34-50296
Aug. 31, 2004
SR-PCX-2004-49
Order Modifier Entitled "Don't Arb Me" Rel. No. 34-50054 Federal Register version (69 FR 54337)
34-50294
Aug. 31, 2004
SR-MSRB-2004-02
Order Approving Proposed Rule Change Relating to Amendments to the MSRB's Rule G-12(f) on Automated Comparison and G-14 on Transaction Reporting, and to the Implementation of a Facility for Real-Time Transaction Reporting and Price Dissemination Comments Due: View Received Comments Rel. No. 34-49902 Federal Register version (69 FR 54170)
34-50214
Aug. 18, 2004
SR-Amex-2004-49
Order Granting Approval to Proposed Rule Change To Allow Amex Hearing Officers To Preside Over Default and Settlement Proceedings Without Empanelling Members of the Hearing Board To Serve on an Amex Disciplinary Panel Comments Due: Rel. No. 34-49991 Federal Register version (69 FR 52051)
34-50218
Aug. 18, 2004
SR-NASD-2004-002
Order Granting Accelerated Approval to Amendment No. 2 Thereto To Require an NASD Market Participant To Provide Written Notice Before Denying Any NASD Member Direct Electronic Access to Its Quote in the ADF Federal Register version (69 FR 52055)
34-50215
Aug. 18, 2004
SR-CHX-2004-14
Order Granting Approval to Proposed Rule Change Relating to the Handling of Preopening Orders in Nasdaq/NM Securities Comments Due: Rel. No. 34-49978 Federal Register version (69 FR 52053)
34-50209
Aug. 18, 2004
SR-CBOE-2004-43
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto To Amend the Exchange's Membership Rules To Accommodate e-DPMs Comments Due: Rel. No. 34-50007 Federal Register version (69 FR 52053)
34-50208
Aug. 17, 2004
SR-ISE-2004-19
Order Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the International Securities Exchange, Inc. Relating to the Entry of Electronically Generated Orders Comments Due: Rel. No. 34-49956 Federal Register version (69 FR 52054)
34-50205
Aug. 17, 2004
SR-CBOE-2003-39
Order Granting Approval of Proposed Rule Change and Amendments No. 1, 2, and 3 Thereto by the Chicago Board Options Exchange, Inc. Relating to Quote Sizes Comments Due: Rel. No. 34-49990 Federal Register version (69 FR 51869)
34-50199
Aug. 13, 2004
SR-NASD-2004-079
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc., To Provide for the Web Publication of Summaries of Interpretations Issued Under NASD Rule 4550 Comments Due: Rel. No. 34-49935 Federal Register version (69 FR 51873)
34-50182
Aug. 11, 2004
SR-DTC-2004-05
Order Granting Approval of Proposed Rule Change Relating to the Look-Ahead Process Comments Due: Rel. No. 34-49924 Federal Register version (69 FR 51341)
34-50176
Aug. 10, 2004
SR-NASD-2004-065
Order Approving Proposed Rule Change Regarding the Nasdaq Closing Cross Comments Due: Rel. No. 34-49783 Federal Register version (69 FR 51500)
34-50178
Aug. 10, 2004
SR-OCC-2004-04
Order Granting Approval of a Proposed Rule Change To Reduce the Thresholds Applied to Equity Options for Purposes of Exercise by Exception Processing on Expiration Comments Due: Rel. No. 34-49929 , Rel. No. 34-49929 Federal Register version (69 FR 51343)
34-50170
Aug. 9, 2004
SR-PCX-2004-56
Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Certificate of Incorporation and Bylaws of Archipelago Holdings, Inc. Rel. No. 34-49946 Federal Register version (69 FR 50419)
34-50169
Aug. 9, 2004
SR-CBOE-2004-02
Order Granting Accelerated Approval to Amendment No. 2 Thereto To Amend the Obvious Error Rule Relating to Options Quoted "No-Bid" Comments Due: Rel. No. 34-49462 Federal Register version (69 FR 51133)
34-50162
Aug. 6, 2004
SR-NASD-2004-078
Order Approving Proposed Rule Change by the National Association of Securities Dealers, Inc. To Establish Certain Qualification Requirements for Supervisors of Research Analysts Comments Due: Rel. No. 34-49857 Federal Register version (69 FR 50406)
