34-53053
Jan. 5, 2006
SR-OCC-2003-13
Order Approving Proposed Rule Change To Establish a Comprehensive Standard of Care and Limitation of Liability With Respect to Clearing Members Comments Due: Rel. No. 34-52783 , Rel. No. 34-52783 Federal Register version (71 FR 2283)
34-53052
Jan. 5, 2006
SR-PCX-2004-46
Order Auctions on the Archipelago Exchange Comments Due: Rel. No. 34-49773 Federal Register version (71 FR 2100)
34-53050
Jan. 3, 2006
SR-Amex-2005-114
Order Granting Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Amex Initial Listing Standards Comments Due: Rel. No. 34-52804 Federal Register version (71 FR 1580)
34-53030
Dec. 28, 2005
SR-NASD-2005-066
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to NASD Rule 3011 and the Adoption of New Related Interpretive Material Comments Due: View Received Comments Rel. No. 34-51935 Federal Register version (71 FR 632)
34-53031
Dec. 28, 2005
SR-NASD-2005-120
Order Granting Accelerated Approval of Amendment No. 1 Thereto Relating to the Dissemination of TRACE Trade Information Comments Due: View Received Comments Rel. No. 34-52700 Federal Register version (71 FR 634)
34-53027
Dec. 27, 2005
SR-NASD-2005-117
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Seeking Permanent Approval of Rules Concerning Bond Mutual Fund Volatility Ratings Prior to Expiration of Pilot Comments Due: View Received Comments Rel. No. 34-52709 Federal Register version (71 FR 375)
34-53007
Dec. 22, 2005
SR-ISE-2005-48
Order Granting Approval of a Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to Market Maker Quote Interaction Comments Due: Rel. No. 34-52729 Federal Register version (70 FR 77214)
34-52951
Dec. 14, 2005
SR-NYSE-2004-39
Order Approving a Proposed Rule Change and Partial Amendment No. 1 To Amend Exchange Rule 431 (Margin Requirements) Comments Due: Rel. No. 34-52738 Federal Register version (70 FR 75523)
34-52950
Dec. 14, 2005
SR-CBOE-2004-53
Order Approving a Proposed Rule Change and Partial Amendment No. 1 Relating to Margin Requirements for Complex Options Spreads Comments Due: Rel. No. 34-52739 Federal Register version (70 FR 75512)
34-52902
Dec. 7, 2005
SR-NASD-2005-128
Order Approving a Proposed Rule Change To Establish Rules Governing the Operation of the INET System Comments Due: Rel. No. 34-52723 Federal Register version (70 FR 73810)
34-52922
Dec. 7, 2005
SR-FICC-2005-19
Order Approving Proposed Rule Changes to Require Members to Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation File Nos.: Comments Due: View Received Comments Rel. No. 34-52663 , and comments , Rel. No. 34-52664 , and comments , 34-52655.pdf Federal Register version (70 FR 74070)
34-52922
Dec. 7, 2005
SR-NSCC-2005-14
Order Approving Proposed Rule Changes to Require Members to Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation File Nos.: Comments Due: View Received Comments Rel. No. 34-52663 , and comments , Rel. No. 34-52664 , and comments , 34-52655.pdf Federal Register version (70 FR 74070)
34-52922
Dec. 7, 2005
SR-DTC-2005-16
Order Approving Proposed Rule Changes to Require Members to Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation File Nos.: Comments Due: View Received Comments Rel. No. 34-52663 , and comments , Rel. No. 34-52664 , and comments , 34-52655.pdf Federal Register version (70 FR 74070)
34-52896
Dec. 6, 2005
SR-NASD-2005-116
Order Approving Proposed Rule Change To Modify Nasdaq's Auditor Peer Review Requirement Comments Due: Rel. No. 34-52645 Federal Register version (70 FR 74074)
34-52897
Dec. 6, 2005
SR-NASD-2005-099
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Restated Certificate of Incorporation of The Nasdaq Stock Market, Inc. Comments Due: Rel. No. 34-52574 Federal Register version (70 FR 73500)
34-52900
Dec. 6, 2005
SR-OPRA-2005-04
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information ("OPRA Plan") to Amend Guideline No. 1 of the Best Bid and Offer Guidelines Adopted Pursuant to t Comments Due: Release No. 34-52714 Federal Register version (70 FR 74062)
