34-52016
July 12, 2005
SR-NYSE-2005-29
Order Granting Approval of a Proposed Rule Change To Remove Incorrect Reference in Its Rule Relating to Failure To Honor an Arbitration Award View Received Comments Rel. No. 34-51622 Federal Register version (70 FR 41466)
34-52011
July 12, 2005
SR-CBOE-2004-63
Order Granting Accelerated Approval to Amendment No. 2 Thereto To List and Trade Short Term Option Series Comments Due: View Received Comments Rel. No. 34-51172 Federal Register version (70 FR 41451)
34-52007
July 11, 2005
SR-NSX-2005-02
Order Granting Approval to Proposed Rule Change, and Amendments No. 1 and 2 Thereto, Relating to the Composition of NSX's Board of Directors and Committees Rel. No. 34-51765 Federal Register version (70 FR 41248)
34-51996
July 8, 2005
SR-Phlx-2005-02
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Volume Weighted Average Price Crosses Rel. No. 34-51731 Federal Register version (70 FR 40772)
34-52001
July 8, 2005
4-208
Intermarket Trading System; Order Granting Approval of the Twenty First Amendment to the ITS Plan Relating to the Recognition of the Automatic Generation of Outgoing ITS Commitments Comments Due: Federal Register version (70 FR 40756)
34-51984
July 7, 2005
SR-Phlx-2005-37
Order of Summary Abrogation Rel. No. 34-51909
34-51992
July 7, 2005
SR-CBOE-2005-24
Order Approving Proposed Rule Change Relating to the Assignment of RAES Orders to Logged-In Market-Makers Participating on RAES Comments Due: Rel. No. 34-51684 Federal Register version (70 FR 40759)
34-51993
July 7, 2005
SR-CBOE-2005-29
Order Granting Approval to Proposed Rule Change Relating to the Composition of the CBOE's Modified Trading System Appointments Committee Rel. No. 34-51704 Federal Register version (70 FR 41062)
34-51973
July 5, 2005
SR-NYSE-2004-62
Order Granting Accelerated Approval to Amendment No. 3 Thereto To Eliminate Rule 496 and To Amend the Listed Company Manual Relating to Transfer Agents Comments Due: View Received Comments Rel. No. 34-51372 Federal Register version (70 FR 40094)
34-51931
June 28, 2005
SR-NASD-2005-052
Order Approving Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to Honorarium for Arbitrators Deciding Discovery-Related Motions Comments Due: View Received Comments Rel. No. 34-51693 Federal Register version (70 FR 38989)
34-51926
June 27, 2005
SR-Phlx-2004-65
Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Relating to Back-up Trading Arrangements Rel. No. 34-51718 Federal Register version (70 FR 38232)
34-51913
June 23, 2005
SR-ISE-2004-28
Order Approving Proposed Rule Change and Amendments No. 1 and 2 Relating to Trading Options on Full and Reduced Values of the ISE 250 Index, the ISE 100 Index and the ISE 50 Index, Including Long-Term Options Comments Due: Rel. No. 34-51447 Federal Register version (70 FR 38220)
34-51907
June 22, 2005
SR-NYSE-2004-13
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") Comments Due: View Received Comments Rel. No. 34-50586 Federal Register version (70 FR 37458)
34-51908
June 22, 2005
SR-FICC-2004-15
Order Granting Approval of a Proposed Rule Change Relating to Trade Submission Requirements and Pre-Netting Comments Due: View Received Comments Rel. No. 34-51365 , Rel. No. 34-50607 Federal Register version (70 FR 37450)
34-51898
June 21, 2005
SR-Amex-2005-28
Order Granting Approval to Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto To Amend Sections 1101, 134, and 1003 of the Amex Company Guide To Make Clarifying and Simplifying Changes Relating To Filing and Notice Requirements With the Exchange Applicable to Amex Listed Issuers Comments Due: Rel. No. 34-51681 Federal Register version (70 FR 37138)
34-51891
June 21, 2005
SR-NASD-2004-139
