Options Orientation Fee to Include the Cost of the Series 44 or 45 Examination and to Adopt a New Fee Associated With the Series 46 Examination
Comments due:  January 4, 2005

SR-PCX-2004-99
34-50799 Dec. 6, 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:  January 3, 2005

SR-PCX-2004-83
34-50756 Nov. 30, 2004 Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Changing the Opening Time and the Commencement of the Opening Auction
See also:  Order: Rel. No. 34-51014

SR-PCX-2004-101
34-50742 Nov. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Add a $500 Application Fee for Waivers of Exchange Examination Requirements Pursuant to PCX Rule 2.5(c)(4)
Comments due:  December 27, 2004

SR-PCX-2004-104
34-50731 Nov. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend for an Additional Six-Month Period a Pilot Rule Relating to Waiver of California Arbitrator Disclosure Standards
Comments due:  December 21, 2004

SR-PCX-2004-80
34-50717 Nov. 22, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Relating to Arbitrator Classification, Challenges and Disclosure
Comments due:  December 20, 2004

SR-PCX-2004-108
34-50677 Nov. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Amend the Corporate Governance Requirements for PCX Listed Companies
Comments due:  December 14, 2004

SR-PCX-2004-90
34-50668 Nov. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Applicability of the Cross-and-Post Functionality on the Archipelago Exchange Facility to PNP Cross Orders
Comments due:  December 13, 2004

SR-PCX-2004-102
34-50662 Nov. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Notification Requirements for Offerings of Securities Pursuant to Regulation M
Comments due:  December 10, 2004

SR-PCX-2004-98
34-50643 Nov. 5, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Until 1:15 (Pacific Time) the Core Trading Session and Change the Closing Auction Time for Certain ETFs
Comments due:  December 6, 2004

SR-PCX-2004-59
34-50645 Nov. 5, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to a New Order Modifier Entitled "Proactive if Locked Reserve"
See also:  Order: Rel. No. 34-50868

SR-PCX-2004-103
34-50635 Nov. 4, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to Schedule of Fees and Charges for Exchange Services
Comments due:  December 3, 2004

SR-PCX-2004-63
34-50593 Oct. 26, 2004 Order Granting Approval of Proposed Rule Change Relating to a Proposed Listing Fee Schedule for Exchange-Traded Funds and Closed-End Funds
See also:  Notice: Rel. No. 34-50374

SR-PCX-2004-97
34-50579 Oct. 21, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to an Amendment to the Automatic Opening Rotations Pilot Program
Comments due:  November 18, 2004

SR-PCX-2004-84
34-50562 Oct. 19, 2004 Order Approving a Proposed Rule Change and Amendment No. 1 by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Inc.; a Proposed Rule Change and Amendments No. 1 and 2 by the International Securities Exchange, Inc.; a Proposed Rule Change by the Pacific Exchange, Inc.; and a Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to Minimum Size Guarantees for Linkage Orders SR-BSE-2004-14; SR-CBOE-2004-41; SR-ISE-2004-01; SR-PCX-2004-84; SR-Phlx-2004-16
See also:  Notice: Rel. No. 34-50346

SR-PCX-2004-87
34-50549 Oct. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Change Relating to Trades Resulting from Obvious Error
Comments due:  November 12, 2004

SR-PCX-2004-89
34-50538 Oct. 14, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Allow Market Maker Quotation Spreads in PCX Plus of up to $5
Comments due:  November 12, 2004

SR-PCX-2004-94
34-50523 Oct. 13, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Delay of the Operative Period for Priority and Order Allocation Procedures for PCX Plus
Comments due:  November 9, 2004

SR-PCX-2004-92
34-50527 Oct. 13, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Floor Access Fee and the Remote Market Maker Access Fee
Comments due:  November 9, 2004

SR-PCX-2004-86
34-50508 Oct. 8, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Financial/Operations Principals of PCX OTP Firms to Successfully Complete the Series 27 Examination
Comments due:  November 8, 2004
Third Quarter

SR-PCX-2003-64
34-50473 Sep. 29, 2004 Order Granting Approval of Proposed Rule Change and Amendments No. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 3, 4, and 5 Thereto Regarding Facilitation Crossing Procedures
See also:  Notice: Rel. No. 34-50064

SR-PCX-2004-88
34-50470 Sep. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Charges for Exchange Services by Increasing its Broker Dealer Surcharge
Comments due:  21 days after publication in the Federal Register

SR-PCX-2004-77
34-50460 Sep. 28, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Clarify Routing Away Practices
Comments due:  October 25, 2004

SR-PCX-2004-43
34-50448 Sep. 24, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Proposed Listing Fee Schedule for Structured Products
See also:  Order: Rel. No. 34-51094

SR-PCX-2003-71
34-50441 Sep. 24, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Trading Securities Valued at Less Than $1.00 in Subpenny Increments
Comments due:  October 21, 2004

SR-PCX-2004-78
34-50430 Sep. 23, 2004 Order Approving a Proposed Rule Change Relating to Priority and Order Allocation Procedures for PCX Plus
See also:  Notice: Rel. No. 34-50191