34-52901
Dec. 6, 2005
SR-OPRA-2005-03
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Provide That Classes of Foreign Currency Options Newly Introduced for Trading on the Philadelphia Stock Exchange Be Treated as Equity/Index Options During a Temporary Period Ending on December 31, 2007 Comments Due: Release No. 34-52710 Federal Register version (70 FR 74061)
34-52893
Dec. 5, 2005
SR-Amex-2005-067
Order Approving Proposed Rule Change To Expand Its $2.50 Strike Price Interval Program Comments Due: Rel. No. 34-52690 Federal Register version (70 FR 73488)
34-52892
Dec. 5, 2005
SR-CBOE-2005-39
Order Approving Proposed Rule Change To Amend Its $2.50 Strike Price Interval Program Comments Due: View Received Comments Rel. No. 34-52689 Federal Register version (70 FR 73492)
34-52874
Dec. 1, 2005
SR-Amex-2005-097
Order Approving Proposed Rule Change Relating to the Amex Listing Agreement Comments Due: Rel. No. 34-52630 Federal Register version (70 FR 73317)
34-52850
Nov. 29, 2005
SR-NYSE-2004-51
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to a Proposed Interpretation to Rule 342 (Offices-Approval, Supervision, and Control) Comments Due: Rel. No. 34-52640 Federal Register version (70 FR 72484)
34-52853
Nov. 29, 2005
SR-FICC-2005-14
Order Granting Approval of a Proposed Rule Change Relating to the Federal Reserve's National Settlement System Comments Due: Rel. No. 34-52631 Federal Register version (70 FR 72682)
34-52838
Nov. 28, 2005
SR-NYSE-2005-66
Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto To Amend Rule 460 (Specialists Participating in Contests) Comments Due: Rel. No. 34-52688 Federal Register version (70 FR 72320)
34-52843
Nov. 28, 2005
SR-NYSE-2005-65
Order Granting Accelerated Approval of a Proposed Rule Change Regarding the Euro Currency Trust Comments Due: Rel. No. 34-52715 Federal Register version (70 FR 72486)
34-52842
Nov. 28, 2005
SR-NYSE-2005-50
Order Approving Proposed Rule Change Relating to Proposed Amendments to Rules 282 (Mandatory Buy-In), 284 (Procedure for Closing Defaulted Contract), 289 (Must Receive Delivery), and 290 (Defaulting Party May Deliver After Notice of Intention to Close) Comments Due: Rel. No. 34-52475 Federal Register version (70 FR 72321)
34-52837
Nov. 25, 2005
SR-Amex-2005-056
Order Granting Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Requirement That Registered Options Traders May Only Sign on to Auto-Ex for ETFs Traded by the Same or Adjoining Specialists and Shall Sign on to Auto-Ex for a Maximum of Fifteen ETFs Comments Due: Rel. No. 34-52505 Federal Register version (70 FR 72137)
34-52827
Nov. 23, 2005
SR-PCX-2005-56
Order Process and the Establishment of Designated Market Makers and Lead Market Makers Comments Due: Rel. No. 34-52566 Federal Register version (70 FR 72139)
34-52822
Nov. 22, 2005
SR-NYSE-2005-02
Order Granting Accelerated Approval to Amendment No. 4 to the Proposed Rule Change Relating to Exchange Rule 607 Comments Due: View Received Comments Rel. No. 34-51863 Federal Register version (70 FR 71583)
34-52814
Nov. 21, 2005
SR-PCX-2005-85
Order Approving Proposed Rule Change and Amendment Nos. 2 and 3 Thereto Relating to Exposure of Orders in the PCX Plus Crossing Mechanism Comments Due: Rel. No. 34-52542 Federal Register version (70 FR 71591)
34-52799
Nov. 18, 2005
SR-NASD-2005-084
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Rule Regarding Supervisory Control Systems, Rule 3012, To Require Notification of Reliance on "Limited Size and Resources" Exception Comments Due: View Received Comments Rel. No. 34-52195 Federal Register version (70 FR 71573)
34-52807
Nov. 18, 2005
SR-NSX-2005-06
Order Approving Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, To Amend the Exchange's Customer Priority Rule To Require Designated Dealers To Implement and Maintain Automated Compliance Systems Comments Due: Rel. No. 34-52576 Federal Register version (70 FR 71352)
34-52798
Nov. 18, 2005
SR-CBOE-2005-46