Order Granting Accelerated Approval to Amendment No. 2 Relating to the Listing and Trading of Leveraged Index Return Notes Linked to the Dow Jones Industrial Average Comments Due: Federal Register version (70 FR 36982)
34-51896
June 21, 2005
SR-FICC-2004-22
Order Approving a Proposed Rule Change Establishing a Sponsored Membership Program Comments Due: Rel. No. 34-51659 Federal Register version (70 FR 36981)
34-51879
June 20, 2005
SR-BSE-2004-58
Order Approving Proposed Rule Change, and Amendments No. 1, 2, 3, and 4 Thereto, Relating to the Composition of the Board of Directors and Executive Committee of Boston Options Exchange Regulation LLC Rel. No. 34-51388 Federal Register version (70 FR 36673)
34-51873
June 17, 2005
SR-Amex-2005-033
Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Amend Rule 918-ANTE(a)(4) Regarding Closing Rotations Comments Due: Rel. No. 34-51671 Federal Register version (70 FR 36671)
34-51871
June 17, 2005
SR-NSCC-2005-03
Order Granting Approval of a Proposed Rule Change Relating to the Collecting of Fees for Services Provided by Other Entities Rel. No. 34-51674 Federal Register version (70 FR 36683)
34-51875
June 17, 2005
SR-FICC-2005-01
Order Approving a Proposed Rule Change Relating to Timely Notification of Significant Events That Effect a Change in Control of a Member or Could Have a Substantial Impact on a Member's Business or Financial Condition Comments Due: Rel. No. 34-51643 Federal Register version (70 FR 36679)
34-51870
June 17, 2005
SR-DTC-2005-03
Order Granting Approval of a Proposed Rule Change Relating to a Modification of the Fee Structure Comments Due: Rel. No. 34-51675 Federal Register version (70 FR 36678)
34-51862
June 16, 2005
SR-NASD-2005-039
Order Approving Proposed Rule Change to Incorporate the Brut System Book Feed Into the TotalView Entitlement Comments Due: Rel. No. 34-51683 Federal Register version (70 FR 36426)
34-51827
June 13, 2005
SR-Phlx-2005-20
Order Granting Approval to Proposed Rule Change, and Amendment No. 1 Thereto, Relating to the Elimination of the Prohibition Against the Entry of Multiple Orders in an Option Within Any 15-Second Period for an Account or Accounts of the Same Beneficial Owner Rel. No. 34-51640 Federal Register version (70 FR 35491)
34-51826
June 13, 2005
SR-OCC-2004-17
Order Granting Approval of a Proposed Rule Change Relating to Calculating Net Capital Under OCC Rule 307 Comments Due: Rel. No. 34-51521 , Rel. No. 34-51521 Federal Register version (70 FR 35755)
34-51821
June 10, 2005
SR-BSE-2004-51
Order Granting Accelerated Approval to Amendment No. 4 Thereto Relating to the Trading of Market Orders on the Boston Options Exchange Rel. No. 34-51597 Federal Register version (70 FR 35143)
34-51822
June 10, 2005
SR-CBOE-2004-87
Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to Trading Rules on the Hybrid System for Index Options and Options on ETFs Comments Due: Rel. No. 34-51680 Federal Register version (70 FR 35321)
34-51814
June 9, 2005
SR-NASD-2004-185
Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Establish a Unitary Fee Schedule for Distribution of Real Time Data Feed Products Containing Nasdaq Market Center Data Comments Due: View Received Comments Rel. No. 34-51598 Federal Register version (70 FR 35151)
34-51813
June 9, 2005
SR-NYSE-2004-20
Order Granting Accelerated Approval to Amendment No. 8 Thereto to Amend Its Original and Continued Quantitative Listing Standards Comments Due: View Received Comments Rel. No. 34-51332 , Rel. No. 34-49917 Federal Register version (70 FR 35484)
34-51796
June 7, 2005
SR-Amex-2005-037
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to When Floor Official Approval for a Transaction in a High-Priced Security Is Necessary Comments Due: Rel. No. 34-51621 Federal Register version (70 FR 34509)
