Notice

Release Number SEC Issue Date File Number Details
34-51933 SR-NASD-2005-075 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees for Non-Members Using the New Testing Facility
Comments Due: July 27, 2005
Federal Register version (70 FR 38987)
34-51928 SR-Phlx-2005-036 Notice of Filing of Proposed Rule Change Relating to an Amendment of Phlx Rule 1023
Comments Due: July 28, 2005
See Also - Rel. No. 34-52254
Federal Register version (70 FR 39351)
34-51921 SR-NASD-2005-046 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Amending the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
Comments Due: July 21, 2005
View Received Comments
See Also - Rel. No. 34-52658
Federal Register version (70 FR 37887)
34-51923 SR-NYSE-2005-13 Notice of Filing of Proposed Rule Change Relating to Proposed Uniform Branch Office Form ("Form BR")
Comments Due: July 22, 2005
See Also - Rel. No. 34-52543
Federal Register version (70 FR 38229)
34-51925 SR-NYSE-2004-43 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to NYSE OpenBook Exhibit C
Comments Due: July 22, 2005
View Received Comments
See Also - Rel. No. 34-53585, Rel. No. 34-50275
Federal Register version (70 FR 38226)
34-51915 SR-NASD-2003-168 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Relating to the Release of Information Through the Public Disclosure Program
Comments Due: July 21, 2005
View Received Comments
See Also - Rel. No. 34-55127, Rel. No. 34-54053
Federal Register version (70 FR 37880)
34-51912 SR-NSX-2005-03 Notice of Filing of Proposed Rule Change, and Amendments No. 1 and 2 Thereto, Relating to the Ongoing Qualification of the Members of NSX's Board of Directors
Comments Due: July 21, 2005
See Also - Rel. No. 34-52224
Federal Register version (70 FR 37889)
34-51911 600-23 Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency
Comments Due: July 21, 2005
See Also - SECURITIES AND EXCHANGE COMMISSION, Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency
34-51900 SR-Amex-2005-003 Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, To Expand the Types of Trusts Permitted to Directly Own Amex Memberships
Comments Due: July 19, 2005
See Also - Rel. No. 34-52275
Federal Register version (70 FR 37139)
34-51905 SR-NASD-2005-006 Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto to Require Semi-Annual Financial Reporting by Foreign Private Issuers
See Also - Rel. No. 34-52192
Federal Register version (70 FR 37456)
34-51909 SR-Phlx-2005-37 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Payment for Order Flow and Directed Orders
See Also - Rel. No. 34-51984
Federal Register version (70 FR 37484)
34-51910 SR-Phlx-2005-34 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Electronic Submission of Financial Reports
Comments Due: July 20, 2005
Federal Register version (70 FR 37489)
34-51899 SR-NYSE-2005-16 Notice of Filing of Proposed Rule Change To Rescind the "Nine-Bond" Rule
See Also - Rel. No. 34-52182
Federal Register version (70 FR 37461)
34-51906 SR-NYSE-2004-05 Notice of Filing of Amendment No. 5 to a Proposed Rule Change Relating to Enhancements to the Exchange's Existing Automatic Execution Facility Pilot (NYSE Direct+)
Comments Due: July 20, 2005
View Received Comments
See Also - Rel. No. 34-53539, 34-50667, 34-50277, 34-50173
Federal Register version (70 FR 37463)
34-51901 SR-ISE-2005-06 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Fee Changes for Transactions in Options on the Standard & Poor's Depository Receipts
Comments Due: July 20, 2005
Federal Register version (70 FR 37455)
34-51902 SR-ISE-2005-19 Final Supplemental Environmental Impact Statement for the Wyoming Valley Levee Raising Project, Wilkes-Barre, PA
Comments Due: July 21, 2005
Federal Register version (70 FR 41820)
34-51890 SR-NASD-00-23 Notice of Filing of Amendment No. 2 to Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments To Order Audit Trail System Rules
Comments Due: July 18, 2005
View Received Comments
See Also - Rel. No. 34-52521
Federal Register version (70 FR 36985)
34-51892 SR-MSRB-2005-08 Notice of Filing of Proposed Rule Change Regarding Amendments to Rule G-40, on Electronic Mail Contacts, and Form G-40
See Also - Rel. No. 34-52162
Federal Register version (70 FR 37142)
34-51884 SR-Amex-2005-038 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Options, Including LEAPS, on Full and Reduced Values of the Nasdaq 100 Index
Comments Due: July 18, 2005
Federal Register version (70 FR 36973)
34-51881 SR-BSE-2005-15 Notice of Filing of a Proposed Rule Change Relating to Listing Fees
See Also - Rel. No. 34-52132
Federal Register version (70 FR 36674)
34-51889 SR-CHX-2005-18 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Submission of Immediate or Cancel CHXpress Orders
Comments Due: July 18, 2005
Federal Register version (70 FR 36979)
34-51885 SR-PCX-2005--71 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Relating to Complex Orders on the PCX Plus System
See Also - Rel. No. 34-52060
