34-51038
Jan. 14, 2005
SR-PCX-2004-96
Order Granting Approval to Proposed Rule Change To Amend PCXE Rule 4.5 To Require All Financial/Operations Principals of PCXE ETP Firms to Successfully Complete the Series 27 Examination and To Add PCXE Rule 6.18(d) To Require All Compliance Supervisors of PCXE ETP Firms To Successfully Complete the Series 24 Examination Rel. No. 34-50818 Federal Register version (70 FR 3417)
34-51033
Jan. 13, 2005
SR-NSX-2004-12
Order Granting Approval to a Proposed Rule Change by the National Stock Exchange To Eliminate the "CBOE Exerciser Member" Membership Class, To Eliminate the Exchange's Special Nominating Committee, and To Remove Certain Special Restrictions on Changes to Certain NSX By-Laws and Rules Rel. No. 34-50796 Federal Register version (70 FR 3085)
34-51029
Jan. 12, 2005
SR-ISE-2004-29
Order Granting Accelerated Approval to Amendment No. 2 to the Proposed Rule Change by the International Securities Exchange, Inc., Relating to Proposed Amendments to Its Certificate of Incorporation and Constitution and ISE Rule 303 Comments Due: Rel. No. 34-50641 , Exhibit 5 Federal Register version (70 FR 3233)
34-51021
Jan. 11, 2005
SR-FICC-2004-09
Order Approving a Proposed Rule Change Relating to Changes to Membership Requirements Comments Due: Rel. No. 34-50718 Federal Register version (70 FR 2914)
34-51004
Jan. 10, 2005
SR-NASD-2004-140
Order Approving Proposed Rule Change To Eliminate Entry and Application Fees for Exchange-Listed Issuers Transferring Listings to Nasdaq Comments Due: Rel. No. 34-50740 Federal Register version (70 FR 2917)
34-51005
Jan. 10, 2005
SR-NASD-2004-142
Order Approving Proposed Rule Change To Establish Fees for Companies With a Dual Listing on the New York Stock Exchange and Nasdaq Comments Due: Rel. No. 34-50741 Federal Register version (70 FR 2917)
34-51014
Jan. 10, 2005
SR-PCX-2004-83
Order Approving Proposed Rule Change, and Amendment No. 1 Thereto, by the Pacific Exchange, Inc. Relating To Changing the Opening Time and the Commencement of the Opening Auction on the Archipelago Exchange Rel. No. 34-50756 Federal Register version (70 FR 2918)
34-50999
Jan. 7, 2005
SR-Amex-2003-90
Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by American Stock Exchange LLC Relating to the Amendment of Exchange Rule 153 Comments Due: Rel. No. 34-50866 Federal Register version (70 FR 2433)
34-50997
Jan. 7, 2005
SR-Phlx-2003-40
Order Granting Accelerated Approval to Amendments No. 2, 3, 4 and 5 Relating to the Options Floor Broker Management System Comments Due: Federal Register version (70 FR 2444)
34-50998
Jan. 7, 2005
SR-PCX-2004-122
Order Audit Trail System Federal Register version (70 FR 2443)
34-51000
Jan. 7, 2005
SR-MSRB-2004-08
Order Approving Proposed Rule Change Relating to Amendments to MSRB Rule G-34, on CUSIP Numbers and New Issue Requirements, To Facilitate Real-Time Transaction Reporting of Trades in New Issue Municipal Securities Comments Due: Rel. No. 34-50773 Federal Register version (70 FR 2684)
34-50996
Jan. 7, 2005
SR-CBOE-2004-77
Order Approving Proposed Rule Change by the Chicago Board Options Exchange, Inc., Relating to the Systematizing of Orders in Connection With the Requirement To Design and Implement a Consolidated Options Audit Trail System Comments Due: View Received Comments Rel. No. 34-50755 Federal Register version (70 FR 2436)
34-50972
Jan. 6, 2005
SR-Amex-2004-25
Order Approving a Proposed Rule Change and Amendments No. 1 and No. 2 Thereto by the American Stock Exchange LLC Relating to Revisions to Amex Rule 111 Comments Due: Rel. No. 34-50552 Federal Register version (70 FR 2194)
34-50973
Jan. 6, 2005
SR-OPRA-2004-06
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Guideline 2 of the Capacity Guidelines Adopted in Accordance With the Plan Comments Due: Federal Register version (70 FR 2432)
34-50965
