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: 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.: View Received Comments 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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-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.: View Received Comments Rel. No. 34-47672 , Comments received for SR-NYSE-2002-33 , are available for this notice. Comments received for SR-NASD-2002-77 , are available for this notice. Comments received for SR-NASD-2002-80 , are available for this notice. Comments received for SR-NASD-2002-138 , are available for this notice. Comments received for SR-NASD-2002-139 , are available for this notice. Comments received for SR-NASD-2002-141 Federal Register version (68 FR 64154)
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.: View Received Comments Rel. No. 34-47672 , Comments received for SR-NYSE-2002-33 , are available for this notice. Comments received for SR-NASD-2002-77 , are available for this notice. Comments received for SR-NASD-2002-80 , are available for this notice. Comments received for SR-NASD-2002-138 , are available for this notice. Comments received for SR-NASD-2002-139 , are available for this notice. Comments received for SR-NASD-2002-141 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 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 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 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 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 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 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 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 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 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 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 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 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 Rel. Nos. 34-48161A , Rel. No. 34-47936 Federal Register version (68 FR 42444)
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.: View Received Comments Rel. Nos. 34-46620A , 34-46620 , Rel. No. 34-46649 Federal Register version (68 FR 39995)
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.: View Received Comments 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 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 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 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 Rel. No. 34-46803 , and comment letters 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 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 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 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 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 Notice: Rel. No. 34-43675
34-46159
July 2, 2002
SR-NASD-2002-61
Order of Summary Abrogation File Nos.:
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)
34-45908
May 10, 2002
SR-NASD-2002-21
Order Granting Accelerated Approval of Amendment No. 2 to the Proposed Rule Change by the National Association of Securities Dealers, Inc. and Amendment No. 1 to the Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest View Received Comments Rel. No. 34-45679 , Rel. No. 34-45526 Federal Register version (67 FR 34968)
34-45803
April 23, 2002
SR-ISE-2002-01
Order Approving Proposed Rule Change and Amendment No. 1 thereto by the International Securities Exchange LLC To Restructure From a Limited Liability Company to a Corporation Rel. No. 34-45529 Federal Register version (67 FR 21306)
34-45798
April 22, 2002
SR-NYSE-2002-10
Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs File Nos.: Federal Register version (67 FR 20854)
34-45644
March 25, 2002
SR-NYSE-2001-53
Order Approving Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Amending Its Rules Regarding the Transmission of Proxy and Other Shareholder Communication Material and the Proxy Reimbursement Guidelines Set Forth In Those Rules, and Requesting Permanent Approval of the Amended Proxy Reimbursement Guidelines View Received Comments Rel. No. 34-45263 Federal Register version (67 FR 15440)