34-50154
Aug. 5, 2004
SR-BSE-2003-09
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Extension of Certain Listed Trading Rules to the Trading of Nasdaq Securities Rel. No. 34-49771 Federal Register version (69 FR 49919)
34-50143
Aug. 4, 2004
SR-PCX-2004-47
Order Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. To Eliminate the Ability of Floor Brokers and Market Makers To Manually Trade With Orders and Quotes With Size in the Consolidated Book Rel. No. 34-49912 Federal Register version (69 FR 49929)
34-50147
Aug. 4, 2004
SR-OPRA-2004-02
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information and Amendment No. 1 Thereto To Eliminate From the Plan References to the Fee Exemption Pilot Curr Comments Due: Federal Register version (69 FR 49918)
34-50122
July 29, 2004
SR-Amex-2004-32
Order Granting Approval to Proposed Rule Change by the American Stock Exchange LLC to Amend Article II, Section 3 of the Exchange Constitution Comments Due: Rel. No. 34-49775 Federal Register version (69 FR 47962)
34-50101
July 28, 2004
SR-PCX-2004-51
Order Granting Approval to a Proposed Rule Change Amending the Designated Options Examination Authority Fee on a Retroactive Basis Rel. No. 34-49828 Federal Register version (69 FR 47195)
34-50091
July 27, 2004
SR-NASD-2004-091
Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc., To Discontinue the Use of the Nasdaq NEWS Feature of the Nasdaq Workstation II, and To Provide a Different Standard for the Beginning and End of a Trading Halt Comments Due: Rel. No. 34-49898 Federal Register version (69 FR 46197)
34-50100
July 27, 2004
SR-Phlx-2003-59
Order Granting Accelerated Approval to Amendments No. 6 and 7 to the Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to the Exchange's New Electronic Trading Platform, "Phlx XL" Rel. No. 34-49832 Federal Register version (69 FR 46612)
34-50089
July 26, 2004
SR-CHX-2004-04
Order Approving Proposed Rule Change To Revise CHX Article VI, Rule 5 To Correct a Reference to the Form Used for the Registration of New Branch Offices Comments Due: Rel. No. 34-49529 Federal Register version (69 FR 46195)
34-50085
July 26, 2004
SR-NSCC-2003-05
Order Granting Approval of a Proposed Rule Change Permitting Elimination of All Hard Copies of Important Notices View Received Comments Rel. No. 34-49094 Federal Register version (69 FR 45872)
34-50059
July 22, 2004
SR-NASD-2004-021
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Relating to Reporting of Cancelled Trades Comments Due: Rel. No. 34-49844 Federal Register version (69 FR 45103)
34-50067
July 22, 2004
SR-OPRA-2004-03
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Revise Guideline 1 of the Capacity Guidelines To Confirm That it Is Within the Authority of the Independent System Capacity Advisor To Make Determinations Concerning the Establishment, Modification or Removal of Output Throttles From the OPRA System Comments Due: Federal Register version (69 FR 45356)
34-50036
July 19, 2004
SR-NASD-2004-039
Order Approving Proposed Rule Change by the National Association of Securities Dealers, Inc. To Reduce the Time for Chairperson Selection Comments Due: Rel. No. 34-49852 Federal Register version (69 FR 44071)
34-50024
July 15, 2004
SR-CHX-2004-10
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Inc. Relating to Co-Specialist Assignments and Evaluations Comments Due: Rel. No. 34-49721 Federal Register version (69 FR 43647)
34-50026
July 15, 2004
SR-NSCC-2004-01
Order Granting Approval of a Proposed Rule Change To Modify the National Securities Clearing Corporation's Continuous Net Settlement System Rel. No. 34-49717 Federal Register version (69 FR 43650)