Jan. 5, 2005
SR-FICC-2004-06
Order Approving Proposed Rule Change To Institute Fines for Late Payment of Cash Obligations and Margin and To Institute Informal Hearing Procedures for Fine Disputes Comments Due: Rel. No. 34-50642 Federal Register version (70 FR 2201)
34-50955
Jan. 3, 2005
SR-FICC-2004-05
Order Granting Approval of a Proposed Rule Change To Amend Rules Relating to the Participants Fund Deposit Requirements of Its Mortgage-Backed Securities Division Comments Due: Rel. No. 34-50665 Federal Register version (70 FR 1485)
34-50945
Dec. 29, 2004
SR-Phlx-2004-66
Order Granting Accelerated Approval to Proposed Rule Change Relating to Concentration Limit Listing Standards in Phlx Rule 1009A Comments Due: Federal Register version (70 FR 1498)
34-50944
Dec. 29, 2004
SR-DTC-2004-10
Order Granting Approval of a Proposed Rule Change To Implement Phase II of the IMS Service Comments Due: Rel. No. 34-50690 Federal Register version (70 FR 1927)
34-50937
Dec. 27, 2004
SR-ISE-2004-09
Order Approving Proposed Rule Change and Amendment Nos. 1 and No. 2 by the International Securities Exchange, Inc., Relating to the Listing and Trading of Options on the S&P 1000 Index Comments Due: Rel. No. 34-50674 Federal Register version (70 FR 416)
34-50927
Dec. 23, 2004
SR-Amex-2004-50
Order Granting Accelerated Approval to Amendment Nos. 4 and 6 to the Proposed Rule Change by the American Stock Exchange LLC Relating to the National Association of Securities Dealers, Inc.'s Sale of Its Interest in the American Stock Exchange LLC to The Amex Membership Corporation Comments Due: Rel. No. 34-50057 , Exhibit A , Exhibit 5 Federal Register version (69 FR 78486)
34-50926
Dec. 23, 2004
SR-NASD-2004-110
Order Approving a Proposed Rule Change, and Amendment Nos. 1, 2 and 3 Thereto, by National Association of Securities Dealers, Inc. Relating to Divestiture of Its Interest in the American Stock Exchange LLC Comments Due: Rel. No. 34-50403A , Rel. No. 34-50403 Federal Register version (70 FR 131)
34-50907
Dec. 22, 2004
SR-CBOE-2004-04
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto To Amend the Exchange's Guaranteed Participation Rule Relating to Facilitation and Crossing Transactions Comments Due: Rel. No. 34-50655 Federal Register version (70 FR 128)
34-50915
Dec. 22, 2004
SR-CBOE-2004-52
Order Book Comments Due: Rel. No. 34-50673 Federal Register version (69 FR 78069)
34-50883
Dec. 20, 2004
SR-NASD-2004-027
Order Approving Proposed Rule Change by NASD, Inc., Relating to Investment Company Portfolio Transactions Comments Due: View Received Comments Rel. No. 34-50611 Federal Register version (69 FR 77286)
34-50895
Dec. 20, 2004
SR-OCC-2004-11
Order Granting Approval of a Proposed Rule Change Relating to Yield-Based Treasury Options Rel. No. 34-50466 , Rel. No. 34-50466 Federal Register version (69 FR 78085)
34-50868
Dec. 16, 2004
SR-PCX-2004-59
Order Modifier Entitled "Proactive if Locked Reserve" Federal Register version (69 FR 76807)
34-50860
Dec. 15, 2004
SR-NASD-2004-166
Order Granting Approval to Proposed Rule Change Modifying the Other Securities Fee Schedule Comments Due: Rel. No. 34-50629 Federal Register version (70 FR 131)
34-50848
Dec. 14, 2004
SR-NASD-2004-133
Order Granting Approval of Proposed Rule Change To Amend NASD Rule 9522 ("Initiation of Eligibility Proceeding; Member Regulation Consideration") To Give Member Regulation the Authority To Approve the MC-400 Applications of Statutorily Disqualified Persons Who Will Be Engaged Solely in Clerical and/or Ministerial Activities Comments Due: Rel. No. 34-50626 Federal Register version (69 FR 76510)
34-50855
Dec. 14, 2004
S7-24-89
Solicitation of Comments and Order Granting Summary Effectiveness To Request To Extend the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc. and To Extend Certain Exemptive Relief Comments Due: Federal Register version (69 FR 76499)
