34-50131
July 30, 2004
SR-PCX-2004-29
Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 to Add a Provision in the Minor Rule Plan and Recommended Fine Schedule for Failure to Maintain Continuous, Two-Sided Q Orders in Those Securities in Which the Market Maker is Registered to Trade Rel. No. 34-50356 Federal Register version (69 FR 48266)
34-50130
July 30, 2004
SR-CBOE-2004-47
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating to Marketing Fee Voting Procedures Comments Due: Federal Register version (69 FR 47965)
34-50115
July 29, 2004
SR-OC-2004-01
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the OneChicago, LLC Relating to its Market Maker Registration Policy and Procedures Comments Due: Federal Register version (69 FR 48261)
34-50116
July 29, 2004
SR-Amex-2004-54
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by American Stock Exchange LLC Relating to the Extension of the Linkage Fee Pilot Program Comments Due: Federal Register version (69 FR 47473)
34-50119
July 29, 2004
SR-NASD-2004-113
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Modify Nasdaq Market Center Pricing Comments Due: Federal Register version (69 FR 47189)
34-50120
July 29, 2004
SR-OCC-2004-09
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Eligible Securities for OCC's Stock/Loan Hedge Program Comments Due: Federal Register version (69 FR 47476)
34-50114
July 29, 2004
SR-NYSE-2004-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the New York Stock Exchange, Inc. To Amend NYSE Rule 103B With Respect to the Allocation Panel Comments Due: Federal Register version (69 FR 47193)
34-50123
July 29, 2004
SR-NYSE-2004-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Its Original Financial Listing Standards Pilot Program Comments Due: Federal Register version (69 FR 47474)
34-50105
July 28, 2004
SR-NASD-2003-176
Notice of Filing of Amendment No. 2 to a Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Chief Executive Officer Certification and Designation of Chief Compliance Officer Comments Due: View Received Comments Rel. No. 34-50347 , Rel. No. 34-49129 , Rel. No. 34-48981 Federal Register version (69 FR 46603)
34-50106
July 28, 2004
SR-PHLX-2004-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. To Replace the Total Shares per Transaction Charge With a Single Per Share Charge Comments Due: Federal Register version (69 FR 47197)
34-50108
July 28, 2004
SR-PCX-2004-66
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. To Implement Price Collars on its Archipelago Exchange Facility During the Closing Auction Comments Due: Federal Register version (69 FR 47195)
34-50109
July 28, 2004
SR-NYSE-2004-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Specialist License Fee for Investment Company Units Comments Due:
34-50110
July 28, 2004
SR-OPRA-2004-04
Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan Regarding the Temporary Waiver of Charges by OPRA Relating to the Dynamic Throttle Comments Due: Federal Register version (69 FR 46601)
34-50093
July 27, 2004
SR-Amex-2004-56
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC To Amend Alphabetical Designations of Paragraphs in Amex Rule 118 Comments Due: Federal Register version (69 FR 46192)
34-50097
July 27, 2004
SR-NASD-2004-112
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Extend Its Pilot Program Relating to Price-Improvement Standards Under the Manning Interpretation Comments Due: Federal Register version (69 FR 46609)
34-50099
July 27, 2004
SR-NASD-2004-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Amend the Rule 9600 Series Comments Due: Federal Register version (69 FR 46607)
34-50090
July 27, 2004
SR-NYSE-2004-06
Notice of Filing of 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. 34-50337 Federal Register version (69 FR 46197)
34-50095
July 27, 2004
SR-NSCC-2004-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mutual Fund Profile and Fund/SPEED Service Fees Comments Due: Federal Register version (69 FR 46611)
34-50081
July 26, 2004
SR-Amex-2004-51
Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC To Apply the Current Member Firm Guarantee for Equity Options to Index Options Comments Due: Rel. No. 34-50326 Federal Register version (69 FR 45856)
34-50083
July 26, 2004
SR-BSE-2004-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. To Allow for the Pricing of the Options Leg(s) of Stock-Option Orders in Penny Increments Comments Due: Federal Register version (69 FR 46193)
34-50084
July 26, 2004
SR-NASD-2004-103
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc., To Modify the Methodology for Applying Nasdaq's Pricing Schedule to Affiliated Members Comments Due: Federal Register version (69 FR 45868)
34-50087
July 26, 2004
SR-NASD-2004-090
