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Release Number	SEC Issue Date	File Number	Details
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:* May 18, 2004 See Also - 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:* April 19, 2004 See Also - 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:* April 14, 2004 See Also - Rel. No. 34-49437 Federal Register version (69 FR 31146)
34-49769	May 25, 2004	SR-CBOE-2004-13	Order Transaction Fees *Comments Due:* May 14, 2004 See Also - 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:* April 21, 2004 See Also - 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:* May 5, 2004 See Also - 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:* June 16, 2004 See Also - 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 See Also - 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:* June 14, 2004 View Received Comments See Also - 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 See Also - 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:* June 9, 2004 See Also - 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:* April 22, 2004 See Also - 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' See Also - 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:* April 14, 2004 See Also - 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:* April 14, 2004 See Also - 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 See Also - 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:* May 21, 2004 See Also - 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:* April 12, 2004 See Also - 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 See Also - 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 See Also - 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-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.: SR-NYSE-2002-35, SR-NASD-2002-108 View Received Comments See Also - 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-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.: SR-NYSE-2002-35, SR-NASD-2002-108 View Received Comments See Also - 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 See Also - Rel. No. 34-48926 Federal Register version (69 FR 18660)
34-49523	April 2, 2004	SR-Phlx-2003-71	Order Granting Approval to Proposed Rule Change Relating to Participation Guarantees for Floor Brokers Representing Crossing and Facilitation Orders in Index Options Federal Register version (69 FR 19600)
34-49518	April 1, 2004	SR-CBOE-2003-23	Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Chicago Board Options Exchange, Inc., Relating to its Autoquote Triggered Ebook Execution System Federal Register version (69 FR 18657)
34-49491	March 29, 2004	SR-SCCP-2001-09	Order Approving a Proposed Rule Change Relating to Establishing Risk Management Procedures for Short Settlement Transactions Federal Register version (69 FR 17724)
34-49492	March 29, 2004		Order Approving a Proposed Rule Change Relating to Ex-Clearing Account Transactions Federal Register version (69 FR 17724)
34-49497	March 29, 2004	SR-NASD-2003-184	Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc., To Require Members To Review and Update Executive Representative Contact Information on a Quarterly Basis View Received Comments Federal Register version (69 FR 17723)
34-49496	March 29, 2004	SR-CHX-2003-25	Order Handling Rules Federal Register version (69 FR 17722)
34-49487	March 26, 2004	SR-PCX-2004-05	Order Approving Proposed Rule Change Imposing a Connectivity Fee Applicable to Non-Members That Maintain a Connectivity Line With the Exchange *Comments Due:* 21 days after publication in the Federal Register Federal Register version (69 FR 17259)
34-49472	March 25, 2004	SR-CBOE-2003-35	Order Approving Proposed Rule Change, and Amendment Nos. 1, 2, and 3 Thereto by the Chicago Board Options Exchange, Inc. Relating to Non-Aggregation Treatment of Trading Units of Member Firms for Position and Exercise Limits Federal Register version (69 FR 17004)