34-50853
Dec. 14, 2004
SR-CBOE-2004-50
Order Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc. To Amend Its Rules Regarding Limitations on Designated Primary Market-Makers Putting Into Effect Stop and Stop-Limit Orders Comments Due: Rel. No. 34-50542 Federal Register version (69 FR 76510)
34-50844
Dec. 13, 2004
SR-NYSE-2004-53
Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Relating to a Fee for the NYSE Alerts Datafeed Comments Due: Rel. No. 34-50639 Federal Register version (69 FR 76806)
34-50838
Dec. 10, 2004
SR-NASD-2004-128
Order Granting Approval of Proposed Rule Change To Modify the Annual Fee for Certain Issuers Listed on the Nasdaq Stock Market, Inc. Comments Due: View Received Comments Rel. No. 34-50577 Federal Register version (69 FR 75578)
34-50832
Dec. 9, 2004
SR-Phlx-2004-62
Order Granting Approval to Proposed Rule Change To Waive the Options Specialist Shortfall Fee for One Specialist Unit That Did Not Have a Specialized Quote Feed in Place Rel. No. 34-50591 Federal Register version (69 FR 75584)
34-50820
Dec. 8, 2004
SR-MSRB-2004-06
Order Approving Proposed Rule Change To Create Real-Time Transaction Price Service and Propose Annual Subscription Fee Comments Due: View Received Comments Rel. No. 34-50605 Federal Register version (69 FR 74553)
34-50819
Dec. 8, 2004
SR-ISE-2003-06
Order Granting Accelerated Approval to Amendments No. 2 and 3 Thereto by the International Securities Exchange, Inc. To Establish Rules Implementing a Price Improvement Mechanism View Received Comments Rel. No. 34-49323 Federal Register version (69 FR 75093)
34-50810
Dec. 7, 2004
SR-NYSE-2004-04
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the New York Stock Exchange, Inc. To Amend Its Rules Regarding Listed Company Relations Proceedings Comments Due: Rel. No. 34-50196 Federal Register version (69 FR 72240)
34-50790
Dec. 3, 2004
SR-FICC-2004-16
Order Granting Approval of a Proposed Rule Change Relating to Establishment of a Cross-Margining Agreement With The Clearing Corporation Comments Due: Rel. No. 34-50594 Federal Register version (69 FR 71456)
34-50775
Dec. 1, 2004
SR-CBOE-2004-64
Order Approving Proposed Rule Change Relating to the Allocation of N-Second Group Trades Pursuant to Rule 6.45A(c) Comments Due: Rel. No. 34-50583 Federal Register version (69 FR 70731)
34-50748
Nov. 29, 2004
SR-NASD-2004-153
Order Approving Proposed Rule Change by the National Association of Securities Dealers, Inc. To Provide a Delta Hedge Exemption From Stock Option Position Limits for OTC Derivatives Dealers Affiliated With NASD Member Firms When Certain Conditions Are Satisfied Comments Due: Rel. No. 34-50539 Federal Register version (69 FR 70485)
34-50753
Nov. 29, 2004
SR-NASD-2004-147
Order Granting Accelerated Approval to Amendment No. 1 To Modify the Bid Price Compliance Periods on the Nasdaq National Market and SmallCap Market and To Require Non-Canadian Foreign Issuers To Satisfy the Bid Price and Market Value of Publicly Held Shares Requirements Applicable to Domestic Issuers for Continued Listing on the SmallCap Market Comments Due: Rel. No. 34-50541 Federal Register version (69 FR 70486)
34-50734
Nov. 24, 2004
SR-NYSE-2004-48
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" Comments Due: Rel. No. 34-50559 Federal Register version (69 FR 69974)
34-50725
Nov. 23, 2004
SR-CBOE-2004-25
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Relating to Designated Primary Market-Makers Obligations Comments Due: Rel. No. 34-50548 Federal Register version (69 FR 69970)
34-50713
Nov. 22, 2004
SR-NASD-98-74
Order Granting Accelerated Approval to Amendment No. 5 by the National Association of Securities Dealers, Inc., Regarding NASD Rule 3110(f) Governing Predispute Arbitration Agreements With Customers View Received Comments Rel. No. 34-42160 Federal Register version (69 FR 70293)