Order Granting Accelerated Approval to Amendments No. 2 and 4 Thereto Relating to the Removal of Agency Responsibilities From Designated Primary Market-Makers and the Establishment of PAR Officials Comments Due: Rel. No. 34-52017 Federal Register version (70 FR 71344)
34-52782
Nov. 16, 2005
SR-Amex-2004-74
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Elimination of Commentary .01(5) to Amex Rule 916 and Amendment to Amex Rules Relating to the Definition of "NMS Stock" Comments Due: Rel. No. 34-52563 Federal Register version (70 FR 70901)
34-52786
Nov. 16, 2005
SR-NASD-2005-011
Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto To Limit the Eligibility for Quotation on the OTCBB of the Securities of an Issuer That Is Repeatedly Delinquent in Its Periodic Reporting Obligations Comments Due: View Received Comments Rel. No. 34-52291 Federal Register version (70 FR 70907)
34-52780
Nov. 16, 2005
SR-NYSE-2004-64
Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change Relating to Exchange Rule 342 ("Offices-Approval, Supervision and Control") Comments Due: View Received Comments Rel. No. 34-52259 Federal Register version (70 FR 71354)
34-52784
Nov. 16, 2005
SR-DTC-2005-08
Order Granting Approval of a Proposed Rule Change Relating to the New Canadian Link Service Comments Due: Rel. No. 34-52471 Federal Register version (70 FR 70902)
34-52779
Nov. 16, 2005
SR-CBOE-2004-37
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Deletion of Interpretation and Policy .01(e) to CBOE Rule 5.4 Comments Due: Rel. No. 34-52562 Federal Register version (70 FR 70902)
34-52774
Nov. 15, 2005
SR-NSX-2005-07
Order Approving Proposed Rule Change, and Amendment Nos. 1, 2, and 3, Thereto, Relating to the Creation of a Regulatory Oversight Committee Comments Due: Rel. No. 34-52573 Federal Register version (70 FR 70648)
34-52772
Nov. 14, 2005
SR-NSCC-2005-13
Order Approving Proposed Rule Change To Modify and Consolidate Clearing Fund Rules Comments Due: View Received Comments Rel. No. 34-52552 Federal Register version (70 FR 70647)
34-52768
Nov. 10, 2005
SR-NYSE-2005-64
Order Approving Proposed Rule Change to Add Rules Regarding Time Tracking Requirements of Specialists and Specialist Organizations to Its Minor Rule Violation Plan Comments Due: Rel. No. 34-52550 Federal Register version (70 FR 70014)
34-52746
Nov. 7, 2005
SR-NASD-2005-106
Order Approving Proposed Rule Change Regarding Fees for Closed-End Funds Listing on the Nasdaq Capital Market Comments Due: Rel. No. 34-52515 Federal Register version (70 FR 69180)
34-52732
Nov. 3, 2005
SR-PCX-2005-98
Order Access Comments Due: Rel. No. 34-52523 Federal Register version (70 FR 68505)
34-52719
Nov. 2, 2005
SR-PCX-2005-73
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Establishment of a Portfolio Crossing Service on the Archipelago Exchange Comments Due: Rel. No. 34-52472 Federal Register version (70 FR 68503)
34-52712
Nov. 1, 2005
SR-NASD-2004-162
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Establish Fee and Notice Requirements for Substitution Listing Events and Other Corporate Changes Comments Due: Rel. No. 34-52430 Federal Register version (70 FR 67511)
34-52711
Nov. 1, 2005
SR-ISE-2004-04
Order Mechanisms Comments Due: Rel. No. 34-52479 Federal Register version (70 FR 67508)
34-52705
Oct. 31, 2005
SR-NASD-2004-013
Order Granting Approval to Proposed Rule Change and Amendments Nos. 1 and 2 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3, to Amend NASD Rules for Mediation Proceedings Comments Due: Rel. No. 34-51609 Federal Register version (70 FR 67525)
34-52692
Oct. 28, 2005
SR-NASD-2005-064
Order Granting Approval of Proposed Rule Change as Amended by Amendment No. 1 Relating to the Publication of Decisions Issued by the National Adjudicatory Council Pursuant to NASD Rule 1015 Comments Due: View Received Comments Rel. No. 34-51786 Federal Register version (70 FR 66876)
34-52696
Oct. 28, 2005
SR-NYSE-2005-35