SR-PCX-2004-54
34-50413 Sep. 20, 2004 Order Granting Approval to Proposed Rule Change and Amendment No. 1 to Amend the PCX Sanctioning Guidelines to Enforce Compliance with the Exchange's FOCUS Reports Filing Requirements
See also:  Notice: Rel. No. 34-49948

SR-PCX-2004-60
34-50410 Sep. 17, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing Standards for Income Deposit Securities (“IDS”)
Comments due:  October 18, 2004

SR-PCX-2004-81
34-50390 Sep. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rules Relating to the PCX Schedule of Fees and Charges
Comments due:  October 18, 2004

SR-PCX-2004-63
34-50374 Sep. 13, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to a Proposed Listing Fee Schedule for Exchange Traded Funds and Closed-End Funds
See also:  Order: Rel. No. 34-50593

SR-PCX-2004-29
34-50356 Sep. 13, 2004 Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend the PCXE Minor Rule Plan and Recommended Fine Schedule to Add a Provision for Failure to Maintain Continuous, Two-Sided Q Orders in Those Securities in Which a PCXE Market Maker Is Registered to Trade

SR-PCX-2004-84
34-50346 Sep. 10, 2004 Notice of Filing of Proposed Rule Change Relating to the Definition of Firm Customer Quote Size and Firm Principal Quote Size Pursuant to the Intermarket Options Linkage Plan
See also:  Order: Rel. No. 34-50562

SR-PCX-2004-75
34-50319 Sep. 7, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Minimum Terms for Equity Linked Notes (“ELNs”)
Comments due:  October 4, 2004.

SR-PCX-2004-71
34-50312 Sep. 3, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rules Relating to Examinations for Floor Brokers and Market Makers and Waiver of the Examinations
Comments due:  October 5, 2004.

SR-PCX-2004-49
34-50296 Aug. 31, 2004 Order Approving a Proposed Rule Change to Amend Rules Governing the Archipelago Exchange by Adding a New Order Modifier Entitled "Don’t Arb Me"
See also:  Notice: Rel. No. 34-50054

SR-PCX-2004-70
34-50231 Aug. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change filed with the Commission Relating to the PCX Equities, Inc.’s Ability to Waive an Examination Requirement for an ETP Applicant
Comments due:  September 21, 2004.

SR-PCX-2004-67
34-50230 Aug. 23, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Amending PCXE Rule 7.55 Relating to the Processing of Incoming ITS Commitments
Comments due:  September 20, 2004.

SR-PCX-2004-79
34-50210 Aug. 18, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to the Corporate Restructuring and Initial Public Offering of Archipelago Holdings, Inc.
Comments due:  September 15, 2004.

SR-PCX-2004-78
34-50191 Aug. 13, 2004 Notice of Filing of Proposed Rule Change Relating to Priority and Order Allocation Procedures for PCX Plus
See also:  Order: Rel. No. 34-50430

SR-PCX-2004-76
34-50171 Aug. 9, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Impose Additional Obligations on the Exchange Should an Affiliate or Entity that Operates and/or Owns a Trading System or Facility of the Exchange List a Security on the Exchange.
Comments due:  September 7, 2004.

SR-PCX-2004-56
34-50170 Aug. 9, 2004 Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change Relating to the Certificate of Incorporation and Bylaws of Archipelago Holdings, Inc.
See also:  Notice: Rel. No. 34-49946

SR-PCX-2004-73
34-50153 Aug. 5, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Handling of Orders Pursuant to Intermarket Option Linkage
Comments due:  September 2, 2004.

SR-PCX-2004-61
34-50152 Aug. 5, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Extend Until June 5, 2005, a Pilot Program under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals
Comments due:  September 2, 2004

SR-PCX-2004-47
34-50143 Aug. 4, 2004 Order Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto to Eliminate the Ability of Floor Brokers and Market Makers to Manually Trade with Orders and Quotes with Size in the Consolidated Book
See also:  Notice: Rel. No. 34-49912

SR-PCX-2004-62
34-50139 Aug. 3, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Schedule of Fees and Charges
Comments due:  August 30, 2004.

SR-PCX-2004-29
34-50131 Jul. 30, 2004 Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 to Add a Provision in the Minor Rule Plan and Recommended Fine Schedule for Failure to Maintain Continuous, Two-Sided Q Orders in Those Securities in Which the Market Maker is Registered to Trade
See also:  Order: Rel. No. 34-50356

SR-PCX-2004-45
34-50126 Jul. 30, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 to Amend the PCX Sanctioning Guidelines to Enforce Compliance with the Exchange’s FOCUS Reports Filing Requirements
Comments due:  August 26, 2004

SR-PCX-2004-66
34-50108 Jul. 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Price Collars on the Archipelago Exchange Facility during the Closing Auction
Comments due:  August 25, 2004.

SR-PCX-2004-51
34-50101 Jul. 28, 2004 Order Granting Approval to a Proposed Rule Change Amending the Designated Options Examination Authority Fee on a Retroactive Basis
See also:  Notice: Rel. No. 34-49828

SR-PCX-2004-68
34-50082 Jul. 26, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Extension of a Linkage Fee Pilot Program
Comments due:  August 20, 2004.