34-50714
Nov. 22, 2004
SR-NASD-2003-101
Order Granting Approval to Proposed Rule Change, and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 1 and 2 Thereto Relating to Time Limits for Submission of Claims in Arbitration View Received Comments Rel. No. 34-48225 Federal Register version (69 FR 69971)
34-50712
Nov. 22, 2004
SR-FICC-2004-07
Order Granting Approval of a Proposed Rule Change To Amend Its Rules To Eliminate the "Mortgage Banker" Category of Membership in Its Mortgage-Backed Securities Division Comments Due: Rel. No. 34-50536 Federal Register version (69 FR 69435)
34-50698
Nov. 18, 2004
SR-Amex-2004-66
Order Approving Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to Allocation Procedures for Relisted Options Comments Due: Rel. No. 34-50498 Federal Register version (69 FR 69433)
34-50689
Nov. 18, 2004
SR-MSRB-2004-05
Order Approving Proposed Rule Change To Offer New Historical Data Product Comments Due: Rel. No. 34-50689 Federal Register version (69 FR 68431)
34-50683
Nov. 17, 2004
SR-NASD-2004-107
Order Approving Proposed Rule Change Relating to Computer Generated Quoting in Exchange-Listed Securities Comments Due: Rel. No. 34-50478 Federal Register version (69 FR 68204)
34-50659
Nov. 15, 2004
SR-FICC-2004-11
Order Granting Approval of a Proposed Rule Change To Amend the Rules of the Government Securities Division To Modify the Penalty Assessment Process for Violations of Minimum Financial Standards and for Failures of Members To Submit Requisite Financial Reports on a Timely Basis Comments Due: Rel. No. 34-50457 Federal Register version (69 FR 67767)
34-50625
Nov. 3, 2004
SR-NYSE-2004-41
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 Comments Due: View Received Comments Rel. No. 34-50298 Federal Register version (69 FR 65006)
34-50622
Nov. 2, 2004
SR-BSE-2004-25
Order Granting Accelerated Approval to Amendment No. 4 Thereto Relating to the Specialist Performance Evaluation Program Comments Due: Rel. No. 34-50287 Federal Register version (69 FR 64998)
34-50619
Nov. 2, 2004
SR-CHX-2003-07
Order Granting Approval of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to Out-of-Range Execution Rules Comments Due: Rel. No. 34-50417 Federal Register version (69 FR 65002)
34-50617
Nov. 1, 2004
SR-FICC-2004-01
Order Approving Proposed Rule Change to Amend the Government Securities Division and the Mortgage-Backed Securities Division Membership Rules Comments Due: Rel. No. 34-50402 Federal Register version (69 FR 64796)
34-50606
Oct. 29, 2004
SR-NASD-2004-074
Order Approving Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Clarify and Modify Market Marker Quote Re-Entry Obligations Comments Due: Rel. No. 34-50372 Federal Register version (69 FR 64613)
34-50603
Oct. 28, 2004
SR-NYSE-2004-22
Order Granting Accelerated Approval to Amendments No. 1 and No. 2 Thereto to the Proposed Rule Change by the New York Stock Exchange, Inc. Regarding Listing and Trading of streetTRACKS Gold Shares Comments Due: Rel. No. 34-49849 Federal Register version (69 FR 64614)
34-50593
Oct. 26, 2004
SR-PCX-2004-63
Order Granting Approval of Proposed Rule Change Relating to a Proposed Listing Fee Schedule for Exchange-Traded Funds and Closed-End Funds Rel. No. 34-50374 Federal Register version (69 FR 63427)
34-50587
Oct. 25, 2004
SR-Amex-2004-63
Order Approving a Proposed Rule Change and Amendment No. 1 by the American Stock Exchange LLC Relating to Minimum Size Guarantees for Linkage Orders Comments Due: Rel. No. 34-50394 Federal Register version (69 FR 63417)
34-50573
Oct. 20, 2004
SR-NASD-2004-105
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Amend Rule 4350(n) and IM-4350-7 To Provide Time Frames for Foreign Issuers and Foreign Private Issuers To Disclose Certain Code of Conduct Waivers Comments Due: Rel. No. 34-50267 Federal Register version (69 FR 62493)