Federal Register version (70 FR 36995)
34-51882 SR-NSCC-2005-06 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Number of Extended Settlement Days for Fixed Income Securities
Comments Due: July 18, 2005
Federal Register version (70 FR 36992)
34-51880 SR-CBOE-2005-38 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Sales Value Fee
Comments Due: July 15, 2005
Federal Register version (70 FR 36676)
34-51888 SR-CBOE-2005-47 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exchange's Hybrid Trading System and Hybrid 2.0 Platform
Comments Due: July 18, 2005
Federal Register version (70 FR 36977)
34-51868 SR-Amex-2005-044 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Dissemination of the Underlying Index Value for Portfolio Depositary Receipts and Index Fund Shares
Comments Due: July 15, 2005
Federal Register version (70 FR 36672)
34-51869 SR-NASD-2005-051 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Create an Enterprise License Fee for the TotalView Entitlement
Comments Due: July 19, 2005
View Received Comments
See Also - Rel. No. 34-52377
Federal Register version (70 FR 37144)
34-51874 SR-NASD-2005-063 Notice of Filing of Proposed Rule Change To Amend NASD Rule 7010(k) Relating to TRACE Transaction Data
View Received Comments
See Also - Rel. No. 34-52183
Federal Register version (70 FR 36681)
34-51872 SR-NYSE-2005-42 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Specialist Marketing and Investor Education Fee for Investment Company Units
Comments Due: July 15, 2005
Federal Register version (70 FR 36683)
34-51865 SR-FICC-2005-11 Notice of Filing of Proposed Rule Change to Institute a Netting Process for Fail Deliver and Fail Receive Obligations for Netting Members in Its Government Securities Division
See Also - Rel. No. 34-52157
Federal Register version (70 FR 36679)
34-51859 SR-NASD-2005-068 Notice of Filing of Proposed Rule Change Regarding a New Order Type for the Pre-Market Trading Session
See Also - Rel. No. 34-52133
Federal Register version (70 FR 36428)
34-51860 SR-NASD-2005-061 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend for an Additional Two-Year Period NASD's Authority Under the Cease and Desist Pilot Program
Comments Due: July 14, 2005
Federal Register version (70 FR 36427)
34-51861 SR-OCC-2005-07 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Update Its By-Laws and Rules Pertaining to the Settlement of Exercised Cross-Rate Foreign Currency Options
Comments Due: July 18, 2005
Federal Register version (70 FR 36993)
34-51863 SR-NYSE-2005-02 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Relating to Amendments to Exchange Rule 607
Comments Due: July 14, 2005
View Received Comments
See Also - Rel. No. 34-52822
Federal Register version (70 FR 36451)
34-51858 SR-ISE-2005-26 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes
Comments Due: July 13, 2005
Federal Register version (70 FR 36218)
34-51854 SR-NASD-2005-065 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Nasdaq Market Center Rules for Trade Reporting of Exchange-Listed Securities
Comments Due: July 13, 2005
Federal Register version (70 FR 36220)
34-51855 SR-NASD-2004-013 Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto to Amend NASD Arbitration Rules for Mediation Proceedings
Comments Due: July 14, 2005
See Also - Rel. No. 34-52705
Federal Register version (70 FR 36440)
34-51856 SR-NASD-2003-158 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto To Amend NASD Arbitration Rules for Customer Disputes
Comments Due: July 14, 2005
View Received Comments
See Also - Rel. No. 34-55158
Federal Register version (70 FR 36442)
34-51857 SR-NASD-2004-011 Notice of Filing of Proposed Rule Change and Amendments Nos. 1, 2, 3, and 4 Thereto to Amend NASD Arbitration Rules for Industry Disputes
Comments Due: July 14, 2005
View Received Comments
See Also - Rel. No. 34-55158
Federal Register version (70 FR 36430)
34-51853 SR-Phlx-2005-41 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Providing an Electronic, Auditable Means of Receiving Orders and Cancels to Those Orders
Comments Due: July 13, 2005
Federal Register version (70 FR 36222)
34-51840 SR-Amex-2005-042 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Listing and Trading of Notes Linked to the Performance of the CBOE DJIA BuyWrite Index(sm)
Comments Due: July 11, 2005
Federal Register version (70 FR 35468)
34-51851 SR-NASD-2005-060 Notice of Filing of Proposed Rule Change to Create the ModelView Entitlement
See Also - Rel. No. 34-52112
Federal Register version (70 FR 35752)
34-51838 SR-Phlx-2005-30 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Impose a New Licensing Fee in Connection With the Firm-Related Equity Option and Index Option Fee Cap
Comments Due: July 11, 2005
Federal Register version (70 FR 35490)
34-51834 SR-Amex-2005-026 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 thereto Relating to Quotes in Nasdaq UTP Stocks To Be Disseminated by Amex Specialists Before 9:30 a.m.