34-45531
March 11, 2002
SR-NASD-2002-05
Order Granting Approval to Proposed Rule Change Relating to Revisions to Form U-4 and Form U-5 Federal Register version (67 FR 11735)
34-45138
Dec. 7, 2001
SR-NYSE-2001-42
Order Approving a Proposed Rule Change by the New York Stock Exchange, Inc., Establishing the Fees for NYSE OpenBookTM View Received Comments Federal Register version (66 FR 66491)
34-44983
Oct. 25, 2001
SR-PCX-00-25
Order Granting Accelerated Approval to Amendment Nos. 4 and 5 Concerning the Establishment of the Archipelago Exchange as the Equities Trading Facility of PCX Equities, Inc. View Received Comments Rel. No. 34-44233 , Rel. No. 34-43608 Federal Register version (66 FR 55225)
34-44846
Sept. 25, 2001
4-208
Order Extending the Deadline for the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the New York Stock Exchange, Inc., the Pacific Exchange, Inc., and the Philadelphia Stock Exchange, Inc. to Submit Rule Filings Concerning the Implementation of Decimal Pricing in Equity Securities and Options Pursuant to Section 11A(a)(3)(B) of the Securities Exchange Act of 1934 Federal Register version (66 FR 49983)
34-44592
July 26, 2001
SR-NYSE-00-17
Order Granting Approval of a Proposed Rule Change Relating to the Physical Format Requirements for Securities Certificates Federal Register version (66 FR 39809)
34-44177
April 12, 2001
4-208
Order Approving Plan Establishing Procedures Under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange Comments Due: Federal Register version (66 FR 19814)
34-43863
Jan. 19, 2001
SR-NASD-99-53
Order Approving Proposed Rule Changes and Amendment Nos. 1, 2, 3, 4, 5, 6, 7 and 8 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 9 Relating to the Establishment of the Nasdaq Order Display Facility and Order Collector Facility and Modifications of the Nasdaq Trading Platform ("SuperMontage") View Received Comments Release No. 4-646 , Rel. Nos. 34-43514 , 34-43138 , 34-42573 , 34-42249 , 34-42166 Federal Register version (66 FR 8019)
34-43086
July 28, 2000
4-429
Order Approving Options Intermarket Linkage Plan Submitted by the American Stock Exchange LLC, Chicago Board Options Exchange, Inc., and International Securities Exchange LLC View Received Comments Federal Register version (65 FR 48023)
34-43021
July 10, 2000
SR-NASD-99-41
Order Granting Accelerated Approval of Amendment No. 2 Relating to the Opening of Day-Trading Accounts View Received Comments Rel. No. 34-42452 Federal Register version (65 FR 44082)
34-42758
May 5, 2000
SR-NYSE-99-48
Order Approving Proposed Change To Rescind Exchange Rule 390 File Nos.: View Received Comments Federal Register version (65 FR 36222)
34-42565
March 22, 2000
SR-CHX-99-24
Order Granting Accelerated Approval of Amendment No. 1 to Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to Price Improvement for Securities that Trade in Minimum Variations of 1/64 Federal Register version (65 FR 16442)
34-42536
March 16, 2000
SR-NASD-99-75
Order Granting Approval to Proposed Rule Change Relating to ECN and ATS Participation in the ITS/CAES System Federal Register version (65 FR 15401)
34-42400
Feb. 7, 2000
SR-NASD-99-23
Order Approving a Proposed Rule Change and Amendment No. 1 to the Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Locked and Crossed Markets That Occur Prior to the Opening of the Market Federal Register version (65 FR 7407)
34-42402
Feb. 7, 2000
SR-NASD-99-45
Order Granting Approval to Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Amendments to the Public Disclosure Program Rel. No. 34-42240 Federal Register version (65 FR 7582)
34-42233A
Dec. 23, 1999
SR-NYSE-99-39
Order Granting Accelerated Approval of Amendments No. 1 and No. 2 Thereto View Received Comments Release No. 34-42233 , Release No. 34-41980 Federal Register version (64 FR 73596)
34-42232
Dec. 14, 1999
SR-Amex-99-38
Order Granting Accelerated Approval of Amendments No. 1 and No. 2 Thereto View Received Comments Notice No. 34-41981 Federal Register version (64 FR 71518)
34-42231
Dec. 14, 1999
SR-NASD-99-48