34-51799
June 7, 2005
SR-PCX-2005-27
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Exchange's Calculation of the National Best Bid or Offer When Another Market Is Disconnected From the Intermarket Option Linkage Rel. No. 34-51627 Federal Register version (70 FR 34514)
34-51790
June 6, 2005
SR-NYSE-2004-42
Order Approving 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 Comments Due: View Received Comments Rel. No. 34-51613 Federal Register version (70 FR 34172)
34-51777
June 2, 2005
SR-NYSE-2004-49
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 Comments Due: View Received Comments Rel. No. 34-50982 , Rel. No. 34-50452 Federal Register version (70 FR 33573)
34-51779
June 2, 2005
SR-CBOE-2004-71
Order Granting Accelerated Approval to Amendment No. 1 Thereto To Modify the Distribution of the DPM Participation Entitlement for Orders Specifying a Preferred DPM Under CBOE Rule 8.87 Comments Due: View Received Comments Rel. No. 34-50732 Federal Register version (70 FR 33564)
34-51766
May 31, 2005
SR-CBOE-2004-54
Order Approving a Proposed Rule Change and Partial Amendment No. 1 To Amend Rules Relating to Margin Treatment on Stock Transactions Effected by an Options Market Maker to Hedge Options Positions Comments Due: Rel. No. 34-51497 Federal Register version (70 FR 33230)
34-51759
May 27, 2005
SR-Phlx-2004-91
Order Process for Orders Delivered to the Phlx Via AUTOM Comments Due: View Received Comments Rel. No. 34-50856 Federal Register version (70 FR 32860)
34-51753
May 27, 2005
SR-NSCC-2005-02
Order Approving Proposed Rule Change To Enhance Automated Customer Account Transfer Service To Permit the Automated Notification of Changes to the Broker-Dealer of Record for Applicable Insurance Products Rel. No. 34-51541 Federal Register version (70 FR 32859)
34-51754
May 27, 2005
SR-FICC-2005-07
Order Approving Proposed Rule Change To Establish a Firm Deadline by which Members of the Government Securities Division Must Satisfy Clearing Fund Deficiencies Comments Due: Rel. No. 34-51550 Federal Register version (70 FR 32858)
34-51748
May 26, 2005
SR-NASD-2005-024
Order Approving Proposed Rule Change and Amendment No. 1 Relating to Dissemination of the Underlying Index Value for Portfolio Depository Receipts and Index Fund Shares Comments Due: Rel. No. 34-51559 Federal Register version (70 FR 32684)
34-51745
May 26, 2005
SR-NSCC-2005-04
Order Granting Accelerated Approval of a Proposed Rule Change To Establish a Confirmation and Matching Service for Over-the-Counter U.S. Equity Options Transactions Rel. No. 34-51649 Federal Register version (70 FR 33570)
34-51741
May 25, 2005
SR-NASD-2005-054
Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Certain Amendments to the Restated Certificate of Incorporation and the By-Laws of The Nasdaq Stock Market, Inc Comments Due: Rel. No. 34-51626 Federal Register version (70 FR 31558)
34-51743
May 25, 2005
SR-CBOE-2005-21
Order Granting Approval of Proposed Rule Change Relating to the Exchange's Calculation of the National Best Bid or Offer When Another Exchange Is Disconnected From the Intermarket Option Linkage Comments Due: Rel. No. 34-51540 Federal Register version (70 FR 32386)
34-51736
May 24, 2005
SR-MSRB-2004-09
Order Approving Proposed Rule Change Relating to Advertisements of Municipal Fund Securities Under MSRB Rule G-21 Comments Due: View Received Comments Rel. No. 34-50919 Federal Register version (70 FR 31551)
34-51733
May 24, 2005
SR-CBOE-2005-19
Order Granting Approval to Proposed Rule Change as Amended By Amendment Nos. 1, 2, and 3 Thereto Relating to an Interpretation of Paragraph (b) of Article Fifth of Its Certificate of Incorporation and an Amendment to Rule 3.16(b) Comments Due: View Received Comments Rel. No. 34-51463 Federal Register version (70 FR 30981)