Comments Due: July 11, 2005
See Also - Rel. No. 34-52244
Federal Register version (70 FR 35466)
34-51825 SR-NASD-2005-070 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rescinding the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the Waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration
Comments Due: July 11, 2005
Federal Register version (70 FR 35482)
34-51836 SR-NASD-2005-059 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend NASD Rule 7090 To Modify the Annual Listing and Administrative Fees
Comments Due: July 12, 2005
View Received Comments
See Also - Rel. No. 34-52517
Federal Register version (70 FR 35753)
34-51837 SR-NASD-2005-062 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Text of NASD Trade Reporting Rules to Reflect the Implementation of SR-NASD-2003-159
Comments Due: July 12, 2005
Federal Register version (70 FR 35747)
34-51835 SR-ISE-2004-16 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Establishing a Directed Order Process
Comments Due: July 11, 2005
See Also - Rel. No. 34-52331
Federal Register version (70 FR 35479)
34-51828 SR-CBOE-2005-42 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to a Fee Cap for Options Merger Spread Transactions
Comments Due: July 11, 2005
Federal Register version (70 FR 35475)
34-51830 SR-CBOE-2005-26 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Terms of Index Option Contracts Listed on the Exchange
Comments Due: July 11, 2005
Federal Register version (70 FR 35473)
34-51820 SR-Phlx-2005-28 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Split Price Priority
Comments Due: July 12, 2005
Federal Register version (70 FR 35759)
34-51818 SR-ISE-2005-18 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Preferencing of Orders to Exchange Market Makers
Comments Due: July 7, 2005
View Received Comments
Federal Register version (70 FR 35146)
34-51824 SR-CBOE-2005-45 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Designated Primary Market-Maker Participation Entitlement for Orders Specifying a Preferred DPM
Comments Due: July 11, 2005
Federal Register version (70 FR 35476)
34-51812 SR-Amex-2005-054 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Continuation of a Quote Assist Feature in Options on a Pilot Basis
Comments Due: July 7, 2005
Federal Register version (70 FR 35140)
34-51815 SR-Amex-2005-55 Notice of Filing of Proposed Rule Change Relating to the Continuation of a Quote Assist Feature in Options on a Pilot Basis
See Also - Rel. No. 34-52061
Federal Register version (70 FR 35142)
34-51810 SR-NASD-2005-069 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Multiple Market Participant Identifiers
Comments Due: July 6, 2005
Federal Register version (70 FR 34803)
34-51816 SR-Phlx-2005-23 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Retroactive Amendment of Exchange Rule 640(a) Pertaining to the Continuing Education Regulatory Element Requirement
Comments Due: July 12, 2005
Federal Register version (70 FR 35756)
34-51805 SR-NSX-2005-05 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Liquidity Provider Rebate and Fee Program
Comments Due: July 6, 2005
Federal Register version (70 FR 34805)
34-51800 SR-CHX-2005-14 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments Due: July 6, 2005
Federal Register version (70 FR 34802)
34-51795 SR-PCX-2005-67 Notice of Filing of Proposed Rule Change Relating to Exchange Fees and Charges
See Also - Rel. No. 34-52083
Federal Register version (70 FR 34511)
34-51786 SR-NASD-2005-064 Notice of Filing of Proposed Rule Change Relating to the Publication of Any Decision Issued by the National Adjudicatory Council Pursuant to Rule 1015
Comments Due: July 5, 2005
View Received Comments
See Also - Rel. No. 34-52692
Federal Register version (70 FR 34170)
34-51787 SR-PCX-2005-65 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Fees and Charges
Comments Due: July 5, 2005
Federal Register version (70 FR 34174)
34-51788 SR-PCX-2005-70 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Correct a Typographical Error in Its Schedule of Fees and Charges
Comments Due: July 5, 2005
Federal Register version (70 FR 34173)
