National Securities Exchanges
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National Securities Exchanges Table
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Release Number
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File Number
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SRO Organization
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Details
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| Release Number:34-47658 | SEC Issue Date:Apr 10, 2003 | File Number:SR-Amex-2003-18 | SRO Organization:American Stock Exchange (Amex) |
Details: Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the American Stock Exchange LLC Relating to "At the Close" Orders in Nasdaq Securities View Received Comments |
| Release Number:34-47614 | SEC Issue Date:Apr 2, 2003 | File Number:SR-NYSE-2002-55 | SRO Organization:New York Stock Exchange LLC (NYSE) |
Details: Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the New York Stock Exchange, Inc. Regarding the Dissemination of Liquidity Quotations View Received Comments See Also - Rel. No. 34-47091, and Order Granting Interim Stay |
| Release Number:34-47577 | SEC Issue Date:Mar 26, 2003 | File Number:SR-PCX-2003-03 | SRO Organization:NYSE Arca (NYSEARCA) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. To Amend the Regulatory Fees Portion of Its Schedule of Fees and Charges To Add a Designated Options Examining Authority Fee for Member Firms That Conduct a Public Options Business View Received Comments |
| Release Number:34-47186 | SEC Issue Date:Jan 14, 2003 | File Number:SR-BSE-2002-15 | SRO Organization:Boston Stock Exchange (BSE) |
Details: Notice of Filing of Proposed Rule Change by the Boston Stock Exchange, Inc., Establishing Trading Rules for the Boston Options Exchange Facility View Received Comments See Also - Rel. No. 34-49068, Rel. No. 34-48355 |
| Release Number:34-47110 | SEC Issue Date:Dec 31, 2002 | File Number:SR-NYSE-2002-49 | SRO Organization:New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications With the Public") and by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest View Received Comments See Also - Rel. No. 34-48252, Rel. No. 34-47912 |
| Release Number:34-47091 | SEC Issue Date:Dec 23, 2002 | File Number:SR-NYSE-2002-55 | SRO Organization:New York Stock Exchange LLC (NYSE) |
Details: Notice of Filing of a Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Dissemination of Liquidity Quotations View Received Comments See Also - Rel. No. 34-47614, Rel. No. 34-47614 |
| Release Number:34-47021 | SEC Issue Date:Dec 18, 2002 | File Number:SR-NASD-2002-162, SR-NYSE-2002-36 | SRO Organization:New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) |
Details: Notice of Extension of Comment Period for the Proposed Rule Changes by the National Association of Securities Dealers, Inc. and New York Stock Exchange, Inc. Relating to Supervisory Control Amendments View Received Comments See Also - Rel. No. 34-49882, 34-46585A, 34-46858, Rel. No. 34-49883, Rel. Nos. 34-48460, 34-48298, 34-46859 |
| Release Number:34-46858A | SEC Issue Date:Nov 27, 2002 | File Number:SR-NYSE-2002-36 | SRO Organization:New York Stock Exchange LLC (NYSE) |
Details: 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 - 34-46858, Rel. No. 34-49882, Rel. Nos. 34-47021 |
| Release Number:34-46858 | SEC Issue Date:Nov 20, 2002 | File Number:SR-NYSE-2002-36 | SRO Organization:New York Stock Exchange LLC (NYSE) |
Details: 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 |
| Release Number:34-46803 | SEC Issue Date:Nov 8, 2002 | File Number:SR-PCX-2002-36 | SRO Organization:NYSE Arca (NYSEARCA) |
Details: 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 |