34-51715
May 19, 2005
SR-Phlx-2004-83
Order Granting Accelerated Approval to Amendment No. 2 Thereto Relating to the Matching of Certain Incoming Orders With Certain Phlx Existing Orders Through the PACE System Comments Due: Rel. No. 34-51394 Federal Register version (70 FR 30170)
34-51721
May 19, 2005
4-429
Order Approving Joint Amendment No. 14 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Limitation in Liability for Filling Satisfaction Orders Sent Through the Linkage at the End of View Received Comments Federal Register version (70 FR 30498)
34-51716
May 19, 2005
SR-OPRA-2005-01
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Clarify How the Requirements of the OPRA Plan Pertaining to Vendors Apply to Persons Who Redis Comments Due: Federal Register version (70 FR 30499)
34-51717
May 19, 2005
SR-CBOE-2004-59
Order Granting Accelerated Approval to Amendment Nos. 4 and 5 Relating to Back-Up Trading Arrangements Comments Due: Rel. No. 34-51510 Federal Register version (70 FR 30160)
34-51703
May 18, 2005
SR-NASD-2004-033
Order Approving a Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Seeking to Modify the Nasdaq Market Center Execution Service To Add an Optional Routing Feature Comments Due: Rel. No. 34-51504 Federal Register version (70 FR 30166)
34-51691
May 12, 2005
SR-CSE-2003-06
Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change Relating to Corporate Governance of Listed Issuers Federal Register version (70 FR 28973)
34-51692
May 12, 2005
SR-CHX-2005-04
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, To Clarify That Specialists May Not Charge Commissions With Respect to the Execution of CHXpress Orders Comments Due: Rel. No. 34-51465 Federal Register version (70 FR 28969)
34-51682
May 11, 2005
SR-ISE-2004-27
Order Approving Proposed Rule Change and Amendments No. 1 and No. 2 Relating to Trading Options on Reduced Values of the NYSE U.S. 100 Index, the NYSE International 100 Index, the NYSE World Leaders Index, and the NYSE TMT Index, Including Long-Term Options Comments Due: Rel. No. 34-51410 Federal Register version (70 FR 28338)
34-51667
May 9, 2005
SR-PCX-2004-72
Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to Clearly Erroneous Executions on the Archipelago Exchange Comments Due: Rel. No. 34-51280 Federal Register version (70 FR 25640)
34-51669
May 9, 2005
SR-ISE-2004-28
Order Approving Proposed Rule Change To Establish a Comprehensive Standard of Care and Limitation of Liability to Its Members Rel. No. 34-51458 Federal Register version (70 FR 25634)
34-51666
May 9, 2005
SR-ISE-2003-07
Order Granting Accelerated Approval of Amendment Nos. 2, 3, 4, and 5 Thereto Relating to the Pricing of Block and Facilitation Trades View Received Comments Rel. No. 34-49056 Federal Register version (70 FR 25631)
34-51673
May 9, 2005
SR-FICC-2005-06
Order Approving Proposed Rule Change To Change the Minimum Margin Deficiency Call Amount for Participants in Its Mortgage-Backed Securities Division Comments Due: Rel. No. 34-51441 Federal Register version (70 FR 25869)
34-51670
May 9, 2005
SR-CBOE-2005-27
Order Approving a Proposed Rule Change Relating to the Hybrid Opening System Comments Due: Rel. No. 34-51459 Federal Register version (70 FR 28338)
34-51663
May 6, 2005
SR-ISE-2004-40
Order Granting Approval to Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Relating to Procedures for the Allocation of Options on Index-Based Products Comments Due: Rel. No. 34-51443 Federal Register version (70 FR 25132)
34-51658
May 5, 2005
SR-NASD-2005-033