Order Approving a Proposed Rule Change Relating to Changes to Listed Company Manual Section 902.00 Regarding Listing Fees Comments Due: Rel. No. 34-52463 Federal Register version (70 FR 66881)
34-52683
Oct. 26, 2005
SR-NYSE-2005-62
Order Granting Approval to Proposed Rule Change Relating to Trade Shredding Comments Due: Rel. No. 34-52435 Federal Register version (70 FR 66480)
34-52667
Oct. 25, 2005
SR-Phlx-2005-25
Order Granting Approval to a Proposed Rule Change and Amendments No. 2, 3, and 5 Thereto Relating to the Adoption of New Rules That Would Establish an Automated Opening System on the Exchange Comments Due: Rel. No. 34-52448 Federal Register version (70 FR 65953)
34-52658
Oct. 24, 2005
SR-NASD-2005-046
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Amending the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims Comments Due: View Received Comments Rel. No. 34-51921 Federal Register version (70 FR 62362)
34-52656
Oct. 24, 2005
4-429
Order Approving Amendment No. 16 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Definition of Firm Customer Quote Size and Limitations on Sending Secondary P/A Orders View Received Comments Federal Register version (70 FR 66477)
34-52657
Oct. 24, 2005
SR-Phlx-2005-27
Order Approving a Proposed Rule Change and Amendment No. 1 by the American Stock Exchange LLC; a Proposed Rule Change by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Incorporated; a Proposed Rule Change and Amendment No. 1 by the International Securities Exchange, Inc.; a Proposed Rule Change by the Pacific Exchange, Inc.; and a Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to the Definition of Firm Customer Quote Size and Limitations on Sending Secondary P/A Orders File Nos.: Comments Due: Rel. No. 34-52424 , Rel. No. 34-52410 , Rel. No. 34-52427 , Rel. No. 34-52425 , Rel. No. 34-52428 , Rel. No. 34-52429 Federal Register version (70 FR 65941)
34-52657
Oct. 24, 2005
SR-ISE-2005-42
Order Approving a Proposed Rule Change and Amendment No. 1 by the American Stock Exchange LLC; a Proposed Rule Change by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Incorporated; a Proposed Rule Change and Amendment No. 1 by the International Securities Exchange, Inc.; a Proposed Rule Change by the Pacific Exchange, Inc.; and a Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to the Definition of Firm Customer Quote Size and Limitations on Sending Secondary P/A Orders File Nos.: Comments Due: Rel. No. 34-52424 , Rel. No. 34-52410 , Rel. No. 34-52427 , Rel. No. 34-52425 , Rel. No. 34-52428 , Rel. No. 34-52429 Federal Register version (70 FR 65941)
34-52657
Oct. 24, 2005
SR-BSE-2005-39
Order Approving a Proposed Rule Change and Amendment No. 1 by the American Stock Exchange LLC; a Proposed Rule Change by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Incorporated; a Proposed Rule Change and Amendment No. 1 by the International Securities Exchange, Inc.; a Proposed Rule Change by the Pacific Exchange, Inc.; and a Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to the Definition of Firm Customer Quote Size and Limitations on Sending Secondary P/A Orders File Nos.: Comments Due: Rel. No. 34-52424 , Rel. No. 34-52410 , Rel. No. 34-52427 , Rel. No. 34-52425 , Rel. No. 34-52428 , Rel. No. 34-52429 Federal Register version (70 FR 65941)
34-52657
Oct. 24, 2005
SR-PCX-2005-104
Order Approving a Proposed Rule Change and Amendment No. 1 by the American Stock Exchange LLC; a Proposed Rule Change by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Incorporated; a Proposed Rule Change and Amendment No. 1 by the International Securities Exchange, Inc.; a Proposed Rule Change by the Pacific Exchange, Inc.; and a Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to the Definition of Firm Customer Quote Size and Limitations on Sending Secondary P/A Orders File Nos.: Comments Due: Rel. No. 34-52424 , Rel. No. 34-52410 , Rel. No. 34-52427 , Rel. No. 34-52425 , Rel. No. 34-52428 , Rel. No. 34-52429 Federal Register version (70 FR 65941)
34-52657
Oct. 24, 2005
SR-CBOE-2005-68