SR-PCX-2004-69
34-50066 Jul. 22, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PCX Plus Priority and Order Allocation Procedures Comments due:  August 19, 2004.

SR-PCX-2003-64
34-50064 Jul. 22, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Facilitation Crosses
See also:  Order: Rel. No. 34-50473

SR-PCX-2004-49
34-50054 Jul. 21, 2004 Notice of Filing of a Proposed Rule Change to Amend its Rules Governing the Archipelago Exchange by Adding a New Order Modifier Entitled “Don’t Arb Me”
See also:  Order: Rel. No. 34-50296

SR-PCX-2004-53
34-50004 Jul. 12, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to Changes to the Schedule of Fees and Charges for Exchange Services
Comments due:  August 9, 2004

SR-PCX-2004-34
34-49967 Jul. 2, 2004 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Handling of Satisfaction Orders Pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
Comments due:  August 2, 2004
Second Quarter

SR-PCX-2004-55
34-49949 Jun. 30, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Twelve-Month Extension of the Automatic Execution System Book Function Pilot Program
Comments due:  July 28, 2004

SR-PCX-2004-54
34-49948 Jun. 30, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Twelve-Month Extension of the Automatic Execution System Incentive Pilot Program
See also:  Order: Rel. No. 34-50413

SR-PCX-2004-56
34-49946 Jun. 30, 2004 Notice of Filing of Proposed Rule Change Relating to the Certificate of Incorporation and Bylaws of Archipelago Holdings, Inc.
See:  Order: Rel. No. 34-50170
See also:Text of proposed Certificate of Incorporation of Archipelago Holdings and Bylaws of Archipelago Holdings

SR-PCX-2004-12
34-49942 Jun. 29, 2004 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto to Create an Additional Processing Capability for PNP Orders called "PNP Plus"
See also:  Notice: Rel. No. 34-49713

SR-PCX-2004-57
34-49933 Jun. 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the System Phase-In of PCX Plus
Comments due:  July 27, 2004

SR-PCX-2003-51
34-49922 Jun. 28, 2004 Order Approving Proposed Rule Change, and Amendments No. 1, 2, and 3 thereto, by the Pacific Exchange, Inc. Relating to Conditions of PCX Membership.
See also:  Notice: Rel. No. 34-49681

SR-PCX-2004-47
34-49912 Jun. 24, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Eliminate the Ability to Manually Trade with Orders and Quotes with Size in the Consolidated Book
See also:  Order: Rel. No. 34-50143

SR-PCX-2004-33
34-49890 Jun. 17, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to How Members Handle Principal Acting as Agent Orders pursuant to Intermarket Linkage
Comments due:  July 19, 2004

SR-PCX-2004-38
34-49865 Jun. 15, 2004 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Pacific Exchange, Inc. for the Extension of a Pilot Program Limiting Liability for Trade-Throughs at the End of the Trading Day
Comments due:  July 14, 2004

SR-PCX-2004-50
34-49843 Jun. 10, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Temporary Waiver of Fees for Market Makers that Utilize More Than One Seat
Comments due:  July 9, 2004

SR-PCX-2004-52
34-49835 Jun. 8, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Preventing Locks and Crosses in PNP Orders for ITS Trade-Through Exempt Securities by Amending PCXE Rule 7.31
Comments due:  July 9, 2004
Comments received are available for this notice.

SR-PCX-2004-51
34-49828 Jun. 8, 2004 Notice of Filing of Proposed Rule Change Amending the Designated Options Examination Authority Fee on a Retroactive Basis
See also:  Order: Rel. No. 34-50101

SR-PCX-2004-39
34-49818 Jun. 7, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc., to Extend a Pilot Program under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals until August 4, 2004
Comments due:  July 6, 2004

SR-PCX-2004-35
34-49810 Jun. 4, 2004 Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 3 and 4 Thereto Relating to Corporate Governance of Listed Issuers
See also:  Notice: Rel. No. 34-49631

SR-PCX-2004-31
34-49802 Jun. 3, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Fees and Charges
Comments due:  June 30, 2004

SR-PCX-2004-40
34-49786 May 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 thereto, Relating to Post-Trade Anonymity to its ETP Holders by the Pacific Exchange, Inc.
Comments due:  June 29, 2004

SR-PCX-2004-46
34-49773 May 26, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, Relating to Modifying the Market Imbalance Calculation on the Archipelago Exchange.
Comments due:  June 24, 2004
See also:  Order: Rel. No. 34-53052

SR-PCX-2004-25
34-49758 May 24, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Arbitration
Comments due:  June 18, 2004

SR-PCX-2004-28
34-49757 May 21, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and bthe Pacific Exchange, Inc. to Amend Rules Relating to FOCUS Report Filings
Comments due:  June 22, 2004

SR-PCX-2004-27
34-49756 May 21, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and by the Pacific Exchange, Inc. to Amend Rules Relating to FOCUS Report Filings
Comments due:  June 22, 2004

SR-PCX-2004-36
34-49737 May 19, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
Comments due:  June 16, 2004

SR-PCX-2004-08
34-49718 May 17, 2004 Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Thereto Relating to the Demutualization of the Pacific Exchange, Inc.
Comments due:  June 14, 2004
Attachments: Comments due:  April 19, 2004
Comments received are available for this notice.