Order Granting Approval of Proposed Rule Change Relating to Taping Rule "Opt Out" and Exemption Provisions Comments Due: Rel. No. 34-51434 Federal Register version (70 FR 24848)
34-51651
May 3, 2005
SR-BSE-2005-01
Order Approving Proposed Rule Change, and Amendment No. 1 Thereto, Relating to the Price Improvement Period Under the Rules of the Boston Options Exchange Facility Rel. No. 34-51418 Federal Register version (70 FR 24848)
34-51637
April 29, 2005
SR-PCX-2005-17
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. Relating to the Deletion of Obsolete or Unnecessary Rules Rel. No. 34-51392 Federal Register version (70 FR 24154)
34-51637
April 29, 2005
SR-PCX-2004-65
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. Relating to the Deletion of Obsolete or Unnecessary Rules Comments Due: Rel. No. 34-51392 Federal Register version (70 FR 24154)
34-51623
April 28, 2005
SR-FICC-2004-17
Order Granting Approval of a Proposed Rule Change To Modify the Assessment Process for Late Submissions of Collateral Made Through the GCF Repo Service and To Increase the Types of Securities Available To Satisfy Collateral Allocation Obligations Comments Due: Rel. No. 34-51413 Federal Register version (70 FR 23285)
34-51612
April 26, 2005
SR-BSE-2004-24
Order Approving Proposed Rule Change By the Boston Stock Exchange, Inc. Relating to Remote Floor Brokers Rel. No. 34-50715 Federal Register version (70 FR 22934)
34-51611
April 26, 2005
SR-NASD-2005-026
Order Approving Proposed Rule Change Relating to TRACE Market Data Fees Comments Due: View Received Comments Rel. No. 34-51336 Federal Register version (70 FR 22735)
34-51605
April 25, 2005
SR-NASD-2005-004
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Annual Compliance Meetings Comments Due: View Received Comments Rel. No. 34-51368 Federal Register version (70 FR 22732)
34-51600
April 22, 2005
SR-NSCC-2005-01
Order Granting Approval of a Proposed Rule Change To Amend Its Operational Capability Requirement for Membership Rel. No. 34-51363 Federal Register version (70 FR 22167)
34-51591
April 21, 2005
SR-Amex-2005-027
Order Approving Proposed Rule Change Relating to the Use of Certain Consolidated Tape Association Financial Status Indicator Fields and Related Disclosure Obligations Comments Due: Rel. No. 34-51367 Federal Register version (70 FR 21831)
34-51593
April 21, 2005
SR-NYSE-2004-24
Order Approving Proposed Rule Changes by the New York Stock Exchange, Inc., and the National Association of Securities Dealers, Inc., 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 Nos.: Comments Due: View Received Comments Rel. No. 34-50114 , Rel. No. 34-51358 Federal Register version (70 FR 22168)
34-51590
April 21, 2005
SR-CBOE-2005-10
Order Approving Proposed Rule Change To Revise Certain Membership Rules Related to the Testing and Orientation Requirements for Nominees of Member Organizations Approved Solely as Clearing Members Comments Due: Rel. No. 34-51361 Federal Register version (70 FR 22162)
34-51573
April 19, 2005
SR-NYSE-2004-71
Order Approving Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. To Amend NYSE Rule 104 Regarding the Requirement That Specialists Obtain Floor Official Approval for Destabilizing Dealer Account Transactions in ETFs Comments Due: Rel. No. 34-51329 Federal Register version (70 FR 21484)
34-51568
April 18, 2005
SR-CBOE-2004-16
Order Issued by Delegated Authority and Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to an Interpretation of Paragraph (b) of Article Fifth of Its Certificate of Incorporation and an Amendment to Rule 3.16(b) Comments Due: View Received Comments 34-51252 , 34-50464 , 34-50028 , Rel. No. 34-49620 Federal Register version (70 FR 20953)
34-51563
April 15, 2005
SR-Amex-2005-001
