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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-46858 | Nov 20, 2002 | SR-NYSE-2002-36 | New York Stock Exchange LLC (NYSE) | Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. To Adopt Amendments to Exchange Rule 342 ("Offices-Approval, Supervision and Control") and its Interpretation, Rule 401 ("Business Conduct"), Rule 408 ("Discretionary Power in Customers Accounts"), and Rule 410 ("Records of Orders") View Received Comments See Also - Rel. No. 34-49882, Rel. Nos. 34-47021, 34-46585A, 34-46858 |
| 34-46803 | Nov 8, 2002 | SR-PCX-2002-36 | NYSE Arca (NYSEARCA) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to the Exchange's New Trading Platform for Options, PCX Plus View Received Comments See Also - and comment letters |
| 34-46782 | Nov 7, 2002 | SR-NYSE-2002-53 | New York Stock Exchange LLC (NYSE) | Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto on a Pilot Basis by the New York Stock Exchange, Inc. Amending NYSE Rule 431, Margin Requirements for Security Futures |
| 34-46620 | Oct 8, 2002 | SR-NYSE-2002-46 | New York Stock Exchange LLC (NYSE) | Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies View Received Comments See Also - Rel. No. 34-, Rel. Nos. 34-46620A, 34-46620 |
| 34-46576 | Oct 1, 2002 | SR-NYSE-2002-19 | New York Stock Exchange LLC (NYSE) | Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Customer Portfolio and Cross-Margining Requirements View Received Comments See Also - Rel. No. 34-52031, Rel. Nos. 34-51615, 34-50885 |
| 34-46443 | Aug 30, 2002 | SR-NYSE-2002-35 | New York Stock Exchange LLC (NYSE) | Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Business Continuity and Contingency Planning View Received Comments See Also - Rel. No. 34-49537, Rel. No. 34-48502 |
| 34-45803 | Apr 23, 2002 | SR-ISE-2002-01 | Nasdaq ISE, LLC (ISE) | Order Approving Proposed Rule Change and Amendment No. 1 thereto by the International Securities Exchange LLC To Restructure From a Limited Liability Company to a Corporation See Also - Rel. No. 34-45529 |
| 34-45798 | Apr 22, 2002 | SR-NYSE-2002-10, SR-NASD-2002-24 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs |
| 34-45791 | Apr 19, 2002 | SR-BSE-2001-08 | Boston Stock Exchange (BSE) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Boston Stock Exchange, Inc. Relating to Competing Specialists and the Execution of Directed Agency Orders |
| 34-45679 | Apr 2, 2002 | SR-NASD-2002-21, SR-NYSE-2002-09 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Notice of Extension of the Comment Period for the Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest View Received Comments See Also - Rel. No. 34-45908, Rel. No. 34-45526 |