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Nasdaq Closing Cross Comments Due: Rel. No. 34-50391 Federal Register version (69 FR 46195)
34-50080
July 26, 2004
SR-OCC-2004-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts Comments Due: Federal Register version (69 FR 45873)
34-50082
July 26, 2004
SR-PCX-2004-68
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to the Extension of a Linkage Fee Pilot Program Comments Due: Federal Register version (69 FR 45875)
34-50079
July 26, 2004
SR-CBOE-2004-44
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Chicago Board Options Exchange, Inc., Relating to Permanent Approval of the $5 Quote Width Pilot Program Comments Due: Federal Register version (69 FR 45858)
34-50068
July 23, 2004
SR-NASD-2004-101
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. 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. 34-50305 Federal Register version (69 FR 45358)
34-50074
July 23, 2004
SR-NASD-2004-076
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendments No. 1 and 2 Thereto, by the National Association of Securities Dealers, Inc. To Rename Certain of Nasdaq's Systems and To Make Other Technical Corrections Comments Due: View Received Comments proposed rules also available Federal Register version (69 FR 45866)
34-50072
July 23, 2004
SR-CHX-2004-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Stock Exchange, Incorporated Relating to Membership Dues and Fees Comments Due: Federal Register version (69 FR 45863)
34-50070
July 23, 2004
SR-Phlx-2004-46
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to a Pilot Program to Deploy the Options Floor Broker Management System Comments Due: Federal Register version (69 FR 45365)
34-50069
July 23, 2004
SR-OCC-2004-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Erroneous Cross-Reference Resulting From an Approved Rule Change Comments Due: Federal Register version (69 FR 45872)
34-50057
July 22, 2004
SR-Amex-2004-50
Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC Relating to the NASD's Sale of Its Interest in the American Stock Exchange LLC to the Amex Membership Corporation Comments Due: Rel. No. 34-50927 , Constitution of the American Stock Exchange LLC , Restated Limited Liability Company Agreementof American Stock Exchange LLC , Second Restated Certificate of Incorporation of the Amex Membership Corporation , Exhibit D: Amended and Restated By Laws "By Laws" of The Amex Membership Corporation the "Corporation" Federal Register version (69 FR 45091)
34-50065
July 22, 2004
SR-NASD-2004-108
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Treatment of Commodity Pool Trail Commissions Comments Due: View Received Comments Federal Register version (69 FR 45870)
34-50064
July 22, 2004
SR-PCX-2003-64
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. Relating to Facilitation Crosses Rel. No. 34-50473 Federal Register version (69 FR 45360)
34-50066
July 22, 2004
SR-PCX-2004-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to PCX Plus Priority and Order Allocation Procedures Comments Due: Federal Register version (69 FR 45364)
34-50060
July 22, 2004
SR-ISE-2004-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, Inc. To Extend Until June 5, 2005, a Pilot Program Under Which It Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals Comments Due: Federal Register version (69 FR 45864)
34-50058
July 22, 2004
SR-CBOE-2004-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating to Exchange Transaction Fees for DPMs and e-DPMs Comments Due: Federal Register version (69 FR 45861)
34-50063
July 22, 2004
SR-CBOE-2004-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated To Allow the Exchange To List Up To Seven Expiration Months for Certain Index Options up Until the Expiration of Those Options in November 2004 Comments Due: Federal Register version (69 FR 45357)
34-50054
July 21, 2004
SR-PCX-2004-49
Notice of Filing of a Proposed Rule Change To Amend Its Rules Governing the Archipelago Exchange by Adding a New Order Modifier Entitled "Don't Arb Me" Rel. No. 34-50296 Federal Register version (69 FR 45104)
34-50055
July 21, 2004
SR-CBOE-2004-12
Notice of Filing of 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. 34-50327 Federal Register version (69 FR 45860)
34-50040
July 20, 2004
SR-NYSE-2004-32
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Relating to NYSE Liquidity QuoteSM Comments Due: View Received Comments Rel. No. 34-51438 Federal Register version (69 FR 44701)
34-50048
July 20, 2004
SR-CBOE-2004-40
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating To Extension of Linkage Fee Pilot Program Comments Due: Federal Register version (69 FR 45102)
34-50037
July 19, 2004
SR-NASD-2004-102