34-51791 SR-PCX-2005-22 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of a Third Party to Maintain a Member's Books and Records
Comments Due: July 5, 2005
Federal Register version (70 FR 34513)
34-51789 SR-FICC-2005-09 Notice of Filing of a Proposed Rule Change Relating to the Collection of Fees for Services Provided by Other Entities
See Also - Rel. No. 34-521249
Federal Register version (70 FR 34169)
34-51778 SR-BSE-2005-18 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 to Extend Until June 5, 2006, a Pilot Program for Listing Options on Selected Stocks Trading Below $20 at One-Point Intervals
Comments Due: June 29, 2005
Federal Register version (70 FR 33562)
34-51776 SR-CHX-2005-11 Notice of Filing and Immediate Effectiveness of Rule Change Relating to Transactions in Certain Odd-Lot Orders
Comments Due: June 29, 2005
Federal Register version (70 FR 33567)
34-51775 SR-ISE-2005-24 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes
Comments Due: June 29, 2005
Federal Register version (70 FR 33569)
34-51770 SR-Amex-2005-040 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment Nos. 1 and 2 to Extend Until June 5, 2006, a Pilot Program for Listing Options on Selected Stocks Trading Below $20 at One-Point Intervals
Comments Due: June 28, 2005
Federal Register version (70 FR 33226)
34-51765 SR-NSX-2005-02 Notice of Filing of Proposed Rule Change, and Amendments No. 1 and 2 Thereto, Relating to the Composition of NSX's Board of Directors and Committees
See Also - Rel. No. 34-52007
Federal Register version (70 FR 33238)
34-51763 SR-CHX-2005-15 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments Due: June 28, 2005
Federal Register version (70 FR 33230)
34-51768 SR-Phlx-2005-35 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Until June 5, 2006, a Pilot Program for Listing Options on Selected Stocks Trading Below $20 at One-Point Intervals
Comments Due: June 28, 2005
Federal Register version (70 FR 33250)
34-51767 SR-PCX-2005-69 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Until June 5, 2006, a Pilot Program for Listing Options on Selected Stocks Trading Below $20 at One-Point Intervals
Comments Due: June 28, 2005
Federal Register version (70 FR 33244)
34-51769 SR-ISE-2005-22 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Until June 5, 2006, a Pilot Program for Listing Options on Selected Stocks Trading Below $20 at One-Point Intervals
Comments Due: June 28, 2005
Federal Register version (70 FR 33232)
34-51771 SR-CBOE-2005-37 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend until June 5, 2006, a Pilot Program for Listing Options on Selected Stocks Trading Below $20 at One-Point Intervals
Comments Due: June 28, 2005
Federal Register version (70 FR 33228)
34-51756 SR-NASD-2005-036 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Modify Certain Fees for Connecting to the Nasdaq Market Center and Nasdaq's Brut Facility
Comments Due: June 28, 2005
Federal Register version (70 FR 33236)
34-51757 SR-NASD-2005-037 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto To Modify Certain Fees for Connecting to the Nasdaq Market Center and Nasdaq's Brut Facility for Non-Members
Comments Due: June 28, 2005
Federal Register version (70 FR 33234)
34-51751 SR-PCX-2005-33 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to OTP Holders and OTP Firms Borrowing From or Lending to Their Customers
Comments Due: June 28, 2005
Federal Register version (70 FR 33248)
34-51752 SR-PCX-2005-34 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to ETP Holders Borrowing from or Lending to Their Customers
Comments Due: June 28, 2005
Federal Register version (70 FR 33245)
34-51755 4-208 Intermarket Trading System; Notice of Filing of the Twenty First Amendment to the ITS Plan Relating to the Recognition of the Automatic Generation of Outgoing ITS Commitments
Comments Due: June 27, 2005
Federal Register version (70 FR 32853)
34-51747 SR-NYSE-2005-26 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Extend the Closing Time of Crossing Session II and to Amend its Crossing Sessions III and IV to Eliminate the Share Size Restriction and the Process by Which an Order is Executed if There is No Execution Prior to 4 p.m.