34-50025
July 15, 2004
SR-DTC-2004-04
Order Interface With the National Securities Clearing Corporation Comments Due: Rel. No. 34-49777 Federal Register version (69 FR 43648)
34-50029
July 15, 2004
SR-DTC-2003-10
Order Granting Approval of Proposed Rule Change Relating to a New Messaging Service for Stock Loan Recalls Comments Due: Rel. No. 34-49764 Federal Register version (69 FR 43870)
34-50028
July 15, 2004
SR-CBOE-2004-16
Order 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 , 34-51252 , 34-50464 , Rel. No. 34-49620 Federal Register version (69 FR 43644)
34-50013
July 14, 2004
SR-CHX-2004-02
Order Approving Proposed Rule Change by the Chicago Stock Exchange, Incorporated Relating to the Minimum Automatic Execution Threshold Size Comments Due: Rel. No. 34-49793 Federal Register version (69 FR 43646)
34-50015
July 14, 2004
SR-ISE-2003-22
Order Approving Proposed Rule Change and Amendment No. 1 by the International Securities Exchange, Inc. Relating to Permanent Approval of a Pilot Program for Quotation Spreads Comments Due: Rel. No. 34-49754 Federal Register version (69 FR 43872)
34-50006
July 12, 2004
SR-DTC-2004-03
Order Granting Approval of Proposed Rule Change Relating to the Processing of Deliveries in DTC's Money Market Instrument Program Comments Due: Rel. No. 34-49709 Federal Register version (69 FR 43042)
34-50003
July 12, 2004
SR-CBOE-2004-24
Order Granting Accelerated Approval to Amendment No. 2 to the Proposed Rule Change Allowing a New Type of Designated Primary Market-Maker-e-DPMs Comments Due: Rel. No. 34-49643 Federal Register version (69 FR 43028)
34-50005
July 12, 2004
SR-CBOE-2004-33
Order Granting Accelerated Approval of Amendment No. 1 Thereto Relating to Frequency of Executions on the Hybrid Trading System Comments Due: Rel. No. 34-49814 Federal Register version (69 FR 43032)
34-49986
July 8, 2004
SR-Amex-2004-37
Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to a Change in the Options Transaction Fee Reductions for Non-Member Broker-Dealers in Connection With Cabinet Trades and Spread Trades Comments Due: Rel. No. 34-49800 Federal Register version (69 FR 42230)
34-49988
July 8, 2004
SR-NYSE-2004-07
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listed Company Manual's Requirement That Companies Make Certain Paper Filings Comments Due: Rel. No. 34-49714 Federal Register version (69 FR 42489)
34-49981
July 7, 2004
SR-CHX-2004-08
Order Granting Approval to Proposed Rule Change and Amendment No. 1 To Amend the CHX Membership Dues and Fees Schedule To Provide a Tape Credit of 50% to Specialists Trading Tape A and Tape B Securities Comments Due: Rel. No. 34-49772 Federal Register version (69 FR 42233)
34-49798A
July 6, 2004
SR-CBOE-2004-23
Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the Chicago Board Options Exchange, Inc. To Permanently Approve the Modified ROS Opening Procedure Pilot Program, Which Occurs on the Settlement Date of Futures and Options on Volatility Indexes Comments Due: Rel. No. 34-49798 , Rel. No. 34-49614 Federal Register version (69 FR 41868)
34-49950
June 30, 2004
SR-NASD-2003-163
Order Granting Accelerated Approval of Amendment No. 2 Thereto, by the National Association of Securities Dealers, Inc., Relating to Voluntary Direct Communication Between Parties and Arbitrators Comments Due: View Received Comments Rel. No. 34-49688 Federal Register version (69 FR 41321)
34-49943
June 30, 2004
SR-ISE-2001-22
Order Mechanism Federal Register version (69 FR 41317)
34-49947
June 30, 2004
SR-FICC-2003-01
Order Granting Approval of a Proposed Rule Change Relating to the Implementation of Fines Federal Register version (69 FR 41316)