34-49464	March 24, 2004	SR-NYSE-2004-03	Order Granting Accelerated Approval of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions From Taking the Research Analyst Qualification Examination ("Series 86/87") File Nos.: SR-NYSE-2004-03, SR-NASD-2004-020 View Received Comments See Also - Rel. No. 34-49314 Federal Register version (69 FR 16628)
34-49438	March 17, 2004	SR-AMEX-2003-78	Order Approving a Proposed Rule Change Relating To Resolving Uncompared Options Transactions Federal Register version (69 FR 13919)
34-49441	March 17, 2004	SR-Amex-2003-44	Order Granting Approval to Proposed Rule Change Relating to Percentages Used to Allocate Executed Options Contracts Between the Specialist and Registered Options Traders Federal Register version (69 FR 15916)
34-49420	March 16, 2004	SR-OCC-2003-08	Order Approving Proposed Rule Change Related to Delivery Settlement of Exercised Stock Options and Matured Stock Futures Federal Register version (69 FR 13345)
34-49414	March 12, 2004	SR-NYSE-2003-33	Order Granting Accelerated Approval of Amendment No. 2 Thereto by the New York Stock Exchange, Inc., Relating to Exchange Fees for Closed-End Funds View Received Comments See Also - Rel. No. 34-48833 Federal Register version (69 FR 13078)
34-49415	March 12, 2004	SR-NYSE-2003-29	Order Granting Approval of a Proposed Rule Change Relating Partial Transfers and Other Non-Standard Customer Account Transfers View Received Comments Federal Register version (69 FR 13608)
34-49406	March 11, 2004	SR-NASD-2003-173	Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc., Through Its subsidiary, The Nasdaq Stock Market, Inc., Relating to the Nasdaq Closing Cross View Received Comments See Also - Rel. No. 34-48878 Federal Register version (69 FR 12879)
34-49388	March 10, 2004	SR-CBOE-2003-51	Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 by the Chicago Board Options Exchange, Inc. Relating to the Listing and Trading of Options on Three Russell Indexes View Received Comments See Also - Rel. No. 34-49111 Federal Register version (69 FR 12720)
34-49278	Feb. 19, 2004	SR-ISE-2003-34	Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto by the International Securities Exchange, Inc. Relating to Firm Quotations View Received Comments See Also - Rel. No. 34-48892, Comments received electronically are available Federal Register version (69 FR 8716)
34-49220	Feb. 11, 2004	SR-NASD-2003-128	Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto by the National Association of Securities Dealers, Inc. Relating to the Establishment of a Maximum ECN Access Fee in SuperMontage and the Elimination of SuperMontage's Price/Time With Fee Consideration and Price/Size Execution Algorithms View Received Comments Federal Register version (69 FR 7836)
34-49098	Jan. 16, 2004	SR-Phlx-2003-73	Order Granting Accelerated Approval of Amendment No. 3 Thereto Relating to the Demutualization of the Philadelphia Stock Exchange, Inc. View Received Comments See Also - Rel. No. 34-48847 Federal Register version (69 FR 3974)
34-49086	Jan. 15, 2004	SR-NASD-2003-157	Order Granting Accelerated Approval of Amendment No. 2 Thereto, by the National Association of Securities Dealers, Inc., Relating to the Permanent Fee Structure for the Trade Reporting and Compliance Engine (TRACE) View Received Comments See Also - Rel. No. 34-48714 Federal Register version (69 FR 3416)
34-49067	Jan. 14, 2004	SR-BSE-2003-19	Order Granting Accelerated Approval of Amendments No. 1 and 2 Thereto by the Boston Stock Exchange, Inc. Relating to the LLC Operating Agreement of the Proposed New Exchange Facility To Be Operated by the Boston Options Exchange Group LLC View Received Comments See Also - Rel. No. 34-48650 Federal Register version (69 FR 2761)
34-49065	Jan. 13, 2004	SR-BSE-2003-04	Order Granting Accelerated Approval to Amendments No. 2 and 3 to Proposed Rule Change by the Boston Stock Exchange, Inc. Relating to the Creation of the Boston Options Exchange Regulation, LLC View Received Comments Federal Register version (69 FR 2768)
34-49066	Jan. 13, 2004	SR-BSE-2003-17	Order Approving Proposed Rule Change Establishing Fees for the Boston Options Exchange Facility and Approving the Portion of the Proposed Rule Change Relating to Linkage Fees on a Pilot Basis Until January 31, 2004 See Also - Rel. No. 34-48787 Federal Register version (69 FR 2773)