SR-PCX-2004-12
34-49713 May 17, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 thereto Creating an Additional Processing Capability for PNP Orders called "PNP Plus"
See also:  Order: Rel. No. 34-49942

SR-PCX-2003-51
34-49681 May 11, 2004 Notice of Filing and Amendments No. 1, 2, and 3 thereto of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Conditions of PCX Membership
See also:  Order: Rel. No. 34-49922

SR-PCX-2004-32
34-49671 May 7, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Designated Options Examination Authority Fee
Comments due:  June 7, 2004

SR-PCX-2004-22
34-49664 May 6, 2004 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. and Notice Filing and Order Granting Accelerated Approval to Amendment No. 2 Creating a New Order Type Entitled “Auto Q Order”
See also:  Notice: Rel. No. 34-45906

SR-PCX-2004-41
34-49656 May 5, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the Pacific Exchange, Inc. Relating to Exchange Fees and Charges
Comments due:  June 1, 2004

SR-PCX-2004-35
34-49631 Apr. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Maker Fees Portion of its Schedule of Fees and Charges in Order to Extend a Temporary Waiver of the Market Maker Fees for those Market Makers that Utilize More than One Seat
See also:  Order: Rel. No. 34-49810

SR-PCX-2004-26
34-49569 Apr. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Clarify the PCX General Membership Fees Portion of the PCX Schedule of Fees and Charges
Comments due:  May 13, 2004

SR-PCX-2004-23
34-49560 Apr. 13, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Schedule of Fees and Charges.
Comments due:  May 11, 2004

SR-PCX-2004-25
34-49550 Apr. 9, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
See also:  Order: Rel. No. 34-49758

SR-PCX-2004-01
34-49532 Apr. 7, 2004 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Listing and Trading of Index-Linked Exchangeable Notes.
Comments due:  May 4, 2004
First Quarter

SR-PCX-2004-22
34-45906 Mar. 30, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Amending PCXE Rule 7.31 to Create a New Order Type Entitled "Auto Q Order"
See also:  Order: Rel. No. 34-49664

SR-PCX-2004-16
34-49495 Mar. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Trading Hours for Options on Exchange-Traded Funds
Comments due:  April 23, 2004

SR-PCX-2004-05
34-49487 Mar. 26, 2004 Order Approving Proposed Rule Change Imposing a Connectivity Fee Applicable to Non-members that Maintain a Connectivity Line with the Exchange
Comments due:  21 days after publication in the Federal Register

SR-PCX-2004-21
34-49466 Mar. 24, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
Comments due:  April 21, 2004

SR-PCX-2004-07
34-49417A Mar. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Amend PCX Rule 1.26 to Clarify and Update Its Registration Rule for Employees of Member Organizations [Correction]
Comments due:  April 13, 2004
See also:  Notice: Rel. No. 34-49417

SR-PCX-2003-60
34-49455 Mar. 22, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1, 2, and 3 by Relating to Rules for Trading Index Options
Comments due:  April 19, 2004

SR-PCX-2004-18
34-49418 Mar. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Bid-Ask Differentials
Comments due:  April 13, 2004

SR-PCX-2004-07
34-49417 Mar. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Amend PCX Rule 1.26 to Clarify and Update Its Registration Rule for Employees of Member Organizations
Comments due:  April 13, 2004
See also:  Notice: Rel. No. 34-49417A

SR–PCX–2003–70
34–49276 Feb. 19, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. To Amend PCXE Rule 7.40 To Provide for the Dissemination of a Closing Price and Closing Volume
Comments received are available for this notice.


PCX File Number List for 2004
Release No. Date Details

SR-PCX-2004-132
34-51067 Jan. 21, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Trading, Either by Listing or Pursuant to Unlisted Trading Privileges, Commodity-Based Trust Shares and Trading, Pursuant to Unlisted Trading Privileges, iShares® COMEX Gold Trust
Comments due:  February 17, 2005

SR-PCX-2004-131
34-51242 Feb. 23, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to FOCD Forms Due Date
Comments due:  March 23, 2005

SR-PCX-2004-130
34-51243 Feb. 23, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Fees for Late FOCD Forms
Comments due:  March 22, 2005

SR-PCX-2004-129
34-51184 Feb. 10, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Minimum Price Improvement Standards
Comments due:  March 10, 2005

SR-PCX-2004-128
34-50948 Dec. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Phase-In of PCX Plus
Comments due:  January 28, 2005

SR-PCX-2004-125
34-51076 Jan. 25, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. Relating to Exchange Fees and Charges
Comments due:  February 22, 2005