34-50561
Oct. 19, 2004
4-429
Order Approving Joint Amendment No. 13 to the Options Intermarket Linkage Plan Regarding Natural Size View Received Comments Federal Register version (69 FR 62920)
34-50562
Oct. 19, 2004
SR-CBOE-2004-41
Order Approving a Proposed Rule Change and Amendment No. 1 by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Inc.; a Proposed Rule Change and Amendments No. 1 and 2 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 Minimum Size Guarantees for Linkage Orders File Nos.: Comments Due: Rel. No. 34-50340 , Rel. No. 34-50339 , Rel. No. 34-50346 , Rel. No. 34-50342 , Rel. No. 34-50341 Federal Register version (69 FR 62925)
34-50562
Oct. 19, 2004
SR-Phlx-2004-16
Order Approving a Proposed Rule Change and Amendment No. 1 by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Inc.; a Proposed Rule Change and Amendments No. 1 and 2 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 Minimum Size Guarantees for Linkage Orders File Nos.: Rel. No. 34-50340 , Rel. No. 34-50339 , Rel. No. 34-50346 , Rel. No. 34-50342 , Rel. No. 34-50341 Federal Register version (69 FR 62925)
34-50562
Oct. 19, 2004
SR-ISE-2004-01
Order Approving a Proposed Rule Change and Amendment No. 1 by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Inc.; a Proposed Rule Change and Amendments No. 1 and 2 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 Minimum Size Guarantees for Linkage Orders File Nos.: Comments Due: Rel. No. 34-50340 , Rel. No. 34-50339 , Rel. No. 34-50346 , Rel. No. 34-50342 , Rel. No. 34-50341 Federal Register version (69 FR 62925)
34-50562
Oct. 19, 2004
SR-BSE-2004-14
Order Approving a Proposed Rule Change and Amendment No. 1 by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Inc.; a Proposed Rule Change and Amendments No. 1 and 2 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 Minimum Size Guarantees for Linkage Orders File Nos.: Comments Due: Rel. No. 34-50340 , Rel. No. 34-50339 , Rel. No. 34-50346 , Rel. No. 34-50342 , Rel. No. 34-50341 Federal Register version (69 FR 62925)
34-50562
Oct. 19, 2004
SR-PCX-2004-84
Order Approving a Proposed Rule Change and Amendment No. 1 by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Inc.; a Proposed Rule Change and Amendments No. 1 and 2 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 Minimum Size Guarantees for Linkage Orders File Nos.: Rel. No. 34-50340 , Rel. No. 34-50339 , Rel. No. 34-50346 , Rel. No. 34-50342 , Rel. No. 34-50341 Federal Register version (69 FR 62925)
34-50557
Oct. 18, 2004
SR-MSRB-2004-04
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments To Eliminate Exemptions From the Continuing Education Regulatory Element Requirements Comments Due: Rel. No. 34-50328 Federal Register version (69 FR 62311)
34-50545
Oct. 14, 2004
SR-NASD-2004-114
Order Approving Proposed Rule Change, as Amended, Relating to Fees for Depth of Book Data in Exchange-Listed Securities in the Nasdaq Market Center Comments Due: Rel. No. 34-50304 Federal Register version (69 FR 62104)
34-50526
Oct. 13, 2004
SR-OCC-2004-13
Order Granting Approval of a Proposed Rule Change Relating to Borrowing Against the Clearing Fund Rel. No. 34-50280 , Rel. No. 34-50280 Federal Register version (69 FR 61701)
34-50483
Oct. 1, 2004
SR-NASD-2004-118
Order Granting Approval of Proposed Rule Change by National Association of Securities Dealers, Inc. To Introduce an Extranet Access Fee for Extranet Providers To Provide Direct Access Services for Nasdaq Market Data Feeds Comments Due: View Received Comments Rel. No. 34-50262 Federal Register version (69 FR 60448)
34-50485
Oct. 1, 2004
SR-NASD-2003-201
Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change, To Amend Schedule A of the NASD By-Laws To Adjust the Trading Activity Fee Rate, and To Add TRACE-Eligible and Municipal Securities as Covered Securities Comments Due: View Received Comments Rel. No. 34-49114 Federal Register version (69 FR 60445)
