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-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)
34-51637
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)
34-51623
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-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)
34-51419
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)
34-51412
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)
34-51355
March 10, 2005
SR-FICC-2004-08
Order Approving Proposed Rule Change To Provide Interpretive Guidance to Members Regarding the Criteria Used To Place Members on Surveillance Status Comments Due: Rel. No. 34-50671 Federal Register version (70 FR 12919)
34-51339
March 9, 2005
SR-NASD-2004-164
Order Approving Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. Relating to the Random Selection of Arbitrators by the Neutral List Selection System Comments Due: View Received Comments Rel. No. 34-51083 Federal Register version (70 FR 12763)
34-51350
March 9, 2005
SR-OCC-2004-19
Order Approving a Proposed Rule Change Relating to Clearing Member Trade Assignment Processing Rel. No. 34-51120 , Rel. No. 34-51120 Federal Register version (70 FR 12934)
34-51340
March 9, 2005
SR-FICC-2005-02
Order Approving Proposed Rule Change To Amend the Application and Continuing Membership Standards of the Government Securities Division and the Mortgage-Backed Securities Division Comments Due: Rel. No. 34-51066 Federal Register version (70 FR 12762)
34-51324
March 7, 2005
SR-NASD-2004-042
Order Approving Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Foreign Hearing Locations Comments Due: Rel. No. 34-51082 Federal Register version (70 FR 12257)
34-51325
March 7, 2005
SR-NASD-2005-007
Order Approving Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to a Proposal To Adopt a New IM-10308 on Mediators Serving as Arbitrators Comments Due: View Received Comments Rel. No. 34-51097 Federal Register version (70 FR 12522)
34-51326
March 7, 2005
SR-NASD-2004-173
Order Granting Accelerated Approval to Amendment No. 2 Thereto To Establish Rules Governing the Operation of Nasdaq's Brut Facility Comments Due: Rel. No. 34-51078 Federal Register version (70 FR 12521)
34-51319
March 4, 2005
SR-NYSE-2004-61
Order Through Amendments to Exchange Rules 13, 60 and 72 Comments Due: Rel. No. 34-50912 Federal Register version (70 FR 12525)
34-51292
March 2, 2005
S7-24-89
Order Extending for One Year 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 Federal Register version (70 FR 11719)
34-51282
March 1, 2005
SR-CBOE-2004-82
Order Granting Approval to Proposed Rule Change Relating to Exchange Rule 17.10(d)-Review of Decision Not To Initiate Charges Comments Due: Rel. No. 34-50964 Federal Register version (70 FR 11283)
34-51273
Feb. 28, 2005
SR-NYSE-2004-031
Order Granting Accelerated Approval to Amendment No. 2 by the New York Stock Exchange, Inc. Relating to Appointments to the NYSE's Board of Arbitration and Other Changes to the NYSE's Arbitration Program Comments Due: View Received Comments Rel. No. 34-50939 Federal Register version (70 FR 10729)
34-51271
Feb. 28, 2005
SR-CBOE-2004-45
Order Granting Accelerated Approval to Amendment Nos. 3 and 5 by the Chicago Board Options Exchange, Inc. Relating to the Trading of Complex Orders on the CBOE Hybrid System Comments Due: View Received Comments Rel. No. 34-50682 Federal Register version (70 FR 10712)
34-51264
Feb. 25, 2005
SR-NYSE-2005-07
Order Granting Approval of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Proposed Changes to Exchange Rules 440F ("Public Short Sale Transactions Effected on the Exchange") and 440G ("Transactions in Stocks and Warrants for the Accounts of Members, Allied Members and Member Organizations") Comments Due: Rel. No. 34-51054 Federal Register version (70 FR 10449)
34-51252
Feb. 25, 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 Rel. Nos. 34-51568 , 34-50464 , 34-50028 , Rel. No. 34-49620 , Motion for Reconsideration Federal Register version (70 FR 10442)
34-51235
Feb. 22, 2005
SR-CBOE-2004-73
Order Granting Approval of Proposed Rule Change by the Chicago Board Options Exchange, Inc. To Restrict a Designated Primary Market-Maker's Ability To Charge a Brokerage Commission Comments Due: View Received Comments Rel. No. 34-50821 Federal Register version (70 FR 9687)
34-51213
Feb. 16, 2005
SR-NASD-2004-180
Order Approving Proposed Rule Change by the National Association of Securities Dealers, Inc. Regarding Waiver of California Arbitrator Disclosure Standards Comments Due: Rel. No. 34-50971 Federal Register version (70 FR 8862)
34-51217
Feb. 16, 2005
SR-NYSE-2004-54
Order Approving Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Amendments to the NYSE Constitution and the Adoption of an Independence Policy of the NYSE Board of Directors Comments Due: Rel. No. 34-51015 Federal Register version (70 FR 9688)
34-51205
Feb. 15, 2005
SR-CBOE-2004-72
