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-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)
34-50562
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)
34-50557
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)
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)
