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Phlx Rulemaking Archive: 2003

We encourage the public to submit comments on the following 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 web site.

Note: Only selected Self-Regulatory Organization rule proposals were posted to the SEC web site prior to 2004. To obtain copies of releases not appearing on the web site, please refer to How to Request Public Documents.

Chronological List

Phlx File Number List for 2003

Additional Archives


Chronological List
Release No. Date Details

SR-Phlx-2003-66
34-48884 Dec. 5, 2003 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Relating to the Listing and Trading of Options on the Nasdaq Composite Index®
Comments received are available for this notice.

SR-Phlx-2003-75
34-48875 Dec. 4, 2003 Notice of Filing of Proposed Rule Change to Adopt Commentary .04 of its Rule 1064 to Allow the Concurrent Representation of Hedging Stock Positions with Option Facilitation Orders in the Trading Crowd
See also:  Order: Rel. No. 34-49050
Comments received are available for this notice.

SR-Phlx-2003-73
34-48847 Nov. 26, 2003 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Demutualization of the Philadelphia Stock Exchange, Inc.
See also:  Order: Rel. No. 34-49098
Comments received are available for this notice.
Additional Materials from Phlx:
*
*
Philadelphia Stock Exchange Option Rules
*
*
Restated Certificate of Incorporation of Philadelphia Stock Exchange, Inc.
*
*
By-Laws of Philadelphia Stock Exchange, Inc.
*
*
Rules of the Board of Governors
*
*
Philadelphia Stock Exchange Options Floor Procedure Advices

SR-Phlx-2003-67
34-48736 Oct. 31, 2003 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies

SR–Phlx–2003–69
34–48673 Oct. 21, 2003 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Waive Membership Transfer Fees
Comments received are available for this notice.

SR-Phlx-2003-37
34–48648 Oct. 16, 2003 Order Granting Approval of Proposed Rule Change to Delete the Prohibition Against the Delivery of Electronically Generated Orders Via AUTOM
See also:  Notice: Rel. No. 34-47977

SR-Phlx-2003-61
34-48459 Sep. 8, 2003 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity and Index Option Fees

SR-Phlx-2003-49
34-48313 Aug. 8, 2003 Notice of Filing of Proposed Rule Change Relating to Member Voting
Comments received are available for this notice.

SR-Phlx-2003-37
34-47977 Jun. 4, 2003 Notice of Filing of Proposed Rule Change to Delete the Prohibition Against the Delivery of Electronically Generated Orders Via AUTOM
See also:  Order: Rel. No. 34-48648
Comments received are available for this notice.


Phlx File Number List for 2003

Release No. Date Details

SR-Phlx-2003-75
34-49050 Jan. 9, 2004 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change
34-48875 Dec. 4, 2003 Notice of Filing of Proposed Rule Change to Adopt Commentary .04 of its Rule 1064 to Allow the Concurrent Representation of Hedging Stock Positions with Option Facilitation Orders in the Trading Crowd
See also:  Order: Rel. No. 34-49050
Comments received are available for this notice.

SR-Phlx-2003-73
34-49098 Jan. 16, 2004 Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3 Thereto Relating to the Demutualization of the Philadelphia Stock Exchange, Inc.
34-48847 Nov. 26, 2003 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Demutualization of the Philadelphia Stock Exchange, Inc.
Comments received are available for this notice.
Additional Materials from Phlx:
*
*
Philadelphia Stock Exchange Option Rules
*
*
Restated Certificate of Incorporation of Philadelphia Stock Exchange, Inc.
*
*
By-Laws of Philadelphia Stock Exchange, Inc.
*
*
Rules of the Board of Governors
*
*
Philadelphia Stock Exchange Options Floor Procedure Advices

SR-Phlx-2003-71
34-49523 Apr. 2, 2004 Order Approving Proposed Rule Change Relating to Participation Guarantees for Floor Brokers Representing Crossing and Facilitation Orders in Index Options

SR–Phlx–2003–69
34–48673 Oct. 21, 2003 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Waive Membership Transfer Fees
Comments received are available for this notice.

SR-Phlx-2003-68
34-49785 May 28, 2004 Order Granting Approval to Proposed Rule Change and Notice of Filing and Accelerated Approval of Amendment No. 3 Thereto adopting a new rule regarding nullification and adjustment of orders
34-49435 Mar. 17, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Options Transactions Resulting from Obvious Errors
Comments due:  April 19, 2004

SR-Phlx-2003-67
34-48736 Oct. 31, 2003 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies

SR-Phlx-2003-66
34-48884 Dec. 5, 2003 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Relating to the Listing and Trading of Options on the Nasdaq Composite Index®
Comments received are available for this notice.

SR-Phlx-2003-61
34-48459 Sep. 8, 2003 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity and Index Option Fees

SR-Phlx-2003-59
34-50100 Jul. 27, 2004 Order Approving Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 6 and 7 to the Proposed Rule Change Relating to the Exchange’s New Electronic Trading Platform, “Phlx XL”
34-49832 Jun. 8, 2004 Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 Relating to the Exchange’s New Electronic Trading Platform, “Phlx XL”
Additional Materials: Text of proposed rules also available

SR-Phlx-2003-54
34-49587 Apr. 21, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 to Amend Rules Relating to the Minimum Net Capital for Specialists in Index Fund Shares
Comments due:  May 19, 2004

SR-Phlx-2003-49
34-48313 Aug. 8, 2003 Notice of Filing of Proposed Rule Change Relating to Member Voting
Comments received are available for this notice.

SR-Phlx-2003-40
34-50997 Jan. 7, 2005 Order Approving Proposed Rule Change Notice of Filing and Order Granting Accelerated Approval to Amendments No. 2, 3, 4 and 5 Relating to the Options Floor Broker Management System
Comments due:  February 3, 2005

SR-Phlx-2003-37
34–48648 Oct. 16, 2003 Order Granting Approval of Proposed Rule Change to Delete the Prohibition Against the Delivery of Electronically Generated Orders Via AUTOM
34-47977 Jun. 4, 2003 Notice of Filing of Proposed Rule Change to Delete the Prohibition Against the Delivery of Electronically Generated Orders Via AUTOM
Comments received are available for this notice.

 

http://www.sec.gov/rules/sro/phlx/phlxarchive/phlxarchive2003.shtml


Modified: 06/20/2008