Order Granting Accelerated Approval to Amendment No. 2 Relating to the Adoption of Generic Listing Standards for Index-Linked Securities Comments Due: Rel. No. 34-51259 Federal Register version (70 FR 21257)
34-51544
April 14, 2005
SR-Phlx-2005-03
Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to System Changes to the Exchange's Automated Options Market (AUTOM) System Rel. No. 34-51352 Federal Register version (70 FR 20613)
34-51542
April 14, 2005
SR-CBOE-2005-22
Order Granting Accelerated Approval to a Proposed Rule Change To Adopt an Inactivity Fee To Be Charged Against Remote Market-Makers That Fail To Commence Quoting in Their Appointed Classes Comments Due: Rel. No. 34-51370 Federal Register version (70 FR 20952)
34-51543
April 14, 2005
SR-CBOE-2005-23
Order Granting Accelerated Approval to a Proposed Rule Change To Amend CBOE Rule 8.4 To Remove the Physical Trading Crowd Appointment Alternative for Remote Market-Makers and To Create an "A+" Tier Consisting of the Two Most Actively-Traded Products on the Exchange Comments Due: Rel. No. 34-51371 Federal Register version (70 FR 20952)
34-51539
April 13, 2005
SR-NYSE-2004-59
Order Approving Proposed Rule Change by the New York Stock Exchange, Inc. 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 Comments Due: Rel. No. 34-51276 Federal Register version (70 FR 20410)
34-51512
April 8, 2005
SR-PCX-2004-124
Order Approving Proposed Rule Change and Amendments Nos. 1, 2, and 3 by the Pacific Exchange, Inc. Relating to Adjournments of a Hearing Within Three Business Days of a Scheduled Hearing Session Rel. No. 34-51296 Federal Register version (70 FR 19982)
34-51502
April 7, 2005
SR-Amex-2005-009
Order Approving Proposed Rule Change by the American Stock Exchange LLC To Require Members To Complete Systems Training and To Include Violations of This Requirement in Its Minor Rule Violation Plan Comments Due: Rel. No. 34-51294 Federal Register version (70 FR 19535)
34-51503
April 7, 2005
SR-Amex-2004-65
Order Granting Approval to Proposed Rule Change, and Amendments No. 1 and 2 Thereto, Relating to Revisions to Amex Rule 21, Appointment of Floor Officials Comments Due: Rel. No. 34-51279 Federal Register version (70 FR 19534)
34-51476
April 5, 2005
SR-Phlx-2004-75
Order Granting Approval to Proposed Rule Change Relating to Floor Official Conflicts of Interest Rel. No. 34-51272 Federal Register version (70 FR 19140)
34-51460
March 31, 2005
SR-Amex-2005-007
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto To Require Specialists To Use and Maintain a Back-Up Automatic Quote System in ANTE Classes Comments Due: Rel. No. 34-51209 Federal Register version (70 FR 17730)
34-51456
March 31, 2005
SR-NSX-2004-07
Order Approving Proposed Rule Change Relating to Non-Member Give-Ups Rel. No. 34-50898 Federal Register version (70 FR 17745)
34-51454
March 30, 2005
SR-ODD-2005-01
Order Granting Approval of Proposed Supplement to the Options Disclosure Document Regarding Volatility Options Federal Register version (70 FR 17748)
34-51438
March 28, 2005
SR-NYSE-2004-32
Order Approving a Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Relating to NYSE Liquidity QuoteSM Comments Due: View Received Comments Rel. No. 34-50040 Federal Register version (70 FR 17137)
34-51440
March 28, 2005
SR-FICC-2004-23
Order Granting Approval of a Proposed Rule Change To Change the Notice Period Required for the Closing of Participant Accounts or Withdrawing From Membership in Its Mortgage-Backed Securities Division Comments Due: Rel. No. 34-51206 Federal Register version (70 FR 16884)
34-51439
March 28, 2005
SR-DTC-2004-12
Order Granting Approval of a Proposed Rule Change To Revise Fees for Low Volume Tender Offers Comments Due: Rel. No. 34-51156 Federal Register version (70 FR 16883)
