34-49889
June 17, 2004
SR-Amex-2004-34
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by American Stock Exchange LLC Relating to the Handling of Principal Acting as Agent Orders Comments Due: Federal Register version (69 FR 36139)
34-49886
June 17, 2004
SR-BSE-2004-15
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, By the Boston Stock Exchange, Inc., Relating to Handling of Principal Acting as Agent Orders Under Linkage Comments Due: Federal Register version (69 FR 35693)
34-49881
June 17, 2004
SR-Phlx-2004-33
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Philadelphia Stock Exchange, Inc. Relating to Corporate Governance Comments Due: Federal Register version (69 FR 35408)
34-49891
June 17, 2004
SR-Phlx-2004-26
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Sending Multiple Principal Acting as Agent Orders That Are Larger Than the Firm Customer Quote Size Comments Due: Federal Register version (69 FR 36147)
34-49890
June 17, 2004
SR-PCX-2004-33
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Pacific Exchange, Inc. Relating to How Members Handle Principal Acting as Agent Orders Pursuant to Intermarket Linkage Comments Due: Federal Register version (69 FR 36145)
34-49888
June 17, 2004
SR-ISE-2004-06
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by International Securities Exchange, Inc., Relating to Handling of Principal Acting as Agent Orders Under Linkage Comments Due: Federal Register version (69 FR 36144)
34-49887
June 17, 2004
SR-CBOE-2004-31
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by Chicago Board Options Exchange, Inc., Relating to Handling of Principal Acting as Agent Orders Under Linkage Comments Due: Federal Register version (69 FR 35695)
34-49872
June 16, 2004
SR-NASD-2004-075
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Certain Transaction Charges for ITS Securities Comments Due: Federal Register version (69 FR 35091)
34-49871
June 16, 2004
SR-OPRA-2004-03
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Revise Guideline 1 of the Capacity Guidelines To Confirm That It Is Within the Authority of the Independent System Capacity Advisor To Make Determinations Concerning the Establishment, Modification or Removal of Output Throttles From the OPRA System Comments Due: Federal Register version (69 FR 35082)
34-49868
June 15, 2004
SR-Amex-2004-36
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the American Stock Exchange LLC Relating to a Revision and Extension of the Trade-Through Liability Limitation Pilot Program Under the Options Intermarket Linkage Plan Comments Due: Federal Register version (69 FR 35401)
34-49869
June 15, 2004
SR-BSE-2004-19
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, and Amendment No. 1 Thereto, by the Boston Stock Exchange, Inc. for the Extension of a Pilot Program Limiting Liability for Trade-Throughs at the End of the Trading Day Comments Due: Federal Register version (69 FR 35403)
34-49857
June 15, 2004
SR-NASD-2004-078
Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. To Establish Certain Qualification Requirements for Supervisors of Research Analysts Comments Due: Rel. No. 34-50162 Federal Register version (69 FR 35106)
34-49856
June 15, 2004
SR-Phlx-2004-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, by the Philadelphia Stock Exchange, Inc. Relating to Permit Holder Fees Comments Due: Federal Register version (69 FR 34411)
34-49864
June 15, 2004
SR-Phlx-2004-35
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to the Extension of a Pilot Limiting Trade-Through Liability at the End of the Options Trading Session Comments Due: Federal Register version (69 FR 35119)
34-49865
June 15, 2004
SR-PCX-2004-38
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Pacific Exchange, Inc. for the Extension of a Pilot Program Limiting Liability for Trade-Throughs at the End of the Trading Day Comments Due: Federal Register version (69 FR 35117)
34-49866
June 15, 2004
SR-ISE-2004-14
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the International Securities Exchange, Inc. Relating to Limitations on End-of-Day Trade-Through Liability Comments Due: Federal Register version (69 FR 35406)
34-49867
June 15, 2004
SR-CBOE-2004-29
Notice of Filing an Order Granting Accelerated Approval to a Proposed Rule Change, and Amendment No. 1 thereto, by the Chicago Board Options Exchange, Incorporated Proposing to Extend a Pilot Program Relating to Certain Limitations on Trade-Through Liability. Comments Due: Federal Register version (69 FR 35405)
34-49855
June 14, 2004
SR-Amex-2004-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC to Extend on a Six-Month Pilot Basis the Exchange's Odd-Lot Execution Procedures Applicable To Trading in Nasdaq Securities Comments Due: Federal Register version (69 FR 35399)
34-49852
June 14, 2004
SR-NASD-2004-039
Notice of Filing of Proposed Rule Change and Amendment No. 1 by National Association of Securities Dealers, Inc. Relating to Reducing the Time for Chairperson Selection Comments Due: Rel. No. 34-50036 Federal Register version (69 FR 34205)
34-49853
June 14, 2004
SR-ISE-2004-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the International Securities Exchange, Inc., Relating to Fee Changes Comments Due: Federal Register version (69 FR 35087)
34-49850
June 10, 2004
SR-BSE-2004-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. Relating to the Initial Allocation Plan of the Boston Options Exchange Facility Comments Due: Federal Register version (69 FR 34204)
34-49844
June 10, 2004
SR-NASD-2004-021
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Relating to Reporting of Cancelled Trades Comments Due: Rel. No. 34-50059 Federal Register version (69 FR 33980)
34-49843
June 10, 2004
SR-PCX-2004-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. To Extend a Temporary Waiver of Fees for Market Makers that Utilize More Than One Seat Comments Due: Federal Register version (69 FR 34209)
34-49849
June 10, 2004
SR-NYSE-2004-22
Notice of Filing of a Proposed Rule Change by the New York Stock Exchange, Inc. Regarding Listing and Trading of Equity Gold Shares Comments Due: Rel. No. 34-50603 Federal Register version (69 FR 33984)
34-49851
June 10, 2004
SR-EMCC-2004-04