Order Approving Proposed Rule Change Amending Its Audit Committee Requirements and Notice of Filing and Order Granting Accelerated Approval of Amendments No. 1 and No. 2 Thereto View Received Comments Rel. No. 34-41982 Federal Register version (64 FR 71523)
34-42233
Dec. 14, 1999
SR-NYSE-99-39
Order Granting Accelerated Approval of Amendments No. 1 and No. 2 Thereto View Received Comments correction , Release No. 34-41980 Federal Register version (64 FR 71529)
34-41892
Sept. 21, 1999
SR-AMEX-99-20
Order Granting Accelerated Approval of Amendment No. 1, 2, 3 and 4 Relating to the Listing and Trading of Trust Issued Receipts Rel. No. 34-41593 Federal Register version (64 FR 52559)
34-41833
Sept. 2, 1999
SR-NASD-99-07
Order Granting Approval to Proposed Rule Change by the National Association of Securities Dealers, Inc. Creating a Discovery Guide for Use in NASD Arbitrations View Received Comments Rel. No. 34-41302 Federal Register version (64 FR 49256)
34-41502
June 9, 1999
SR-NYSE-99-13
Order Granting Accelerated Approval of Amendment Nos. 2 and 3 Relating to Original Continued Listing Criteria Federal Register version (64 FR 32588)
34-41479
June 4, 1999
SR-NYSE-98-32
Order Granting Accelerated Approval of Amendment Nos. 1 and 2 Thereto Relating to Shareholder Approval of Stock Option Plans Rel. No. 34-40847 , Rel. No. 34-40679 Federal Register version (64 FR 31667)
34-41041
Feb. 11, 1999
SR-NYSE-98-45
Order Approving Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Amendments to Rule 80A Federal Register version (64 FR 8424)
34-40622
Oct. 30, 1998
SR-NASD-98-67
Order Granting Accelerated Approval to Amendment No. 2 Thereto; Relating to the Combination of the American Stock Exchange, Inc. and the National Association of Securities Dealers, Inc., Including Amendments to the Composition of the NASD Board and Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC File Nos.: Rel. No. 34-40615 , Rel. No. 34-40443 , Rel. No. 34-40339 , Rel. No. 34-49425 Federal Register version (63 FR 59819)
34-40622
Oct. 30, 1998
SR-Amex-98-32
Order Granting Accelerated Approval to Amendment No. 2 Thereto; Relating to the Combination of the American Stock Exchange, Inc. and the National Association of Securities Dealers, Inc., Including Amendments to the Composition of the NASD Board and Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC File Nos.: Rel. No. 34-40615 , Rel. No. 34-40443 , Rel. No. 34-40339 , Rel. No. 34-49425 Federal Register version (63 FR 59819)
34-40622
Oct. 30, 1998
SR-NASD-98-56
Order Granting Accelerated Approval to Amendment No. 2 Thereto; Relating to the Combination of the American Stock Exchange, Inc. and the National Association of Securities Dealers, Inc., Including Amendments to the Composition of the NASD Board and Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC File Nos.: Rel. No. 34-40615 , Rel. No. 34-40443 , Rel. No. 34-40339 , Rel. No. 34-49425 Federal Register version (63 FR 59819)
34-40615
Oct. 28, 1998
SR-NASD-98-56
Order Granting Partial Approval to Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Small Firm Representative on NASD Board Portion of the Proposed Rule Change Relating to Amendment to Composition of NASD Board to Include Members of New Amex LLC and for Other Purposes Rel. No. 34-40622 , Rel. No. 34-40339 Federal Register version (63 FR 59614)
34-40211
July 15, 1998
SR-NASD-98-21
Order Approving a Proposed Rule Change to Permanently Expand the NASD's Rule Permitting Market Makers to Display Their Actual Quotation Size View Received Comments Rel. No. 34-39760 Federal Register version (63 FR 39322)
34-39832
April 6, 1998
SR-DTC-95-23
Order Approving a Proposed Rule Change Implementing the Matching Feature in the Institutional Delivery System Federal Register version (63 FR 18062)
34-39729
March 6, 1998
SR-NASD-97-56
Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2, 3, 4, 5, and 6 to Proposed Rule Change to Amend Rule 3110 and to Adopt New Rules 6950 Through 6957 Relating to the Creation of an Order Audit Trail System Federal Register version (63 FR 12559)
34-39550
Jan. 14, 1998
SR-NASD-96-51
Order Granting Accelerated Approval to Amendment Nos. 2, 3, and 4 to the Proposed Rule Change Relating to NASD Rule 11890 Regarding Clearly Erroneous Transactions Federal Register version (63 FR 4333)