Notice of Filing of a 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. 34-50325 Federal Register version (69 FR 44700)
34-50038
July 19, 2004
SR-NASD-2004-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Modifying Fees and Credits for Orders and Quotes Executed in the Nasdaq Closing Cross Comments Due: Federal Register version (69 FR 44699)
34-50032
July 16, 2004
SR-DTC-2004-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fees for DTC's TaxInfo Service Comments Due: Federal Register version (69 FR 43871)
34-50016
July 14, 2004
SR-Amex-2004-43
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the American Stock Exchange LLC Relating to the Listing and Trading of Notes Linked to the Performance of the Nikkei 225 Index Comments Due: Federal Register version (69 FR 43639)
34-50019
July 14, 2004
SR-Amex-2004-48
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto by American Stock Exchange LLC Relating to the Listing and Trading of Notes Linked to the Performance of the Standard and Poor's 500 Index Comments Due: Federal Register version (69 FR 43635)
34-50018
July 14, 2004
SR-NASD-2004-058
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Partial Customer Account Transfers Comments Due: Federal Register version (69 FR 43873)
34-50021
July 14, 2004
SR-NYSE-2004-38
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Exempting Bonds from the Order Tracking System Requirements (NYSE Rule 132B) Comments Due: Federal Register version (69 FR 43653)
34-50010
July 13, 2004
SR-ISE-2004-25
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the International Securities Exchange, Inc., Relating to the Extension of the Linkage Fee Pilot Program Comments Due: Federal Register version (69 FR 43649)
34-50007
July 13, 2004
SR-CBOE-2004-43
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Incorporated To Amend the Exchange's Membership Rules To Accommodate e-DPMs Comments Due: Rel. No. 34-50209 Federal Register version (69 FR 43034)
34-50002
July 12, 2004
SR-CHX-2004-11
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Inc. Relating to the Implementation of a Fully-Automated Electronic Book for the Display and Execution of Orders in Securities That Are Not Assigned to a Specialist Rel. No. 34-52094 Federal Register version (69 FR 43036)
34-50004
July 12, 2004
SR-PCX-2004-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to Changes to the Schedule of Fees and Charges for Exchange Services Comments Due: Federal Register version (69 FR 43043)
34-49991
July 9, 2004
SR-Amex-2004-49
Notice of Filing of 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. 34-50214 Federal Register version (69 FR 42472)
34-49999
July 9, 2004
SR-Amex-2004-42
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the American Stock Exchange LLC Relating to the Listing and Trading of Contingent Principal Protection Notes Linked to the Performance of the Nikkei 225 Index Comments Due: Federal Register version (69 FR 43023)
34-49998
July 9, 2004
SR-NSX-2004-10
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by National Stock Exchange Relating to Corporate Governance Comments Due: Federal Register version (69 FR 42788)
34-49994
July 9, 2004
SR-CHX-2004-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Chicago Stock Exchange, Incorporated to Reinstate and Extend a Pilot Rule Interpretation Relating To Trading of Nasdaq/National Market Securities in Subpenny Increments Comments Due: Federal Register version (69 FR 42486)
34-50000
July 9, 2004
SR-ISE-2004-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, Inc. to Adopt an Anti-Money Laundering Rule Comments Due: Federal Register version (69 FR 42786)
34-49995
July 9, 2004
SR-CBOE-2004-28
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 thereto by the Chicago Board Options Exchange, Incorporated, Relating to Enhanced Corporate Governance Requirements for Listed Companies Comments Due: Federal Register version (69 FR 42476)
34-49983
July 8, 2004
SR-Amex-2004-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to an Amendment to Amex Rule 131 Comments Due: Federal Register version (69 FR 42229)
34-49987
July 8, 2004
SR-OCC-2004-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Settlements of Exercises and Assignments of Foreign Currency Options Comments Due: Federal Register version (69 FR 42490)
34-49989
July 8, 2004
SR-FICC-2004-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Structure of the Government Securities Division Regarding Late Notifications of Repo Collateral Substitutions and to Designate an Additional High Volume Repo Substitution Day Trigger Comments Due: Federal Register version (69 FR 42488)
34-49990
July 8, 2004
SR-CBOE-2003-39
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto by the Chicago Board Options Exchange, Inc. Relating to Quote Sizes Comments Due: Rel. No. 34-50205 Federal Register version (69 FR 42473)