34-49952
June 30, 2004
SR-EMCC-2004-04
Order Granting Accelerated Approval of a Proposed Rule Change Relating to Buy-In and Sell-Out Procedures Notice of Filing of a Proposed Rule Change Relating to Buy-In and Sell-Out Procedures
34-49941
June 29, 2004
SR-Amex-2003-39
Order Granting Accelerated Approval to Amendment No. 5 to a Proposed Rule Change by the American Stock Exchange LLC To Adopt a Clearly Erroneous Transaction Rule and Half-Point Error Guarantee for Trades in Nasdaq National Market Securities Federal Register version (69 FR 40992)
34-49942
June 29, 2004
SR-PCX-2004-12
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto by the Pacific Exchange, Inc. Creating an Additional Processing Capability for PNP Orders Called "PNP Plus' Rel. No. 34-49713 Federal Register version (69 FR 41005)
34-49922
June 28, 2004
SR-PCX-2003-51
Order Approving Proposed Rule Change, and Amendments No. 1, 2, and 3 Thereto, by the Pacific Exchange, Inc. Relating to Conditions of PCX Membership Rel. No. 34-49681 Federal Register version (69 FR 40701)
34-49926
June 28, 2004
SR-NYSE-2004-11
Order Granting Accelerated Approval to Amendment No. 3 Thereto Amending NYSE Rule 122 Concerning Orders With More Than One Broker Comments Due: Rel. No. 34-49625 Federal Register version (69 FR 40700)
34-49930
June 28, 2004
SR-DTC-2003-09
Order Granting Approval of a Proposed Rule Change Relating to Establishing a New Service To Destroy Certain Certificates View Received Comments Rel. No. 34-49080 Federal Register version (69 FR 41003)
34-49932
June 28, 2004
SR-CBOE-2002-24
Order Granting Accelerated Approval to Amendment Nos. 3 and 4 Relating to Listing Standards for Options on Micro Narrow-Based Security Indexes Federal Register version (69 FR 40994)
34-49921
June 25, 2004
SR-Amex-2004-04
Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 thereto Relating to Auto-Ex for Exchange Traded Funds and Nasdaq Securities Traded on an Unlisted Basis Comments Due: Rel. No. 34-49449 Federal Register version (69 FR 40690)
34-49911
June 24, 2004
SR-CHX-2003-19
Order Granting Accelerated Approval to Amendment Nos. 2 and 3 to the Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to Governance of Issuers on the Exchange Federal Register version (69 FR 39989)
34-49883
June 17, 2004
SR-NASD-2002-162
Order Approving Proposed Rule Change and Amendments No. 1 and 2 Relating to Internal Controls and Supervisory Control Amendments and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3. View Received Comments Rel. Nos. 34-48460 , 34-48298 , Rel. Nos. 34-47021 , 34-46859 Federal Register version (69 FR 35092)
34-49882
June 17, 2004
SR-NYSE-2002-36
Order Granting Accelerated Approval of Amendment No. 4 View Received Comments Rel. Nos. 34-47021 , 34-46585A , 34-46858 Federal Register version (69 FR 35108)
34-49880
June 17, 2004
SR-CBOE-2004-15
Order Granting Approval of a Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc. Relating to Automatic Executions for Underlying Specialists Comments Due: Rel. No. 34-49659 Federal Register version (69 FR 35086)
34-49875
June 16, 2004
SR-NASD-2004-001
Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Arbitrator Training Fees Comments Due: Rel. No. 34-49674 Federal Register version (69 FR 35090)
34-49876
June 16, 2004
SR-NASD-2004-016
Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Implementation of a Web-based Arbitration Claim Notification and Filing Procedure Comments Due: Rel. No. 34-49673 Federal Register version (69 FR 35090)
34-49877
June 16, 2004
SR-CBOE-2004-05