34-49068	Jan. 13, 2004	SR-BSE-2002-15	Order Granting Accelerated Approval to Amendment No. 4 Thereto by the Boston Stock Exchange, Inc. Establishing Trading Rules for the Boston Options Exchange Facility See Also - Rel. No. 34-47186 Federal Register version (69 FR 2775)
34-49020	Jan. 5, 2004	SR-NASD-2003-143	Order Granting Approval to a Proposed Rule Change and Amendments Nos. 1, 2, and 3 Thereto to Establish a New "Auto-Ex" Order in Nasdaq's SuperMontage System View Received Comments See Also - Rel. No. 34-48675 Federal Register version (69 FR 1769)
34-48946	Dec. 17, 2003	SR-NYSE-2003-34	Order Approving Proposed Rule Change Relating to the Amendment and Restatement of the Constitution of the Exchange To Reform the Governance and Management Architecture of the Exchange View Received Comments See Also - Rel. No. 34-48764 Federal Register version (68 FR 74678)
34-48933	Dec. 16, 2003	SR-NASD-2002-168	Order Granting Accelerated Approval to Amendment No. 2, Thereto, Relating to Proposed NASD Rule 2130 Concerning the Expungement of Customer Dispute Information From the Central Registration Depository System View Received Comments See Also - Rel. No. 34-47435 Federal Register version (68 FR 74667)
34-48884	Dec. 5, 2003	SR-PHLX-2003-66	Order Granting Accelerated Approval to Amendment No. 3 by the Philadelphia Stock Exchange, Inc., Relating to the Listing and Trading of Options on the Nasdaq Composite Index View Received Comments Federal Register version (68 FR 69753)
34-48888	Dec. 5, 2003	SR-PCX-2003-46	Order Approving a Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to Transmission of Identity Orders View Received Comments See Also - Rel. No. 34-48598 Federal Register version (68 FR 70071)
34-48863	Dec. 1, 2003	SR-Amex-2003-65	Order Granting Accelerated Approval of Amendment No. 2 Relating To Enhanced Corporate Governance Requirements Applicable to Listed Companies View Received Comments See Also - Rel. No. 34-48706 Federal Register version (68 FR 68432)
34-48818	Nov. 21, 2003	SR-Amex-2003-28	Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change by the American Stock Exchange LLC Relating to the Elimination of the 10-Second Interval at Which Persons May Enter Auto-Ex Eligible Orders for Exchange-Traded Funds View Received Comments Federal Register version (68 FR 67496)
34-48745	Nov. 4, 2003	SR-NASD-2002-141	Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to SR-NYSE-2002-33, Amendment Nos. 2, 3, 4 and 5 to SR-NASD-2002-141, Amendment Nos. 2 and 3 to SR-NASD-2002-80, Amendment Nos. 1, 2, and 3 to SR-NASD-2002-138, and Amendment No. 2 to SR-NASD-2002-139, Relating to Corporate Governance File Nos.: SR-NASD-2002-141, SR-NYSE-2002-33, SR-NASD-2002-80, SR-NASD-2002-138, SR-NASD-2002-139, SR-NASD-2002-141 View Received Comments Federal Register version (68 FR 64154)
34-48745	Nov. 4, 2003	SR-NYSE-2002-33	Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to SR-NYSE-2002-33, Amendment Nos. 2, 3, 4 and 5 to SR-NASD-2002-141, Amendment Nos. 2 and 3 to SR-NASD-2002-80, Amendment Nos. 1, 2, and 3 to SR-NASD-2002-138, and Amendment No. 2 to SR-NASD-2002-139, Relating to Corporate Governance File Nos.: SR-NASD-2002-141, SR-NYSE-2002-33, SR-NASD-2002-80, SR-NASD-2002-138, SR-NASD-2002-139, SR-NASD-2002-141 View Received Comments Federal Register version (68 FR 64154)
34-48720	Oct. 30, 2003	SR-NYSE-2003-23	Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Repealing Exchange Rule 500 and Amending Section 806 of the Listed Company Manual View Received Comments See Also - Rel. No. 34-48435 Federal Register version (68 FR 62645)
34-48701	Oct. 24, 2003	SR-NASD-99-60	Order Granting Accelerated Approval of Amendment No. 5 Thereto by the National Association of Securities Dealers, Inc. Relating to Restrictions on the Purchases and Sales of Initial Public Offerings of Equity Securities View Received Comments See Also - Rel. No. 34-42325, 34-43267 Federal Register version (68 FR 62126)