34-49978
July 7, 2004
SR-CHX-2004-14
Notice of Filing of Proposed Rule Change by the Chicago Stock Exchange, Incorporated Relating to the Handling of Preopening Orders in Nasdaq/NM Securities Comments Due: Rel. No. 34-50215 Federal Register version (69 FR 42231)
34-49963
July 2, 2004
SR-Amex-2004-33
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the American Stock Exchange LLC Relating to the Handling of Satisfaction Orders Pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Comments Due: Federal Register version (69 FR 41864)
34-49964
July 2, 2004
SR-BSE-2004-17
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the Boston Stock Exchange, Inc. Relating to the Handling of Satisfaction Orders Pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Comments Due: Federal Register version (69 FR 41866)
34-49968
July 2, 2004
SR-Phlx-2004-27
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to the Processing of Satisfaction Orders Following a Trade-Through Pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Comments Due: Federal Register version (69 FR 41873)
34-49967
July 2, 2004
SR-PCX-2004-34
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to the Handling of Satisfaction Orders Pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Comments Due: Federal Register version (69 FR 41871)
34-49966
July 2, 2004
SR-ISE-2004-07
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the International Securities Exchange, Inc. Relating to the Handling of Satisfaction Orders Pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Comments Due: Federal Register version (69 FR 41870)
34-49965
July 2, 2004
SR-CBOE-2004-30
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Chicago Board Options Exchange, Inc. Relating to the Handling of Satisfaction Orders Pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Comments Due: Rel. No. 34-51244A Federal Register version (69 FR 41868)
34-49955
July 1, 2004
SR-BSE-2004-23
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Boston Stock Exchange, Inc. to Amend Chapter XXVII, Section 10 of the Rules of the Board of Governors By Adding Requirements Concerning Corporate Governance Standards of Exchange-Listed Companies Comments Due: Federal Register version (69 FR 41555)
34-49954
July 1, 2004
SR-NYSE-2004-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. To Extend Its Pilot Program Permitting a Floor Broker To Use an Exchange Authorized and Provided Portable Phone on the Exchange Floor Comments Due: Federal Register version (69 FR 41323)
34-49958
July 1, 2004
SR-OPRA-2004-02
Notice of Filing of Proposed 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 Currently Provided for in the Plan Comments Due: Federal Register version (69 FR 41312)
34-49956
July 1, 2004
SR-ISE-2004-19
Notice of Filing of Proposed Rule Change by the International Securities Exchange, Inc. Relating To Electronically Generated Orders Comments Due: Rel. No. 34-50208 Federal Register version (69 FR 41320)
34-49957
July 1, 2004
SR-ISE-2004-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, Inc., Relating to Fee Changes Comments Due: Federal Register version (69 FR 41318)
34-49946
June 30, 2004
SR-PCX-2004-56
Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc. to Relating to the Certificate of Incorporation and Bylaws of Archipelago Holdings, Inc. Rel. No. 34-50170 , Text of proposed Certificate of Incorporation of Archipelago Holdings , and Bylaws of Archipelago Holdings Federal Register version (69 FR 41009)
34-49948
June 30, 2004
SR-PCX-2004-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to a Twelve-Month Extension of the Automatic Execution System Incentive Pilot Program Rel. No. 34-50413 Federal Register version (69 FR 41007)
34-49949
June 30, 2004
SR-PCX-2004-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to a Twelve-Month Extension of the Automatic Execution System Book Function Pilot Program Comments Due: Federal Register version (69 FR 41006)
34-49935
June 29, 2004
SR-NASD-2004-079
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by 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. 34-50199 Federal Register version (69 FR 40699)
34-49927
June 28, 2004
SR-NASD-2004-093
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the National Association of Securities Dealers, Inc. Establishing a Revised Effective Date for Amendments to the Order Audit Trail System Rules Relating to Execution Reports Comments Due: Federal Register version (69 FR 40698)
34-49925
June 28, 2004
SR-OCC-2004-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Clearance and Settlement of Variance Futures and Options on Variance Futures Comments Due: Federal Register version (69 FR 40447)