Order Granting Accelerated Approval of Amendment No. 3 Thereto by the Chicago Board Options Exchange, Inc. Relating to the Relocation of an Entire Trading Station's Securities to Another Trading Station Comments Due: Rel. No. 34-49687 Federal Register version (69 FR 35084)
34-49854
June 14, 2004
SR-NASD-2004-057
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. Relating to Proposed Amendments To Reduce the Reporting Period for Transactions in TRACE-Eligible Securities Comments Due: View Received Comments Rel. No. 34-49607 Federal Register version (69 FR 35088)
34-49845
June 10, 2004
SR-NASD-2003-69
Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. Regarding Failure To Pay Arbitration Awards Comments Due: View Received Comments Rel. No. 34-49636 Federal Register version (69 FR 33968)
34-49841
June 9, 2004
SR-OCC-2003-11
Order Approving a Proposed Rule Change Relating to Clearing Member Trade Assignment Processing View Received Comments Rel. No. 34-49378 , Rel. No. 34-49378 Federal Register version (69 FR 34207)
34-49807
June 4, 2004
SR-Phlx-2004-22
Order Granting Approval of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Susquehanna Indices, LLP Disclaimer Comments Due: Rel. No. 34-49605 Federal Register version (69 FR 33453)
34-49810
June 4, 2004
SR-PCX-2004-35
Order Granting Accelerated Approval to Amendment Nos. 3 and 4 to the Proposed Rule Change by the Pacific Exchange, Inc. Relating to Corporate Governance of Listed Issuers Rel. No. 34-49631 Federal Register version (69 FR 32647)
34-49798
June 3, 2004
SR-CBOE-2004-23
Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the Chicago Board Options Exchange, Inc. to Permanently Approve the Modified ROS Opening Procedure Pilot Program, Which Occurs on the Settlement Date of Futures and Options on Volatility Indexes Comments Due: Rel. No. 34-49798A , Rel. No. 34-49614 Federal Register version (69 FR 32644)
34-49791
June 2, 2004
SR-CBOE-2004-20
Order Approving Proposed Rule Change and Amendment No. 1 by the Chicago Board Options Exchange, Inc., Relating to the $5 Quotation Spread Pilot Program Comments Due: Rel. No. 34-49588 Federal Register version (69 FR 32389)
34-49785
May 28, 2004
SR-Phlx-2003-68
Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to Options Transactions Resulting From Obvious Errors Comments Due: Rel. No. 34-49435 Federal Register version (69 FR 32090)
34-49774
May 26, 2004
SR-CHX-2003-24
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Chicago Stock Exchange, Inc. Relating to the Definition of Primary Market Comments Due: Rel. No. 34-49437 Federal Register version (69 FR 31146)
34-49769
May 25, 2004
SR-CBOE-2004-13
Order Transaction Fees Comments Due: Rel. No. 34-49575 Federal Register version (69 FR 31145)
34-49747
May 20, 2004
SR-Amex-2003-89
Order Granting Accelerated Approval to Amendment No. 7 to the Proposed Rule Change by the American Stock Exchange LLC To Implement a New Options Trading Platform Known as the Amex New Trading Environment or ANTE Comments Due: Rel. No. 34-49465 Federal Register version (69 FR 30344)
34-49745
May 20, 2004
SR-NYSE-2003-37
Order Approving Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. To Amend Exchange Rule 124 To Change the Way Odd-Lot Orders Are Priced and Executed Systemically Comments Due: Rel. No. 34-49536 Federal Register version (69 FR 29998)
34-49736
May 19, 2004
SR-CHX-2003-21
Order Granting Accelerated Approval to Amendment No. 2 by the Chicago Stock Exchange, Inc., Relating to the Price Improvement of Orders Executed Automatically on the Exchange Comments Due: Rel. No. 34-49530 Federal Register version (69 FR 29986)
34-49716
May 17, 2004
SR-NASD-2003-164
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 by the National Association of Securities Dealers, Inc. Relating to the Adjournment of an Arbitration Hearing Within Three Business Days of the First Scheduled Hearing Session Rel. No. 34-49545 Federal Register version (69 FR 29342)