34-48648	Oct. 16, 2003	SR-Phlx-2003-37	Order Granting Approval of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. to Delete the Prohibition Against the Delivery of Electronically Generated Orders Via AUTOM View Received Comments See Also - Rel. No. 34-47977 Federal Register version (68 FR 60762)
34-48527	Sept. 23, 2003	SR-NASD-2003-85	Order Granting Accelerated Approval to Amendment Nos. 3, 4, 5, and 7 Thereto Relating to a Post-Trade Anonymity Feature in SuperMontage View Received Comments See Also - Rel. No. 34-48088 Federal Register version (68 FR 56361)
34-48442	Sept. 4, 2003	SR-NASD-2003-98	Order Approving Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Clarify Reporting Requirements for Transactions Conducted Through Electronic Communications Networks View Received Comments See Also - Rel. No. 34-48239 Federal Register version (68 FR 53767)
34-48447	Sept. 4, 2003	SR-CHX-2003-15	Order Granting Approval to Proposed Rule Change to Amend the CHX Membership Dues and Fees Schedule to Increase the Specialist Tape Credits for Certain Trades in Tape A and Tape B Securities View Received Comments See Also - Rel. No. 34-48076 Federal Register version (68 FR 53625)
34-48434	Sept. 3, 2003	SR-NASD-2003-81	Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. Relating to Quote Decrementation in SuperMontage View Received Comments See Also - Rel. No. 34-47993 Federal Register version (68 FR 53409)
34-48242	Aug. 29, 2003	SR-NASD-2003-92	Order Granting Approval To a Proposed Rule Change To Adopt NASD Rule 2370 To Govern Certain Lending Arrangements Between Registered Persons and Customers View Received Comments See Also - Rel. No. 34-48093 Federal Register version (68 FR 52806)
34-48340	Aug. 14, 2003	SR-MSRB-2003-06	Order Granting Approval of a Proposed Rule Change Filing by the Municipal Securities Rulemaking Board to Amend Rule A-14, on Annual Fees See Also - Rel. No. 34-48140 Federal Register version (68 FR 50204)
34-48305	Aug. 8, 2003	SR-NASD-2003-99	Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend Rule 6260 Regarding New Issue Notification Procedures for TRACE-Eligible Securities Federal Register version (68 FR 48656)
34-48306	Aug. 8, 2003	SR-CBOE-2003-24	Order Approving a Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Incorporated To Interpret Rules Relating to Margin Requirements for Certain Complex Options Spreads on a Pilot Basis View Received Comments See Also - Rel. No. 34-48115 Federal Register version (68 FR 48974)
34-48252	July 29, 2003	SR-NYSE-2002-49	Order Granting Accelerated Approval of Amendment No. 3 to the Proposed Rule Change by the New York Stock Exchange, Inc. and Amendment No. 3 to the Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest View Received Comments See Also - Rel. No. 34-47912, Rel. No. 34-47110, NASD Amendment No. 3, NASD Response to Comments Federal Register version (68 FR 45875)
34-48234	July 28, 2003	SR-NASD-2003-93	Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc., To Increase the Trading Activity Fee Federal Register version (68 FR 45870)
34-48161A	July 16, 2003	SR-NASD-2003-57	Order Granting Accelerated Approval To Amendment No. 3 to the Proposed Rule Change Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5) View Received Comments See Also - 34-48161, Rel. No. 34-47936 Federal Register version (68 FR 43411)
34-48172	July 14, 2003	SR-Amex-2003-34	Order Granting Approval of Proposed Rule Change by the American Stock Exchange LLC, Relating to Indications, Openings and Re-Openings Federal Register version (68 FR 42792)
34-48169	July 11, 2003	SR-MSRB-2003-04	Order Granting Approval of a Proposed Rule Change by the Municipal Securities Rulemaking Board To Require Dealers To Establish Anti-Money Laundering Compliance Programs View Received Comments Federal Register version (68 FR 42793)
34-48161	July 10, 2003	SR-NASD-2003-57	Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5) View Received Comments See Also - Rel. Nos. 34-48161A, Rel. No. 34-47936 Federal Register version (68 FR 42444)