34-50484
Oct. 1, 2004
SR-CBOE-2003-33
Order Granting Accelerated Approval to Amendments No. 2, 3 and 4 Relating to Non-Member Market Maker Transaction Fees View Received Comments Rel. No. 34-48815 Federal Register version (69 FR 60440)
34-50475
Sept. 30, 2004
SR-NSX-2004-02
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Anti-Money Laundering Compliance Programs Rel. No. 34-50198 Federal Register version (69 FR 59977)
34-50481
Sept. 30, 2004
SR-CHX-2004-12
Order Granting Accelerated Approval of Amendments No. 2 and 3 to the Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to the Implementation of a Fully-Automated Functionality for the Handling of Particular Orders Called CHXpress Comments Due: Rel. No. 34-49567 Federal Register version (69 FR 60197)
34-50465
Sept. 29, 2004
SR-OCC-2003-09
Order Granting Accelerated Approval of Amendment No. 1 Relating to Minimum Net Capital Requirements for Appointed Clearing Members Comments Due: Rel. No. 34-49478 , Rel. No. 34-49478 Federal Register version (69 FR 60449)
34-50473
Sept. 29, 2004
SR-PCX-2003-64
Order Granting Accelerated Approval to Amendments No. 3, 4, and 5 Thereto Regarding Facilitation Crossing Procedures Rel. No. 34-50064 Federal Register version (69 FR 60206)
34-50464
Sept. 29, 2004
SR-CBOE-2004-16
Order Granting Petition for Review and Scheduling Filing of Statements Comments Due: View Received Comments Rel. Nos. 34-51568 , 34-51252 , 34-50028 , Rel. No. 34-49620
34-50458
Sept. 28, 2004
SR-NASD-2004-109
Order Granting Approval to Proposed Rule Change To Increase the Initial Inclusion Requirements for Certain Foreign Securities Seeking To List on the Nasdaq SmallCap Market Comments Due: Rel. No. 34-50183 Federal Register version (69 FR 59286)
34-50463
Sept. 28, 2004
SR-NASD-2003-13
Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to Adopt New Interpretive Material to NASD Rule 2210(d)(2)(N) to Allow NASD Member Firms to Use Certain Investment Analysis Tools View Received Comments Rel. No. 34-47590 Federal Register version (69 FR 60200)
34-50456
Sept. 27, 2004
SR-NASD-2004-098
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Eliminate Exemptions From the Continuing Education Regulatory Element Requirements Comments Due: Rel. No. 34-50204 Federal Register version (69 FR 59285)
34-50446
Sept. 24, 2004
SR-NASD-2004-121
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. To Include Failures to Timely Submit Amendments to Form U5 in its Minor Rule Violation Plan Comments Due: View Received Comments Rel. No. 34-50221 Federal Register version (69 FR 58568)
34-50430
Sept. 23, 2004
SR-PCX-2004-78
Order Allocation Procedures for PCX Plus Rel. No. 34-50191 Federal Register version (69 FR 58210)
34-50433
Sept. 23, 2004
SR-ISE-2004-18
Order Approving Proposed Rule Change and Amendments No. 1 and 2 Thereto To Amend the Market Maker Information Barrier Requirements Under ISE Rule 810 Comments Due: Rel. No. 34-50197 Federal Register version (69 FR 58563)
34-50420
Sept. 22, 2004
SR-Phlx-2004-56
Order of Summary Abrogation File Nos.:
34-50413
Sept. 20, 2004
SR-PCX-2004-54
Order Granting Approval to Proposed Rule Change and Amendment No. 1 To Amend the PCX Sanctioning Guidelines To Enforce Compliance With the Exchange's FOCUS Reports Filing Requirements Rel. No. 34-49948 Federal Register version (69 FR 58005)
34-50405
Sept. 16, 2004
SR-NASD-2004-071
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Improved Nasdaq Opening Process Comments Due: View Received Comments Rel. No. 34-49842 Federal Register version (69 FR 57118)
34-50401
Sept. 16, 2004
SR-Phlx-2004-39
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to Retroactive Application of Permit Holder Fees and Billing Policies Rel. No. 34-50129 Federal Register version (69 FR 57127)
34-50392