34-49718
May 17, 2004
SR-PCX-2004-08
Order Granting Accelerated Approval of Amendment No. 1 Thereto Relating to the Demutualization of the Pacific Exchange, Inc. Comments Due: View Received Comments Rule 1 , Rule 2 , Rule 3 , Rule 4 , Rule 5 , Rule 6 , Rule 7 , Rule 8 , Rule 9 , Rule 10 , Rule 11 , Rule 12 , Rule 13 , Rule 14 , Exhibit B , Certificate of Incorporation for PCX Holdings Exhibit C , Bylaws of PCX Holdings Exhibit D , Certificate of Incorporation for the Reorganized PCX Exhibit E Federal Register version (69 FR 29611)
34-49700
May 13, 2004
SR-Amex-2004-12
Order Granting Approval of Proposed Rule Change by the American Stock Exchange LLC Relating to Audit Committee Meeting Requirements Applicable to Registered Closed-End Management Investment Companies View Received Comments Rel. No. 34-49371 Federal Register version (69 FR 29151)
34-49697
May 13, 2004
SR-Phlx-2004-18
Order Granting Approval of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. to Make Permanent a Pilot Program Relating to the Book Sweep Function of the Exchange's Automated Options Market System Federal Register version (69 FR 28973)
34-49699
May 13, 2004
SR-CBOE-2003-42
Order Granting Accelerated Approval of Amendment No. 1 Relating to the Retail Automatic Execution System Federal Register version (69 FR 28958)
34-49682
May 11, 2004
SR-NYSE-2004-09
Order Granting Accelerated Approval to Amendment No. 1 To Amend NYSE Rule 123C Relating to Market-on-Close Policy and Expiration Procedures Comments Due: Rel. No. 34-49476 Federal Register version (69 FR 28969)
34-49663
May 6, 2004
SR-NASD-2004-036
Order Granting Approval of a Proposed Rule Change by the National Association of Securities Dealers, Inc. To Revise and Update the Fee Schedule for OTC Bulletin Board Historical Trading Activity Reports Comments Due: Rel. No. 34-49486 Federal Register version (69 FR 26421)
34-49664
May 6, 2004
SR-PCX-2004-22
Order Type Entitled "Auto Q Order' Rel. No. 34-45906 Federal Register version (69 FR 27966)
34-49628
April 29, 2004
SR-NASD-2004-023
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend the Order Audit Trail System Rules Relating to Execution Reports Comments Due: Rel. No. 34-49439 Federal Register version (69 FR 25651)
34-49627
April 28, 2004
SR-ISE-2004-05
Order Approving Proposed Rule Change by the International Securities Exchange, Inc., Relating to Customized Market Data Reports ("ISEMine") Comments Due: Rel. No. 34-49442 Federal Register version (69 FR 25160)
34-49617
April 26, 2004
SR-Amex-2001-46
Order Granting Approval to Proposed Rule Change Relating to the Adoption of a Facilitation Rule and Member Firm Guarantee for Index Shares Federal Register version (69 FR 23833)
34-49618
April 26, 2004
SR-DTC-2003-12
Order Granting Approval of Proposed Rule Change Relating to the Processing of Maturity Presentments in DTC's Money Market Instrument Program View Received Comments Rel. No. 34-48775 Federal Register version (69 FR 23840)
34-49611
April 23, 2004
SR-BSE-2004-10
Order Granting Approval of Proposed Rule Change by the Boston Stock Exchange, Inc., and Notice of Filing and Granting Accelerated Approval to Amendment No. 1 To Permit the Separation of the Chairman and Chief Executive Officer Positions Comments Due: Rel. No. 34-49434 Federal Register version (69 FR 23833)
34-49598
April 22, 2004
SR-NSCC-2003-20
Order Approving Proposed Rule Change To Eliminate the Higher Capital Requirements Imposed on Members for Processing Investment Fund Transactions Through NSCC's Mutual Fund Services Comments Due: Rel. No. 34-49422 Federal Register version (69 FR 23246)