34-48108	June 30, 2003	SR-NASD-2002-140	Order Granting Accelerated Approval to NYSE Amendments No. 1 and 2 and Nasdaq Amendments No. 2 and 3 Thereto Relating to Equity Compensation Plans File Nos.: SR-NASD-2002-140, SR-NYSE-2002-46 View Received Comments See Also - Rel. Nos. 34-46620A, 34-46620, Rel. No. 34-46649 Federal Register version (68 FR 39995)
34-48108	June 30, 2003	SR-NYSE-2002-46	Order Granting Accelerated Approval to NYSE Amendments No. 1 and 2 and Nasdaq Amendments No. 2 and 3 Thereto Relating to Equity Compensation Plans File Nos.: SR-NASD-2002-140, SR-NYSE-2002-46 View Received Comments See Also - Rel. Nos. 34-46620A, 34-46620, Rel. No. 34-46649 Federal Register version (68 FR 39995)
34-48056	June 18, 2003	SR-NASD-2003-78	Order Granting Accelerated Approval To Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend Rule 6230 To Reduce TRACE Reporting Period View Received Comments See Also - Rel. No. 34-47856 Federal Register version (68 FR 37886)
34-47978	June 4, 2003	SR-DTC-2003-02	Order Granting Approval of a Proposed Rule Change Concerning Requests for Withdrawal of Certificates by Issuers View Received Comments Federal Register version (68 FR 35037)
34-47959	May 30, 2003	SR-CBOE-2002-05	Order Granting Accelerated Approval to Amendments No. 5 and 6 Thereto by the Chicago Board Options Exchange, Incorporated Relating to the Introduction of the CBOE Hybrid System View Received Comments See Also - Rel. No. 34-47676 Federal Register version (68 FR 34441)
34-47888	May 19, 2003	SR-MSRB-2003-02	Order Granting Approval of a Proposed Rule Change by the Municipal Securities Rulemaking Board Relating to Rule G-14, on Reports of Sales or Purchases View Received Comments See Also - Rel. No. 34-47650 Federal Register version (68 FR 28865)
34-47838	May 13, 2003	SR-PCX-2002-36	Order Granting Accelerated Approval to Amendments No. 2 and 3 to the Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Exchange's New Trading Platform for Options, PCX Plus View Received Comments See Also - Rel. No. 34-46803 Federal Register version (68 FR 27129)
34-47689	April 17, 2003	SR-NYSE-99-51	Order Tracking Federal Register version (68 FR 20200)
34-47614	April 2, 2003	SR-NYSE-2002-55	Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the New York Stock Exchange, Inc. Regarding the Dissemination of Liquidity Quotations View Received Comments See Also - Rel. No. 34-47091, and Order Granting Interim Stay Federal Register version (68 FR 17140)
34-47592	March 28, 2003	SR-NASD-2003-03	Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Waive Fees Assessed Under NASD Rule 7010(s) for New Subscribers to Nasdaq PostData View Received Comments See Also - Rel. No. 34-47209 Federal Register version (68 FR 16332)
34-46858A	Nov. 27, 2002	SR-NYSE-2002-36	Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. to Adopt Amendments to Exchange Rule 342 ("Offices-Approval, Supervision and Control") and its Interpretation, Rule 401 ("Business Conduct"), Rule 408 ("Discretionary Power in Customers' Accounts"), and Rule 410 ("Records of Orders") View Received Comments See Also - 34-46858, Rel. No. 34-49882, Rel. Nos. 34-47021 Federal Register version (67 FR 72261)
34-46429	Aug. 29, 2002	SR-NASD-99-53	Order with respect to the implementation of Nasdaq's Supermontage Facility View Received Comments See Also - Release No. 4-646, 34-43863, Rel. Nos. 34-43514, 34-43138, 34-42573, 34-42249, 34-42166
34-46164	July 3, 2002	SR-EMCC-00-01	Order Approving A Proposed Rule Change Relating to Financial Statements Prepared in Accordance with International Accounting Standards or United Kingdom Generally Accepted Accounting Principles See Also - Notice: Rel. No. 34-43675
34-46159	July 2, 2002	SR-NASD-2002-61	Order of Summary Abrogation File Nos.: SR-NASD-2002-61, SR-NASD-2002-68, SR-CSE-2002-06, SR-PCX-2002-37
34-46001	May 30, 2002	4-429	Order Granting Approval of Joint Amendments Nos. 2 and 3 to the Options Intermarket Linkage Plan Relating to Satisfaction of Trade-Throughs, the Procedures for Handling Multiple Principal Orders, Restrictions on Withdrawal, and an Imp View Received Comments Federal Register version (67 FR 38687)