Order Approving a Proposed Rule Change and Amendment No. 1 by the American Stock Exchange LLC; a Proposed Rule Change by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Incorporated; a Proposed Rule Change and Amendment No. 1 by the International Securities Exchange, Inc.; a Proposed Rule Change by the Pacific Exchange, Inc.; and a Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to the Definition of Firm Customer Quote Size and Limitations on Sending Secondary P/A Orders File Nos.: Comments Due: Rel. No. 34-52424 , Rel. No. 34-52410 , Rel. No. 34-52427 , Rel. No. 34-52425 , Rel. No. 34-52428 , Rel. No. 34-52429 Federal Register version (70 FR 65941)
34-52657
Oct. 24, 2005
SR-Amex-2005-047
Order Approving a Proposed Rule Change and Amendment No. 1 by the American Stock Exchange LLC; a Proposed Rule Change by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Incorporated; a Proposed Rule Change and Amendment No. 1 by the International Securities Exchange, Inc.; a Proposed Rule Change by the Pacific Exchange, Inc.; and a Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to the Definition of Firm Customer Quote Size and Limitations on Sending Secondary P/A Orders File Nos.: Comments Due: Rel. No. 34-52424 , Rel. No. 34-52410 , Rel. No. 34-52427 , Rel. No. 34-52425 , Rel. No. 34-52428 , Rel. No. 34-52429 Federal Register version (70 FR 65941)
34-52651
Oct. 21, 2005
SR-SCCP-2004-03
Order Granting Approval of a Proposed Rule Change Relating to Anonymous Features on Trading Systems Comments Due: Rel. No. 34-52201 Federal Register version (70 FR 65956)
34-52649
Oct. 21, 2005
SR-Amex-2005-063
Order Approving Proposed Rule Change Relating to the Elimination of Position and Exercise Limits on NDX Options Comments Due: Rel. No. 34-52312 Federal Register version (70 FR 62146)
34-52652
Oct. 21, 2005
SR-CHX-2004-17
Order Granting Approval to Proposed Rule Change to Amend Article XX, Rule 37(a)(3) to Eliminate its Requirement that Specialists Guarantee Execution of Limit Orders When Certain Conditions Occur in Another Market Comments Due: Rel. No. 34-51997
34-52650
Oct. 21, 2005
SR-CBOE-2005-41
Order Approving Proposed Rule Change Relating to the Elimination of Position and Exercise Limits on NDX Options Comments Due: Rel. No. 34-52313 Federal Register version (70 FR 62147)
34-52646
Oct. 20, 2005
SR-Amex-2005-068
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to Amex Rules 26 and 27 Comments Due: Rel. No. 34-52334 Federal Register version (70 FR 61854)
34-52632
Oct. 19, 2005
SR-CHX-2005-21
Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Requiring the Chicago Stock Exchange's Participants To Provide Electronic Mail Addresses to the Exchange Comments Due: Rel. No. 34-52375 Federal Register version (70 FR 61671)
34-52603
Oct. 13, 2005
SR-NASD-2005-082
Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Clarify the Listing Standards Applicable to Companies in Bankruptcy Proceedings Comments Due: Rel. No. 34-52385 Federal Register version (70 FR 61163)
34-52592
Oct. 12, 2005
SR-Amex-2004-76
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Contingency Trading Procedures Comments Due: Rel. No. 34-52360 Federal Register version (70 FR 60583)
34-52579
Oct. 7, 2005
SR-NYSE-2004-73
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Amend NYSE Rule 440A Relating to Telephone Solicitation Comments Due: Rel. No. 34-52308 Federal Register version (70 FR 60119)
34-52578
Oct. 7, 2005
SR-ISE-2005-27
Order Granting Accelerated Approval to Amendment No. 4 to the Proposed Rule Change Relating to Listing Standards for Broad-Based Index Options Comments Due: Rel. No. 34-52084 Federal Register version (70 FR 60590)
34-52556
Oct. 4, 2005
SR-CHX-2005-20
Order Granting Approval to Proposed Rule Change Relating to Participant Fees and Credits Comments Due: Rel. No. 34-52200 Federal Register version (70 FR 59384)
34-52553
Oct. 3, 2005
SR-Amex-2004-62
Order Granting Accelerated Approval of Amendment No. 4 Relating to Listing and Trading of Shares of the xtraShares Trust Comments Due: Rel. No. 34-52197 Federal Register version (70 FR 59100)