Sept. 16, 2004
SR-FICC-2003-14
Order Approving a Proposed Rule Change Relating to Amending Impractical or Inconsistent Rules and Adding Rules To Protect the Clearing Corporation and Its Members Federal Register version (69 FR 56809)
34-50404
Sept. 16, 2004
SR-NYSE-2004-33
Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Amend Exchange Rule 345A ("Continuing Education for Registered Persons") Comments Due: Rel. No. 34-50177 Federal Register version (69 FR 57126)
34-50395
Sept. 16, 2004
SR-NSCC-2003-09
Order Approving Proposed Rule Change To Amend the Procedure for Determining Intraday Mark-to-the-Market Payments Federal Register version (69 FR 56813)
34-50391
Sept. 15, 2004
SR-NASD-2004-090
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Nasdaq Closing Cross Comments Due: Rel. No. 34-50087 Federal Register version (69 FR 56811)
34-50386
Sept. 15, 2004
SR-FICC-2003-05
Order Granting Approval of a Proposed Rule Change Relating to Additional Account Structures Federal Register version (69 FR 56467)
34-50389
Sept. 15, 2004
SR-FICC-2003-06
Order Granting Approval of a Proposed Rule Change Relating to the Assessment of Funds-Only Settlement Obligations Federal Register version (69 FR 56810)
34-50355
Sept. 13, 2004
SR-Amex-2004-23
Notice of Request for Emergency Approval of an Information Collection Comments Due: Rel. No. 34-49840 Federal Register version (69 FR 57749)
34-50356
Sept. 13, 2004
SR-PCX-2004-29
Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Amend the PCXE Minor Rule Plan and Recommended Fine Schedule To Add a Provision for Failure To Maintain Continuous, Two-Sided Q Orders in Those Securities in Which a PCXE Market Maker Is Registered To Trade Federal Register version (69 FR 56259)
34-50347
Sept. 10, 2004
SR-NASD-2003-176
Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. Relating to Chief Executive Officer Certification and Designation of Chief Compliance Officer View Received Comments Rel. No. 34-50105 , Rel. No. 34-49129 , Rel. No. 34-48981 Federal Register version (69 FR 56107)
34-50337
Sept. 9, 2004
SR-NYSE-2004-06
Order Granting Approval To Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the New York Stock Exchange, Inc. Relating to Amendments to Exchange Rule 104 and Rule 123 Comments Due: Rel. No. 34-50090 Federal Register version (69 FR 55856)
34-50326
Sept. 7, 2004
SR-Amex-2004-51
Order Granting Approval to Proposed Rule Change by the American Stock Exchange LLC To Apply the Current Member Firm Guarantee in Equity Options to Index Options Comments Due: Rel. No. 34-50081 Federal Register version (69 FR 55479)
34-50325
Sept. 7, 2004
SR-NASD-2004-102
Order Approving Proposed Rule Change by the National Association of Securities Dealers, Inc. To Establish a Fee for Company Profile Reports of OTCBB Issuers Comments Due: Rel. No. 34-50037 Federal Register version (69 FR 55485)
34-50327
Sept. 7, 2004
SR-CBOE-2004-12
Order Approving Proposed Rule Change by the Chicago Board Options Exchange, Incorporated To Require Members To Use and Maintain a Back-up Autoquote System in Hybrid Classes Comments Due: Rel. No. 34-50055 Federal Register version (69 FR 55482)
34-50317
Sept. 3, 2004
SR-NASD-2004-094
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Relating to Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules To Disseminate Transaction Information on Certain TRACE-Eligible Securities and Facilitate Dissemination of Such Information Comments Due: View Received Comments Rel. No. 34-49920 Federal Register version (69 FR 55202)
34-50305
Sept. 1, 2004
SR-NASD-2004-101
Order Granting Approval of Proposed Rule Change to Provide a Monthly Flat Fee for the Internal Distribution of PostData as an Alternative to the Monthly Per-Subscriber Fees Presently Available Under NASD Rule 7010(s) Comments Due: Rel. No. 34-50068 Federal Register version (69 FR 54716)