SR-PCX-2004-124
34-51512 Apr. 8, 2005 Order Approving Order Approving Proposed Rule Change and Amendments Nos. 1, 2, and 3 by the Pacific Exchange, Inc. Relating to Adjournments of a Hearing Within Three Business Days of a Scheduled Hearing Session
34-51296 Mar. 2, 2005 Notice of Filing of Proposed Rule Change and Amendments Nos. 1, 2, and 3 Relating to Adjournments of a Hearing Within Three Business Days of a Scheduled Hearing Session
Comments due:  March 29, 2005

SR-PCX-2004-122
34-50998 Jan. 7, 2005 Order Granting Accelerated Approval of Proposed Rule Change Relating to the Implementation of a New Order Audit Trail System
34-50854 Dec. 14, 2004 Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Implementation of a New Order Audit Trail System
Comments due:  January 6, 2005

SR-PCX-2004-118
34-51102 Jan. 28, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Arbitration Fees
Comments due:  February 25, 2005

SR-PCX-2004-117
34-51245 Feb. 23, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. to Trade the streetTRACKS® Gold Shares Pursuant to Unlisted Trading Privileges
Comments due:  March 25, 2005

SR-PCX-2004-108
34-50677 Nov. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Amend the Corporate Governance Requirements for PCX Listed Companies
Comments due:  December 14, 2004

SR-PCX-2004-105
34-50817 Dec. 7, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Make Clarifying Changes to the PCX Schedule of Fees and Charges with Respect to the Options Orientation Fee to Include the Cost of the Series 44 or 45 Examination and to Adopt a New Fee Associated With the Series 46 Examination
Comments due:  January 4, 2005

SR-PCX-2004-104
34-50731 Nov. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend for an Additional Six-Month Period a Pilot Rule Relating to Waiver of California Arbitrator Disclosure Standards
Comments due:  December 21, 2004

SR-PCX-2004-103
34-50635 Nov. 4, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to Schedule of Fees and Charges for Exchange Services
Comments due:  December 3, 2004

SR-PCX-2004-102
34-50662 Nov. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Notification Requirements for Offerings of Securities Pursuant to Regulation M
Comments due:  December 10, 2004

SR-PCX-2004-101
34-50742 Nov. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Add a $500 Application Fee for Waivers of Exchange Examination Requirements Pursuant to PCX Rule 2.5(c)(4)
Comments due:  December 27, 2004

SR-PCX-2004-99
34-50799 Dec. 6, 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:  January 3, 2005

SR-PCX-2004-98
34-50643 Nov. 5, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Until 1:15 (Pacific Time) the Core Trading Session and Change the Closing Auction Time for Certain ETFs
Comments due:  December 6, 2004

SR-PCX-2004-97
34-50579 Oct. 21, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to an Amendment to the Automatic Opening Rotations Pilot Program
Comments due:  November 18, 2004

SR-PCX-2004-96
34-51038 Jan. 14, 2005 Order Granting Approval to Proposed Rule Change To Amend PCXE Rule 4.5 To Require All Financial/Operations Principals of PCXE ETP Firms To Successfully Complete the Series 27 Examination and To Add PCXE Rule 6.18(d) To Require All Compliance Supervisors of PCXE ETP Firms To Successfully Complete the Series 24 Examination
34-50818 Dec. 7, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend PCX Equities, Inc. Rule 4.5 To Require All Financial/Operations Principals of PCXE ETP Firms To Successfully Complete The Series 27 Examination and All Compliance Supervisors Of PCXE ETP Firms To Successfully Complete the Series 24 Examination
Comments due:  January 4, 2005

SR-PCX-2004-94
34-50523 Oct. 13, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Delay of the Operative Period for Priority and Order Allocation Procedures for PCX Plus
Comments due:  November 9, 2004

SR-PCX-2004-92
34-50527 Oct. 13, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Floor Access Fee and the Remote Market Maker Access Fee
Comments due:  November 9, 2004

SR-PCX-2004-90
34-50668 Nov. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Applicability of the Cross-and-Post Functionality on the Archipelago Exchange Facility to PNP Cross Orders
Comments due:  December 13, 2004

SR-PCX-2004-89
34-50538 Oct. 14, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Allow Market Maker Quotation Spreads in PCX Plus of up to $5
Comments due:  November 12, 2004

SR-PCX-2004-88
34-50470 Sep. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Charges for Exchange Services by Increasing its Broker Dealer Surcharge
Comments due:  October 26, 2004

SR-PCX-2004-87
34-50549 Oct. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Change Relating to Trades Resulting from Obvious Error
Comments due:  November 12, 2004

SR-PCX-2004-86
34-50508 Oct. 8, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Financial/Operations Principals of PCX OTP Firms to Successfully Complete the Series 27 Examination
Comments due:  November 8, 2004

SR-PCX-2004-84
34-50562 Oct. 19, 2004 Order Approving a Proposed Rule Change and Amendment No. 1 by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Inc.; a Proposed Rule Change and Amendments No. 1 and 2 by the International Securities Exchange, Inc.; a Proposed Rule Change by the Pacific Exchange, Inc.; and a Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to Minimum Size Guarantees for Linkage Orders SR-BSE-2004-14; SR-CBOE-2004-41; SR-ISE-2004-01; SR-PCX-2004-84; SR-Phlx-2004-16
34-50346 Sep. 10, 2004 Notice of Filing of Proposed Rule Change Relating to the Definition of Firm Customer Quote Size and Firm Principal Quote Size Pursuant to the Intermarket Options Linkage Plan
Comments due:  October 7, 2004.