34-49929
June 28, 2004
SR-OCC-2004-04
Notice of Filing 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. 34-50178 , Rel. No. 34-50178 Federal Register version (69 FR 40449)
34-49933
June 28, 2004
SR-PCX-2004-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the System Phase-In of PCX Plus Comments Due: Federal Register version (69 FR 40702)
34-49931
June 28, 2004
SR-ISE-2004-24
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the International Securities Exchange, Inc. Relating to the Interaction of Market Maker Quotations Comments Due: Federal Register version (69 FR 40696)
34-49924
June 28, 2004
SR-DTC-2004-05
Notice of Filing of Proposed Rule Change Relating to the Look-Ahead Process Comments Due: Rel. No. 34-50182 Federal Register version (69 FR 40426)
34-49920
June 25, 2004
SR-NASD-2004-094
Notice of Filing of Proposed Rule Change 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 TRACE-Eligible Securities and Facilitate Dissemination Comments Due: View Received Comments Rel. No. 34-50317 Federal Register version (69 FR 40429)
34-49915
June 25, 2004
SR-NYSE-2004-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. To Extend a Pilot Relating to Voluntary Supplemental Procedures for Selecting Arbitrators Comments Due: Federal Register version (69 FR 39993)
34-49917
June 25, 2004
SR-NYSE-2004-20
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc., to Change Its Original and Continued Quantitative Listing Standards Comments Due: View Received Comments Rel. No. 34-51813 , Rel. No. 34-51332 Federal Register version (69 FR 40439)
34-49918
June 25, 2004
SR-ISE-2004-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, Inc. Relating to the Extension of the Pilot Program for Quotation Spreads Comments Due: Federal Register version (69 FR 40427)
34-49916
June 25, 2004
SR-CBOE-2004-35
Notice of Filing of Proposed Rule Change by the Chicago Board Options Exchange, Inc. to Amend CBOE Rule 8.85 to Require the Immediate Display of Customer Limit Orders Comments Due: Rel. No. 34-51063 Federal Register version (69 FR 40422)
34-49919
June 25, 2004
SR-CBOE-2004-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc., Relating to a One-Month Extension of the $5 Quote Width Pilot Program Comments Due: Federal Register version (69 FR 40424)
34-49910
June 24, 2004
SR-NASD-2004-087
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Technical Amendments to Section 4 of Schedule A to the NASD By-Laws and to Rule 10308(d) of the NASD Code of Arbitration Procedure Comments Due: Federal Register version (69 FR 39532)
34-49913
June 24, 2004
SR-NSX-2004-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Stock Exchange To Extend an Existing Pilot Rule That Stipulates the Price Increment by Which Designated Dealers Must Better Customer Orders Comments Due: Federal Register version (69 FR 40437)
34-49912
June 24, 2004
SR-PCX-2004-47
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. to Eliminate the Ability to Manually Trade With Orders and Quotes With Size in the Consolidated Book Rel. No. 34-50143 Federal Register version (69 FR 39995)
34-49905
June 23, 2004
SR-NASD-2004-077
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Certain Transaction Charges for ITS Securities Comments Due: Federal Register version (69 FR 39531)
34-49901
June 22, 2004
SR-NASD-2004-080
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Conform Certain Provisions of NASD Rules 4200 and 4350 to the Rules of Another Self-Regulatory Organization, and to Make Additional Revisions Comments Due: Federal Register version (69 FR 38944)
34-49903
June 22, 2004
SR-NASD-2004-086
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. to NASD Rule 4200 to Clarify the Treatment of Certain Non-Preferential, Ordinary-Course Payments Comments Due: Federal Register version (69 FR 38941)
34-49900
June 22, 2004
SR-CHX-2004-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 by the Chicago Stock Exchange, Inc. Relating to Minimum Price Variation for Issues Customarily Trading at a Per Share Price of $100,000 or Greater Comments Due: Federal Register version (69 FR 39529)
34-49902
June 22, 2004
SR-MSRB-2004-02
Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board Relating to Proposed 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. 34-50294 Federal Register version (69 FR 38925)
34-49898
June 21, 2004
SR-NASD-2004-091
Notice of Filing 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 Hal Comments Due: Rel. No. 34-50091 Federal Register version (69 FR 35696)
34-49892
June 18, 2004
SR-Amex-2004-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of Automatic Execution for Exchange Traded Funds Comments Due: Federal Register version (69 FR 36141)
