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NYSE Rulemaking Archive: 2004
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NYSE File Number List for 2004
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| 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:
|
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:
|
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
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http://www.sec.gov/rules/sro/nyse/nysearchive/nysearchive2004.shtml
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