34-52555
Oct. 3, 2005
SR-MSRB-2005-02
Order Approving Proposed Rule Change Relating to Amendments to MSRB Rule G-20, on Gifts and Gratuities, and MSRB Rule G-8, on Recordkeeping Comments Due: View Received Comments Rel. No. 34-52290 Federal Register version (70 FR 59106)
34-52544
Sept. 30, 2005
SR-NASD-2005-030
Order Granting Accelerated Approval to Amendment No. 2 to the Proposed Rule Change Relating to the Proposed Uniform Branch Office Registration Form ("Form BR") and Amendments to the Uniform Application for Securities Industry Registration or Transfer ("Form U4") and the Uniform Termination Notice for Securities Industry Registration ("Form U5") Comments Due: View Received Comments Rel. No. 34-51742 Federal Register version (70 FR 58764)
34-52543
Sept. 30, 2005
SR-NYSE-2005-13
Order Approving Proposed Rule Change Relating to the Proposed Uniform Branch Office Registration Form ("Form BR") Comments Due: Rel. No. 34-51923 Federal Register version (70 FR 58771)
34-52527
Sept. 29, 2005
SR-Amex-2005-052
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to the Integration of Regulatory Staff into Floor Official Rulings and the Review of Floor Official Rulings and Expediting the Process for Appealing Floor Official Ruling Comments Due: Rel. No. 34-52325 Federal Register version (70 FR 58246)
34-52526
Sept. 29, 2005
SR-NASD-2005-057
Order Approving Proposed Rule Change Relating to Summary Orders in the Nasdaq Market Center Comments Due: Rel. No. 34-52303 Federal Register version (70 FR 58248)
34-52534
Sept. 29, 2005
SR-CHX-2004-25
Order Granting Accelerated Approval to Amendment No. 4 Thereto Relating to a Prohibition on Using a Layoff Service Unless the Service Provides Required Information to the Exchange Comments Due: Rel. No. 34-52248 , Rel. No. 34-51967 Federal Register version (70 FR 58500)
34-52521
Sept. 28, 2005
SR-NASD-00-23
Order Granting Accelerated Approval to Amendment No. 3 Comments Due: View Received Comments Rel. No. 34-51890 Federal Register version (70 FR 57909)
34-52516
Sept. 27, 2005
SR-Amex-2005-078
Order Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto To Temporarily Suspend Specialist Transaction Charges for the Nasdaq-100 Index Tracking Stock (QQQQ) Comments Due: Rel. No. 34-52273 Federal Register version (70 FR 58247)
34-52517
Sept. 27, 2005
SR-NASD-2005-059
Order Granting Accelerated Approval to Amendment No. 2 to the Proposed Rule Change, To Amend NASD Rule 7090 To Modify the Annual Listing and Administrative Fees Comments Due: View Received Comments Rel. No. 34-51836 Federal Register version (70 FR 57908)
34-52508
Sept. 26, 2005
SR-NASD-2005-089
Order Granting Accelerated Approval to Amendment Nos. 2, 3, and 4 Thereto, Relating to NASD's Direct Authority for the Activities Related to or in Support of Trading in Over-the-Counter Equity Securities Comments Due: View Received Comments Rel. No. 34-52119 Federal Register version (70 FR 57346)
34-52503
Sept. 23, 2005
SR-Amex-2005-066
Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Exchange's Determination of the National Best Bid or Offer When Another Exchange Is Disconnected From the Intermarket Option Linkage Comments Due: View Received Comments Rel. No. 34-52270 Federal Register version (70 FR 57338)
34-52501
Sept. 23, 2005
SR-BSE-2005-30
Order Approving a Proposed Rule Change and Amendment No. 2 Thereto Relating to the Removal of Unreliable Quotes From the Exchange's Determination of the National Best Bid or Offer View Received Comments Rel. No. 34-52296 Federal Register version (70 FR 57339)
34-52502
Sept. 23, 2005
SR-PCX-2005-19
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed New Listing Fees Comments Due: Rel. No. 34-52225 Federal Register version (70 FR 57348)
34-52495
Sept. 22, 2005
SR-Phlx-2005-14
Order Matching at the Opening in PACE Comments Due: Rel. No. 34-52239 Federal Register version (70 FR 56961)
34-52497
Sept. 22, 2005