SR-PCX-2004-83
34-51014 Jan. 10, 2005 Order Approving Proposed Rule Change, and Amendment No. 1 Thereto Relating to Changing the Opening Time and the Commencement of the Opening Auction on the Archipelago Exchange
34-50756 Nov. 30, 2004 Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Changing the Opening Time and the Commencement of the Opening Auction
Comments due:  December 27, 2004

SR-PCX-2004-81
34-50390 Sep. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rules Relating to the PCX Schedule of Fees and Charges
Comments due:  October 18, 2004

SR-PCX-2004-80
34-50717 Nov. 22, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Relating to Arbitrator Classification, Challenges and Disclosure
Comments due:  December 20, 2004

SR-PCX-2004-79
34-50210 Aug. 18, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to the Corporate Restructuring and Initial Public Offering of Archipelago Holdings, Inc.
Comments due:  September 15, 2004.

SR-PCX-2004-78
34-50430 Sep. 23, 2004 Order Approving a Proposed Rule Change Relating to Priority and Order Allocation Procedures for PCX Plus
34-50191 Aug. 13, 2004 Notice of Filing of Proposed Rule Change Relating to Priority and Order Allocation Procedures for PCX Plus
Comments due:  September 9, 2004.

SR-PCX-2004-77
34-50460 Sep. 28, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Clarify Routing Away Practices
Comments due:  October 25, 2004

SR-PCX-2004-76
34-50171 Aug. 9, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Impose Additional Obligations on the Exchange Should an Affiliate or Entity that Operates and/or Owns a Trading System or Facility of the Exchange List a Security on the Exchange.
Comments due:  September 7, 2004.

SR-PCX-2004-75
34-50319 Sep. 7, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Minimum Terms for Equity Linked Notes (“ELNs”)
Comments due:  October 4, 2004.

SR-PCX-2004-73
34-50153 Aug. 5, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Handling of Orders Pursuant to Intermarket Option Linkage
Comments due:  September 2, 2004.

SR-PCX-2004-72
34-51667 May 9, 2005 Order Granting Approval to a Proposed Rule Change and Amendments No. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to Clearly Erroneous Executions on the Archipelago Exchange
Comments due:  June 3, 2005
34-51280 Mar. 1, 2005 Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 thereto Relating to Clearly Erroneous Executions on the Archipelago Exchange
Comments due:  21 days after publication in the Federal Register

SR-PCX-2004-71
34-50312 Sep. 3, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rules Relating to Examinations for Floor Brokers and Market Makers and Waiver of the Examinations
Comments due:  October 5, 2004.

SR-PCX-2004-70
34-50231 Aug. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change filed with the Commission Relating to the PCX Equities, Inc.’s Ability to Waive an Examination Requirement for an ETP Applicant
Comments due:  September 21, 2004.

SR-PCX-2004-69
34-50066 Jul. 22, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PCX Plus Priority and Order Allocation Procedures
Comments due:  August 19, 2004.

SR-PCX-2004-68
34-50082 Jul. 26, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Extension of a Linkage Fee Pilot Program
Comments due:  August 20, 2004.

SR-PCX-2004-67
34-50230 Aug. 23, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Amending PCXE Rule 7.55 Relating to the Processing of Incoming ITS Commitments
Comments due:  September 20, 2004.

SR-PCX-2004-66
34-50108 Jul. 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Price Collars on the Archipelago Exchange Facility during the Closing Auction
Comments due:  August 25, 2004.

SR-PCX-2004-65
34-51637 Apr. 29, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Deletion of Obsolete or Unnecessary Rules
34-51392 Mar. 17, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Deletion of Obsolete or Unnecessary Rules
Comments due:  April 14, 2005

SR-PCX-2004-63
34-50593 Oct. 26, 2004 Order Granting Approval of Proposed Rule Change Relating to a Proposed Listing Fee Schedule for Exchange-Traded Funds and Closed-End Funds
34-50374 Sep. 13, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to a Proposed Listing Fee Schedule for Exchange Traded Funds and Closed-End Funds
Comments due:  21 days after publication in the Federal Register

SR-PCX-2004-62
34-50139 Aug. 3, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Schedule of Fees and Charges
Comments due:  August 30, 2004.

