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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-45644 | Mar 25, 2002 | SR-NYSE-2001-53 | New York Stock Exchange LLC (NYSE) | Order Approving Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Amending Its Rules Regarding the Transmission of Proxy and Other Shareholder Communication Material and the Proxy Reimbursement Guidelines Set Forth In Those Rules, and Requesting Permanent Approval of the Amended Proxy Reimbursement Guidelines View Received Comments See Also - Rel. No. 34-45263 |
| 34-45630 | Mar 22, 2002 | SR-CBOE-2002-03 | Cboe Exchange, Inc. (CBOE) | Notice of Filing of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating to Customer Portfolio and Cross-Margining Requirements See Also - Rel. No. 34-52032, Rel. Nos. 34-51614, 34-50886 |
| 34-45526 | Mar 8, 2002 | SR-NASD-2002-21, SR-NYSE-2002-09 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest View Received Comments See Also - Rel. No. 34-45908, Rel. No. 34-45679 |
| 34-45529 | Mar 8, 2002 | SR-ISE-2002-01 | Nasdaq ISE, LLC (ISE) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the International Securities Exchange LLC Proposal to Restructure From a Limited Liability Company to a Corporation See Also - Rel. No. 34-45803 |
| 34-45263 | Jan 9, 2002 | SR-NYSE-2001-53 | New York Stock Exchange LLC (NYSE) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New Stock Exchange, Inc. Amending Its Rules Regarding the Transmission of Proxy and Other Shareholder Communication Material and the Proxy Reimbursement Guidelines Set Forth In Those Rules, and Requesting Permanent Approval of the Amended Proxy Reimbursement Guidelines View Received Comments See Also - Rel. No. 34-45644 |
| 34-45138 | Dec 7, 2001 | SR-NYSE-2001-42 | New York Stock Exchange LLC (NYSE) | Order Approving a Proposed Rule Change by the New York Stock Exchange, Inc., Establishing the Fees for NYSE OpenBookTM View Received Comments |
| 34-44983 | Oct 25, 2001 | SR-PCX-00-25 | NYSE Arca (NYSEARCA) | Order Granting Accelerated Approval to Amendment Nos. 4 and 5 Concerning the Establishment of the Archipelago Exchange as the Equities Trading Facility of PCX Equities, Inc. View Received Comments See Also - Rel. No. 34-44233, Rel. No. 34-43608 |
| 34-44965 | Oct 22, 2001 | SR-NSCC-2001-14, SR-NYSE-2001-42 | National Securities Clearing Corporation, New York Stock Exchange LLC (NYSE) | Certifications and Exemptions Under the International Regulations for Preventing Collisions at Sea, 1972; Amendment |
| 34-44803 | Sep 17, 2001 | SR-Amex-2001-78 | American Stock Exchange (Amex) | Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the American Stock Exchange LLC; New York Stock Exchange, Inc.; Boston Stock Exchange, Inc.; Cincinnati Stock Exchange, Inc., Chicago Stock Exchange, Inc.; Pacific Exchange Inc.; Philadelphia Stock Exchange, Inc.; and National Association of Securities Dealers, Inc. Regarding the Temporary Use by the American Stock Exchange LLC of the Facilities of the New York Stock Exchange, Inc. |
| 34-44802 | Sep 17, 2001 | SR-Amex-2001-80, SR-Phlx-2001-86 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX, American Stock Exchange (Amex) | Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes Filed by the American Stock Exchange LLC ("Amex") and the Philadelphia Stock Exchange, Inc. ("Phlx") Relating to Temporary Trading of Amex Options on the Phlx To Respond to Market Developments |