Order Approving Proposed Rule Change and Amendment No. 1 by the Chicago Board Options Exchange, Incorporated Relating to the SizeQuote Mechanism Pilot Program Comments Due: Rel. No. 34-50967 Federal Register version (70 FR 8647)
34-51188
Feb. 10, 2005
SR-NYSE-2004-63
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Amend Exchange Rules Relating to the Return of Membership Certificates, Notice and Return of Exchange-Issued Identification Cards, and Minor Violations of Rules Comments Due: Rel. No. 34-50942 Federal Register version (70 FR 8123)
34-51174
Feb. 9, 2005
SR-NSCC-2003-22
Order Granting Approval of a Proposed Rule Change To Amend the Standards of Financial Responsibility Required of Mutual Fund and Insurance Services Applicants and Members that Are Banks, Trust Companies, or Broker-Dealers Rel. No. 34-50797 Federal Register version (70 FR 8121)
34-51175
Feb. 9, 2005
SR-FICC-2004-19
Order Approving a Proposed Rule Change Relating to Changes To Eliminate or Amend Rules That Are Inconsistent With Current Practice, Have Expired, Are Outdated, Are Unnecessary, or Require Technical Correction Comments Due: Rel. No. 34-50888 Federal Register version (70 FR 7983)
34-51173
Feb. 9, 2005
SR-CBOE-2004-85
Order Granting Accelerated Approval to Amendment No. 2 Thereto Regarding Designated Primary Market-Makers' Handling of Non-Public Customer Orders Comments Due: Rel. No. 34-50909 Federal Register version (70 FR 7981)
34-51149
Feb. 8, 2005
SR-CHX-2004-26
Order Granting Accelerated Approval to Amendment No. 3 by the Chicago Stock Exchange, Inc. Relating to the Demutualization of the Chicago Stock Exchange, Inc. Comments Due: Rel. No. 34-50892 Federal Register version (70 FR 7531)
34-51148
Feb. 8, 2005
SR-CBOE-2004-67
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Split Price Priority Comments Due: Rel. No. 34-50924 Federal Register version (70 FR 7783)
34-51144
Feb. 7, 2005
SR-Phlx-2004-84
Order Granting Approval to Proposed Rule Change to Eliminate the Public Order Exposure System Functionality from Phlx Rule 229 Rel. No. 34-50901
34-51123
Feb. 2, 2005
SR-NASD-2004-169
Order Granting Approval to Proposed Rule Change and Amendment No. 3 Thereto To Adopt Additional Listing Standards Applicable to the Securities of the Nasdaq Stock Market, Inc. or an Affiliate Comments Due: Rel. No. 34-50897 Federal Register version (70 FR 6743)
34-51126
Feb. 2, 2005
SR-Phlx-2004-90
Order Approving Proposed Rule Change by the Philadelphia Stock Exchange, Inc., Relating to Remote Streaming Quote Traders Rel. No. 34-50877 Federal Register version (70 FR 6915)
34-51119
Feb. 1, 2005
SR-Amex-2004-72
Order Approving Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC to Amend Its Minor Rule Violation Plan Comments Due: Rel. No. 34-50871 Federal Register version (70 FR 6741)
34-51094
Jan. 28, 2005
SR-PCX-2004-43
Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to a Proposed Listing Fee Schedule for Structured Products Comments Due: Rel. No. 34-50448 Federal Register version (70 FR 6489)
34-51080
Jan. 26, 2005
SR-Phlx-2004-51
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to Phlx Regulation 5, Visitors and Applicants Rel. No. 34-50851 Federal Register version (70 FR 5263)
34-51062
Jan. 21, 2005
SR-Amex-00-27
Order Granting Accelerated Approval to Amendments No. 7 and 8 Thereto by the American Stock Exchange LLC To Require the Immediate Display of Customer Options Limit Orders Comments Due: Rel. No. 34-50188 Federal Register version (70 FR 4163)
34-51061
Jan. 21, 2005
SR-PCX-00-15
Order Granting Accelerated Approval to Amendments No. 3, 4, 5, 6, and 7 Thereto by the Pacific Exchange, Inc. To Require the Immediate Display of Customer Limit Orders Comments Due: Federal Register version (70 FR 4175)
34-51063
Jan. 21, 2005
SR-CBOE-2004-35
Order Granting Accelerated Approval to Amendment No. 2 Thereto by the Chicago Board Options Exchange, Inc. To Require the Immediate Display of Customer Limit Orders Comments Due: Rel. No. 34-49916 Federal Register version (70 FR 4165)
34-51058
Jan. 19, 2005
SR-Amex-2004-38
Order Granting Accelerated Approval to Amendment No. 5 by the American Stock Exchange LLC Relating to the Listing and Trading of the iShares COMEX Gold Trust Comments Due: Rel. No. 34-50792 Federal Register version (70 FR 3749)
34-51049
Jan. 18, 2005
SR-BSE-2004-52
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Market Maker Quote Obligations Under the Rules of the Boston Options Exchange Facility Rel. No. 34-50814 Federal Register version (70 FR 3756)
34-51051
Jan. 18, 2005
SR-PCX-2004-58
Order Approving Proposed Rule Change and Amendment No. 2 Thereto by the Pacific Exchange, Inc., Relating to the Exchange's Rules Under Its Minor Rule Plan and Recommended Fine Schedule Rel. No. 34-50830 Federal Register version (70 FR 4173)
34-51050
Jan. 18, 2005
SR-ISE-2004-31
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to System-Assisted Quotation Services Comments Due: Rel. No. 34-50813 Federal Register version (70 FR 3758)
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)