SR-PCX-2004-61
34-50152 Aug. 5, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Extend Until June 5, 2005, a Pilot Program under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals
Comments due:  September 2, 2004

SR-PCX-2004-60
34-50410 Sep. 17, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing Standards for Income Deposit Securities (“IDS”)
Comments due:  October 18, 2004

SR-PCX-2004-59
34-50868 Dec. 16, 2004 Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to a New Order Modifier Entitled "Proactive if Locked Reserve"
34-50645 Nov. 5, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to a New Order Modifier Entitled "Proactive if Locked Reserve"
Comments due:  December 6, 2004

SR-PCX-2004-58
34-51051 Jan. 18, 2005 Order Approving Proposed Rule Change and Amendment No. 2 Thereto Relating to the Exchange’s Rules Under its Minor Rule Plan and Recommended Fine Schedule
34-50830 Dec. 9, 2004 Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Exchange's Rules Under the Minor Rule Plan and Recommended Fine Schedule
Comments due:  21 days after publication in the Federal Register

SR-PCX-2004-57
34-49933 Jun. 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the System Phase-In of PCX Plus
Comments due:  July 27, 2004

SR-PCX-2004-56
34-50170 Aug. 9, 2004 Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change Relating to the Certificate of Incorporation and Bylaws of Archipelago Holdings, Inc.
Comments due:  September 7, 2004
34-49946 Jun. 30, 2004 Notice of Filing of Proposed Rule Change Relating to the Certificate of Incorporation and Bylaws of Archipelago Holdings, Inc.
Comments due:  July 28, 2004
(Text of proposed Certificate of Incorporation of Archipelago Holdings and Bylaws of Archipelago Holdings also available)

SR-PCX-2004-55
34-49949 Jun. 30, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Twelve-Month Extension of the Automatic Execution System Book Function Pilot Program
Comments due:  July 28, 2004

SR-PCX-2004-54
34-50413 Sep. 20, 2004 Order Granting Approval to Proposed Rule Change and Amendment No. 1 to Amend the PCX Sanctioning Guidelines to Enforce Compliance with the Exchange's FOCUS Reports Filing Requirements
34-49948 Jun. 30, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Twelve-Month Extension of the Automatic Execution System Incentive Pilot Program
Comments due:  July 28, 2004

SR-PCX-2004-53
34-50004 Jul. 12, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to Changes to the Schedule of Fees and Charges for Exchange Services
Comments due:  August 9, 2004

SR-PCX-2004-52
34-49835 Jun. 8, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Preventing Locks and Crosses in PNP Orders for ITS Trade-Through Exempt Securities by Amending PCXE Rule 7.31
Comments due:  July 9, 2004
Comments received are available for this notice.

SR-PCX-2004-51
34-50101 Jul.28, 2004 Order Granting Approval to a Proposed Rule Change Amending the Designated Options Examination Authority Fee on a Retroactive Basis
34-49828 Jun. 8, 2004 Notice of Filing of Proposed Rule Change Amending the Designated Options Examination Authority Fee on a Retroactive Basis
Comments due:  July 9, 2004

SR-PCX-2004-50
34-49843 Jun. 10, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Temporary Waiver of Fees for Market Makers that Utilize More Than One Seat
Comments due:  July 9, 2004

SR-PCX-2004-49
34-50296 Aug. 31, 2004 Order Approving a Proposed Rule Change to Amend Rules Governing the Archipelago Exchange by Adding a New Order Modifier Entitled "Don’t Arb Me"
34-50054 Jul. 21, 2004 Notice of Filing of a Proposed Rule Change to Amend its Rules Governing the Archipelago Exchange by Adding a New Order Modifier Entitled “Don’t Arb Me”
Comments due:  August 18, 2004

SR-PCX-2004-47
34-50143 Aug. 4, 2004 Order Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto to Eliminate the Ability of Floor Brokers and Market Makers to Manually Trade with Orders and Quotes with Size in the Consolidated Book
34-49912 Jun. 24, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Eliminate the Ability to Manually Trade with Orders and Quotes with Size in the Consolidated Book
Comments due:  July 22, 2004

SR-PCX-2004-46
34-53052 Jan. 5, 2006 Order Approving Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Modifying the Market Imbalance Calculation for the Opening and Market Order Auctions on the Archipelago Exchange
34-49773 May 26, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, Relating to Modifying the Market Imbalance Calculation on the Archipelago Exchange.
Comments due:  June 24, 2004

SR-PCX-2004-45
34-50126 Jul. 30, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 to Amend the PCX Sanctioning Guidelines to Enforce Compliance with the Exchange’s FOCUS Reports Filing Requirements
Comments due:  August 26, 2004

SR-PCX-2004-43
34-51094 Jan. 28, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to a Proposed Listing Fee Schedule for Structured Products
Comments due:  February 28, 2005
34-50448 Sep. 24, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Proposed Listing Fee Schedule for Structured Products
Comments due:  October 22, 2004

SR-PCX-2004-41
34-49656 May 5, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the Pacific Exchange, Inc. Relating to Exchange Fees and Charges
Comments due:  June 1, 2004

SR-PCX-2004-40
34-49786 May 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 thereto, Relating to Post-Trade Anonymity to its ETP Holders by the Pacific Exchange, Inc.
Comments due:  June 29, 2004

SR-PCX-2004-39
34-49818 Jun. 7, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc., to Extend a Pilot Program under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals until August 4, 2004
Comments due:  July 6, 2004