Comments Due: June 29, 2005
See Also - Rel. No. 34-52026
Federal Register version (70 FR 33571)
34-51746 SR-CBOE-2005-32 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to Remote Market-Maker Transaction Fees
Comments Due: June 27, 2005
Federal Register version (70 FR 32855)
34-51749 SR-CBOE-2005-31 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Transaction Fees in Options on the Russell 2000 Index
Comments Due: July 5, 2005
Federal Register version (70 FR 34510)
34-51742 SR-NASD-2005-030 Notice for Securities Industry Registration ("Form U5")
Comments Due: June 23, 2005
View Received Comments
See Also - Rel. No. 34-52544
Federal Register version (70 FR 48802)
34-51740 SR-PCX-2005-64 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto Relating to the Market Maker Risk Limitation Mechanism
Comments Due: June 24, 2005
Federal Register version (70 FR 32686)
34-51744 SR-NYSE-2005-31 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretation of Exchange Rules
Comments Due: June 23, 2005
Federal Register version (70 FR 32391)
34-51732 SR-OC-2005-01 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to EFP Transaction Reporting Procedures
Comments Due: June 24, 2005
Federal Register version (70 FR 32685)
34-51734 SR-BSE-2005-13 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Its Membership Dues Fee
Comments Due: June 27, 2005
Federal Register version (70 FR 32854)
34-51735 SR-NASD-2004-165 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to NASD Rule 2790
View Received Comments
See Also - Rel. No. 34-52209A, Rel. No. 34-52209
Federal Register version (70 FR 31554)
34-51731 SR-Phlx-2005-02 Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Volume Weighted Average Price Crosses
See Also - Rel. No. 34-51996
Federal Register version (70 FR 32692)
34-51727 SR-PCX-2005-51 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Revisions to the Series 4 Examination Program
Comments Due: June 24, 2005
Federal Register version (70 FR 32690)
34-51728 SR-PCX-2005-57 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating To Delay of Implementation Date of Revisions to the Series 4 Examination Program
Comments Due: June 24, 2005
Federal Register version (70 FR 32689)
34-51729 SR-NYSE-2004-57 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to Member Organization Increases in Arbitration Filing Fees and Member Organization Surcharges in Arbitration Claims Filed by Customers
Comments Due: June 21, 2005
Federal Register version (70 FR 30986)
34-51737 SR-MSRB-2005-07 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Amendment to Rule G-8, on Recordkeeping, Relating to Delivery of Customer Agreements Containing Predispute Arbitration Clauses
Comments Due: June 22, 2005
Federal Register version (70 FR 31552)
34-51722 SR-NASD-2004-009 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto by the National Association of Securities Dealers, Inc. To Modify Nasdaq's Clearly Erroneous Rule
See Also - Rel. No. 34-52141
Federal Register version (70 FR 30508)
34-51723 SR-PCX-2005-52 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto Making Certain Administrative Changes to the PCX Rules
Comments Due: June 21, 2005
Federal Register version (70 FR 30988)
34-51718 SR-Phlx-2004-65 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to Backup Trading Arrangements
See Also - Rel. No. 34-51926, Exhibits 3.A and 3.B
Federal Register version (70 FR 30171)
34-51720 SR-CBOE-2005-33 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Increased Class Quoting Limits in AAPL, GOOG, MNX, QQQQ
Comments Due: June 15, 2005
Federal Register version (70 FR 30164)
34-51706 SR-NYSE-2005-27 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 2 Thereto Relating to the Listing of PIESSM
Comments Due: June 15, 2005
Federal Register version (70 FR 30166)
34-51704 SR-CBOE-2005-29 Notice of Filing of a Proposed Rule Change Relating to the Composition of the Exchange's Modified Trading System Appointments Committee
See Also - Rel. No. 34-51993
Federal Register version (70 FR 30156)