34-51429
March 24, 2005
SR-CBOE-2004-58
Order Granting Accelerated Approval to Amendments No. 3 and 4 to the Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating to Market-Maker Quoting Obligations and Market-Maker Appointments Comments Due: Rel. No. 34-51234 Federal Register version (70 FR 16536)
34-51420
March 23, 2005
SR-NASD-2005-003
Order Granting Approval to Proposed Rule Change To Amend Rule 4350(n) and IM-4350-7 To Conform the Time Frame for the Disclosure of a Waiver to a Company's Code of Conduct to the Time Frame Required for Similar Disclosure by the Commission's Form 8-K Comments Due: Rel. No. 34-51197 Federal Register version (70 FR 15968)
34-51419
March 23, 2005
SR-Phlx-2005-11
Order Granting Accelerated Approval to Amendment No. 1 Relating to an Amendment to Its By-Laws To Replace an On-Floor Equity Governor Position With an On-Floor Philadelphia Board of Trade Governor Position Comments Due: Rel. No. 34-51127 Federal Register version (70 FR 15968)
34-51419
March 23, 2005
SR-CBOE-2005-51
Order Granting Accelerated Approval to Amendment No. 1 Relating to an Amendment to Its By-Laws To Replace an On-Floor Equity Governor Position With an On-Floor Philadelphia Board of Trade Governor Position Comments Due: Rel. No. 34-51127 Federal Register version (70 FR 15968)
34-51412
March 23, 2005
SR-FICC-2004-13
Order Approving Proposed Rule Change To Amend the Rules of the Mortgage-Backed Securities Division To Impose Fines on Members for Violations of Minimum Financial Standards and To Modify the Penalty Assessment Process for Failures of Members To Submit Requisite Financial Reports on a Timely Basis Comments Due: Rel. No. 34-51146 Federal Register version (70 FR 15959)
34-51391
March 17, 2005
SR-CTA/CQ-2004-01
Order Approving the Seventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Fifth Substantive Amendment to the Restated Consolidated Quotation Plan Comments Due: Federal Register version (70 FR 15132)
34-51385
March 16, 2005
SR-FICC-2004-14
Order Approving a Proposed Rule Change Relating to Membership Requirements Comments Due: View Received Comments Rel. No. 34-51018 Federal Register version (70 FR 14736)
34-51366
March 14, 2005
SR-CBOE-2004-75
Order Approving Proposed Rule Change and Amendments No. 1 and 2 Thereto by the Chicago Board Options Exchange, Incorporated Relating to the Introduction of Remote Market-Makers Comments Due: Rel. No. 34-51107 Federal Register version (70 FR 13217)
34-51360
March 11, 2005
SR-PCX-2005-15
Order Granting Approval of Proposed Rule Change Relating to Primary Only Orders Rel. No. 34-51125 Federal Register version (70 FR 13223)
34-51359
March 11, 2005
SR-NSCC-2004-07
Order Granting Approval of a Proposed Rule Change To Amend the Membership Standards Required of Insurance Companies Rel. No. 34-51035 Federal Register version (70 FR 13059)
34-51362
March 11, 2005
SR-NSCC-2003-11
Order Granting Approval of a Proposed Rule Change To Amend the Criteria Used To Place Members on Surveillance Status and To Eliminate Member and Applicant Financial Responsibility and Operational Capability Questionnaires Federal Register version (70 FR 13562)
34-51356
March 10, 2005
SR-NASD-2004-159
Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Allow NASD, on a Pilot Basis, To Review Denial of Access Complaints Related to the Alternative Display Facility Comments Due: Rel. No. 34-51092 Federal Register version (70 FR 12924)
34-51354
March 10, 2005
SR-FICC-2004-18
Order Granting Approval of a Proposed Rule Change To Clarify Certain Sections of the Loss Allocation Rule of Its Government Securities Division Comments Due: Rel. No. 34-51037 Federal Register version (70 FR 12920)