SR-PCX-2004-38
34-49865 Jun. 15, 2004 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Pacific Exchange, Inc. for the Extension of a Pilot Program Limiting Liability for Trade-Throughs at the End of the Trading Day
Comments due:  July 14, 2004

SR-PCX-2004-34
34-49967 Jul. 2, 2004 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Handling of Satisfaction Orders Pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
Comments due:  August 2, 2004

SR-PCX-2004-36
34-49737 May 19, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
Comments due:  June 16, 2004

SR-PCX-2004-35
34-49810 Jun. 4, 2004 Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 3 and 4 Thereto Relating to Corporate Governance of Listed Issuers
34-49631 Apr. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Maker Fees Portion of its Schedule of Fees and Charges in Order to Extend a Temporary Waiver of the Market Maker Fees for those Market Makers that Utilize More than One Seat
Comments due:  July 1, 2004

SR-PCX-2004-33
34-49890 Jun. 17, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to How Members Handle Principal Acting as Agent Orders pursuant to Intermarket Linkage
Comments due:  July 19, 2004

SR-PCX-2004-32
34-49671 May 7, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Designated Options Examination Authority Fee
Comments due:  June 7, 2004

SR-PCX-2004-31
34-49802 Jun. 3, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Fees and Charges
Comments due:  June 30, 2004

SR-PCX-2004-29
34-50356 Sep. 13, 2004 Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend the PCXE Minor Rule Plan and Recommended Fine Schedule to Add a Provision for Failure to Maintain Continuous, Two-Sided Q Orders in Those Securities in Which a PCXE Market Maker Is Registered to Trade
34-50131 Jul. 30, 2004 Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 to Add a Provision in the Minor Rule Plan and Recommended Fine Schedule for Failure to Maintain Continuous, Two-Sided Q Orders in Those Securities in Which the Market Maker is Registered to Trade
Comments due:  August 30, 2004

SR-PCX-2004-28
34-49757 May 21, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and bthe Pacific Exchange, Inc. to Amend Rules Relating to FOCUS Report Filings
Comments due:  June 22, 2004

SR-PCX-2004-27
34-49756 May 21, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and by the Pacific Exchange, Inc. to Amend Rules Relating to FOCUS Report Filings
Comments due:  June 22, 2004

SR-PCX-2004-26
34-49569 Apr. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Clarify the PCX General Membership Fees Portion of the PCX Schedule of Fees and Charges
Comments due:  May 13, 2004

SR-PCX-2004-25
34-49758 May 24, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Arbitration
Comments due:  June 18, 2004
34-49550 Apr. 9, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
Comments due:  May 6, 2004

SR-PCX-2004-23
34-49560 Apr. 13, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Schedule of Fees and Charges.
Comments due:  May 11, 2004

SR-PCX-2004-22
34-49664 May 6, 2004 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. and Notice Filing and Order Granting Accelerated Approval to Amendment No. 2 Creating a New Order Type Entitled “Auto Q Order”
Comments due:  June 7, 2004
34-45906 Mar. 30, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Amending PCXE Rule 7.31 to Create a New Order Type Entitled "Auto Q Order"
Comments due:  April 27, 2004

SR-PCX-2004-21
34-49466 Mar. 24, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
Comments due:  April 21, 2004

SR-PCX-2004-18
34-49418 Mar. 15, 2004 Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Bid-Ask Differentials
Comments due:  April 13, 2004

SR-PCX-2004-16
34-49495 Mar. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Trading Hours for Options on Exchange-Traded Funds
Comments due:  April 23, 2004

SR-PCX-2004-12
34-49942 Jun. 29, 2004 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto to Create an Additional Processing Capability for PNP Orders called "PNP Plus"
34-49713 May 17, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 thereto Creating an Additional Processing Capability for PNP Orders called "PNP Plus"
Comments due:  June 14, 2004

SR-PCX-2004-08
34-49718 May 17, 2004 Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Thereto Relating to the Demutualization of the Pacific Exchange, Inc.
Comments due:  June 14, 2004
Attachments: Comments due:  April 19, 2004
Comments received are available for this notice.

SR-PCX-2004-07
34-49417A Mar. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Amend PCX Rule 1.26 to Clarify and Update Its Registration Rule for Employees of Member Organizations (Correction)
(See original release, below, for comments due date etc.)
34-49417 Mar. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Amend PCX Rule 1.26 to Clarify and Update Its Registration Rule for Employees of Member Organizations
Comments due:  April 13, 2004

SR-PCX-2004-05
34-49487 Mar. 26, 2004 Order Approving Proposed Rule Change Imposing a Connectivity Fee Applicable to Non-members that Maintain a Connectivity Line with the Exchange
Comments due:  21 days after publication in the Federal Register

SR-PCX-2004-01
34-49532 Apr. 7, 2004 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Listing and Trading of Index-Linked Exchangeable Notes.
Comments due:  May 4, 2004

 

http://www.sec.gov/rules/sro/pcx/pcxarchive/pcxarchive2004.shtml


Modified: 10/16/2014