34-49602
April 22, 2004
SR-ISE-2003-26
Order Granting Approval to a Proposed Rule Change by the International Securities Exchange, Inc. To Amend Its Rules Governing Limits on the Entry of Orders of Less Than Ten Contracts and Revising the Quotation Size Requirements for Market Makers Federal Register version (69 FR 23841)
34-49581
April 19, 2004
SR-NASD-2003-159
Order Granting Approval of Proposed Rule Change and Amendment No. 1 by the National Association of Securities Dealers, Inc. To Permit Nasdaq To Append a New Modifier to Trade Reports of Pre-Open and After-Hours Trades Not Submitted to Nasdaq's Automated Confirmation Transaction Service, and Other Changes Regarding Trade Reporting Federal Register version (69 FR 22578)
34-49577
April 19, 2004
SR-CBOE-2004-17
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Establishing a Process for Approving and Appointing Remote Electronic Designated Primary Market-Makers Federal Register version (69 FR 22576)
34-49574
April 16, 2004
SR-Amex-2003-110
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to Procedures Applicable to Continued Listing Evaluation and Follow-Up Federal Register version (69 FR 22110)
34-49573
April 16, 2004
SR-NASD-2003-95
Order Granting Approval to a Proposed Rule Change Relating to Arbitrator Classification and Disclosure in NASD Arbitrations View Received Comments Rel. No. 34-48347 Federal Register version (69 FR 21871)
34-49563
April 14, 2004
SR-CBOE-2003-40
Order Granting Accelerated Approval to Amendment No. 2 Relating to Options on Certain CBOE Volatility Indexes View Received Comments Rel. No. 34-48807 Federal Register version (69 FR 21589)
34-49555
April 12, 2004
SR-CBOE-2003-59
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to the Exchange's Obvious Error Rule Federal Register version (69 FR 20655)
34-49548
April 9, 2004
SR-Amex-2004-02
Order Granting Approval to Proposed Rule Change and Amendment No. 1 by the American Stock Exchange LLC Relating to the Listing and Trading of Notes Linked to the Performance of the Select Utility Index Federal Register version (69 FR 20089)
34-49535
April 7, 2004
SR-NASD-2004-018
Order Approving Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Amend the Procedures for the Review of Nasdaq Listing Determinations Federal Register version (69 FR 19591)
34-49533
April 7, 2004
SR-ODD-2004-02
Order Granting Approval of Proposed Amendment to the Front Inside Cover Page of the Options Disclosure Document Federal Register version (69 FR 19894)
34-49537
April 7, 2004
SR-NASD-2002-108
Order Approving Proposed Rule Changes Relating to Business Continuity Planning of Members and Notice of Filing and Order Granting Accelerated Approval of NASD Amendment Nos. 6, 7, and 8 File Nos.: View Received Comments Rel. No. 34-48502 , Rel. No. 34-46443 , Rel. No. 34-48503 , Rel. No. 34-46444 Federal Register version (69 FR 19586)
34-49537
April 7, 2004
SR-NYSE-2002-35
Order Approving Proposed Rule Changes Relating to Business Continuity Planning of Members and Notice of Filing and Order Granting Accelerated Approval of NASD Amendment Nos. 6, 7, and 8 File Nos.: View Received Comments Rel. No. 34-48502 , Rel. No. 34-46443 , Rel. No. 34-48503 , Rel. No. 34-46444 Federal Register version (69 FR 19586)
34-49531
April 6, 2004
SR-Amex-2003-105
Order Granting Approval of Proposed Rule Change by the American Stock Exchange LLC Relating to the Exceptions to the Exchange's Quote Rule Federal Register version (69 FR 19251)
34-49522
April 2, 2004
SR-NASD-2003-182
Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting View Received Comments Rel. No. 34-48926 Federal Register version (69 FR 18660)
