Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Order

Quick Links

empty


Release Number	SEC Issue Date	File Number	Details
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 See Also - 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 See Also - 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.: SR-NYSE-2002-10, SR-NASD-2002-24 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 See Also - 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 See Also - 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:* 21 days after publication in the Federal Register 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 See Also - 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 See Also - 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.: SR-NYSE-99-48, 500-1, SR-NASD-99-26 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 See Also - 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 See Also - 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 See Also - 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 See Also - 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 See Also - 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 See Also - 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 See Also - 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 See Also - 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.: SR-Amex-98-32, SR-NASD-98-56, SR-NASD-98-67 See Also - 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.: SR-Amex-98-32, SR-NASD-98-56, SR-NASD-98-67 See Also - 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.: SR-Amex-98-32, SR-NASD-98-56, SR-NASD-98-67 See Also - 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 See Also - 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 See Also - 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)
34-39490	Dec. 24, 1997	SR-NASD-97-50	Order Approving Proposed Rule Change By the NASD To Extend From 15 Seconds To 17 Seconds the Amount of Time a Market Maker Has To Update Its Quote After an Order Execution in SOES Before Being Required To Execute a Subsequent Order
34-39423	Dec. 10, 1997	SR-NASD-97-04	Order Granting Accelerated Approval to Amendment No. 2 Thereto Regarding Excused Market Maker Withdrawals and Reinstatements Federal Register version (62 FR 66160)