SR-PCX-2005-90
Order Granting Accelerated Approval to Amendment No. 2 to the Proposed Rule Change To Amend the Certificate of Incorporation of PCX Holdings, Inc., PCX Rules, and the Bylaws of Archipelago Holdings, Inc. in Relation to the Acquisition of PCX Holdings by Archipelago Holdings Comments Due: View Received Comments Rel. No. 34-52249 , Inc. , Proposed PCX Rules , Inc. , Amendment No. 2 Federal Register version (70 FR 56949)
34-52496
Sept. 22, 2005
SR-MSRB-2005-12
Order Approving Proposed Rule Change Concerning Solicitation and Coordination of Payments to Political Parties and Question and Answer Guidance on Supervisory Procedures Related to Rule G-37(d) on Indirect Violations Comments Due: View Received Comments Rel. No. 34-52235 Federal Register version (70 FR 56944)
34-52446
Sept. 15, 2005
SR-NSCC-2005-05
Order Approving Proposed Rule Change To Establish a Fine for Members Failing To Conduct Connectivity Testing File Nos.: Comments Due: Rel. No. 34-52043 Federal Register version (70 FR 55435)
34-52450
Sept. 15, 2005
SR-DTC-2005-07
Order Approving Proposed Rule Change To Expand DTC's Inventory Management System Comments Due: Rel. No. 34-52123 Federal Register version (70 FR 55641)
34-52426
Sept. 14, 2005
SR-NASD-2005-093
Order of Summary Abrogation Relating to the Re-adoption of NASD Rule 3370 Comments Due: View Received Comments Rel. No. 34-52131
34-52421
Sept. 14, 2005
SR-NYSE-2005-54
Order Imbalances on Expiration Fridays Comments Due: Rel. No. 34-52255 Federal Register version (70 FR 55199)
34-52414
Sept. 13, 2005
SR-Amex-2005-046
Order Approving a Proposed Rule Change and Amendment No. 1 Thereto To Amend the Exchange's Trade-Through and Locked Markets Rules Comments Due: Rel. No. 34-52172 Federal Register version (70 FR 55186)
34-52415
Sept. 13, 2005
SR-BSE-2005-29
Order Approving a Proposed Rule Change To Amend the Exchange's Trade-Through and Locked Markets Rules Rel. No. 34-52205 Federal Register version (70 FR 55189)
34-52416
Sept. 13, 2005
SR-Phlx-2005-26
Order Approving a Proposed Rule Change and Amendment No. 1 Thereto To Amend the Exchange's Trade-Through and Locked Markets Rules Comments Due: Rel. No. 34-52175 Federal Register version (70 FR 55202)
34-52417
Sept. 13, 2005
SR-PCX-2005-59
Order Approving a Proposed Rule Change and Amendments No. 1 and 3 Thereto To Amend the Exchange's Trade-Through and Locked Markets Rules Comments Due: Rel. No. 34-52206 Federal Register version (70 FR 55200)
34-52413
Sept. 13, 2005
4-429
Order Approving Amendment No. 15 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to a "Trade and Ship" Exception to the Definition of "Trade-Through" and a "Book and Ship" Exception to the Locked Markets Provision View Received Comments Federal Register version (70 FR 55185)
34-52418
Sept. 13, 2005
SR-ISE-2005-33
Order Approving a Proposed Rule Change To Amend the Exchange's Trade-Through and Locked Markets Rules Comments Due: Rel. No. 34-52174 Federal Register version (70 FR 55197)
34-52419
Sept. 13, 2005
SR-CBOE-2005-51
Order Approving a Proposed Rule Change and Amendment No. 1 Thereto To Amend the Exchange's Trade-Through and Locked Markets Rules Comments Due: Rel. No. 34-52173 Federal Register version (70 FR 55192)
34-52408
Sept. 12, 2005
SR-Amex-2005-024
Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Establish a Process for the Waiver, Deferral, or Rebate of Listing Fees for Certain Closed-End Funds Comments Due: Rel. No. 34-52216 Federal Register version (70 FR 54971)
34-52404
Sept. 9, 2005
SR-BSE-2005-21
Order Approving Proposed Rule Change Relating to a Proposal To Transfer a Portion of Its Ownership Interest in Boston Options Exchange Facility Rel. No. 34-52169 Federal Register version (70 FR 55188)
34-52403
Sept. 9, 2005
SR-NASD-2003-104
Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5 and 6 Thereto Relating to Proposed Uniform Definition of "Branch Office" Under NASD Rule 3010(g)(2) View Received Comments Rel. No. 34-48897 Federal Register version (70 FR 54782)