Notice of Filing of a Proposed Rule Change Relating to Buy-In and Sell-Out Procedures Order Granting Accelerated Approval of a Proposed Rule Change Relating to Buy-In and Sell-Out Procedures
34-49813A
June 9, 2004
SR-Amex-2004-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals Until June 5, 2005 Comments Due: Rel. No. 34-49813
34-49840
June 9, 2004
SR-Amex-2004-23
Notice of Filing of a Proposed Rule Change by American Stock Exchange LLC and Amendment No. 1 Thereto Relating to Generic Listing Standards for Trust Certificate Securities Linked to a Portfolio of Investment Grade Securities Comments Due: Rel. No. 34-50355 Federal Register version (69 FR 33958)
34-49842
June 9, 2004
SR-NASD-2004-071
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Regarding Improved Nasdaq Opening Process Comments Due: View Received Comments Rel. No. 34-50405 Federal Register version (69 FR 33971)
34-49833
June 8, 2004
SR-NASD-2004-056
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Relating to Short-Sale ACT Reporting Requirements Comments Due: View Received Comments Federal Register version (69 FR 33969)
34-49832
June 8, 2004
SR-Phlx-2003-59
Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 by the Philadelphia Stock Exchange, Inc. Relating to the Exchange's New Electronic Trading Platform, "Phlx XL" Rel. No. 34-50100 , Text of proposed rules also available Federal Register version (69 FR 33442)
34-49834
June 8, 2004
SR-OCC-2004-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Index Option Expiration Date Exercise Procedures Comments Due: Federal Register version (69 FR 33438)
34-49828
June 8, 2004
SR-PCX-2004-51
Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc. Amending the Designated Options Examination Authority Fee on a Retroactive Basis Rel. No. 34-50101 Federal Register version (69 FR 34210)
34-49835
June 8, 2004
SR-PCX-2004-52
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the Pacific Exchange, Inc. Relating to Preventing Locks and Crosses in PNP Orders for ITS Trade-Through Exempt Securities by Amending PCXE Rule 7.31 Comments Due: View Received Comments Federal Register version (69 FR 34211)
34-49827
June 8, 2004
SR-ISE-2004-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, Inc. To Extend a Pilot Program Under Which It Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals Until August 5, 2004 Comments Due: Federal Register version (69 FR 33966)
34-49825
June 8, 2004
SR-EMCC-2004-06
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Form and Substance of Opinions of Counsel
34-49826
June 8, 2004
SR-EMCC-2004-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Applicants’ and Members’ Financial Reporting Obligations
34-49820
June 7, 2004
SR-BSE-2004-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. Relating to Its Boston Options Exchange Regulation By-Laws Comments Due: Federal Register version (69 FR 33962)
34-49818
June 7, 2004
SR-PCX-2004-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. To Extend a Pilot Program Under Which It Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals Until August 4, 2004 Comments Due: Federal Register version (69 FR 33440)
34-49821
June 7, 2004
SR-NYSE-2004-14
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by New York Stock Exchange Relating to NYSE Listed Company Manual Section 102.04 (Closed-End Management Investment Companies Registered Under the Investment Company Act of 1940-Business Development Companies) Comments Due: Federal Register version (69 FR 33434)
34-49813
June 4, 2004
SR-Amex-2004-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC to Extend a Pilot Program Under Which It Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals Until June 5, 2005 Comments Due: Rel. No. 34-49813A Federal Register version (69 FR 33088)
34-49806
June 4, 2004
SR-BSE-2004-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. To Extend a Pilot Program Under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals Until June 5, 2005 Comments Due: Federal Register version (69 FR 32640)
34-49814
June 4, 2004
SR-CBOE-2004-33
Notice of Filing of Proposed Rule Change by the Chicago Board Options Exchange, Inc. Relating to Frequency of Executions on the Hybrid Trading System Comments Due: Rel. No. 34-50005 Federal Register version (69 FR 33090)
34-49804
June 4, 2004
SR-NYSE-2004-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Listed Company Fee Exclusion for NYSEnet SM Comments Due: View Received Comments correction , for this proposal. Federal Register PDF Federal Register version (69 FR 33437)
34-49804
June 4, 2004
S7-24-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Listed Company Fee Exclusion for NYSEnet SM Comments Due: View Received Comments correction , for this proposal. Federal Register PDF Federal Register version (69 FR 33437)
34-49797
June 3, 2004
SR-Amex-2004-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC To Implement a Quote Assist Feature in Options on a Pilot Program Basis Comments Due: Federal Register version (69 FR 32637)
34-49800
June 3, 2004
SR-Amex-2004-37
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to a Change in the Options Transaction Fee Reductions for Non-Member Broker-Dealers in Connection With Cabinet and Spread Trades Comments Due: Rel. No. 34-49986 Federal Register version (69 FR 32639)
34-49801
June 3, 2004
SR-Phlx-2004-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. To Extend a Pilot Program Under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals Until June 5, 2005 Comments Due: Federal Register version (69 FR 32652)
34-49802
June 3, 2004
SR-PCX-2004-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to Exchange Fees and Charges Comments Due: Federal Register version (69 FR 32391)
34-49804
June 3, 2004
SR-NYSE-2004-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Listed Company Fee Exclusion for NYSEnet SM Comments Due: Federal Register version (69 FR 33437)
34-49799
June 3, 2004
SR-CBOE-2004-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc. to Extend a Pilot Program Under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals Until June 5, 2005 Comments Due: Federal Register version (69 FR 32642)
34-49796
June 2, 2004
SR-NASD-2004-083
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Non-Standard Settlement Trades Comments Due: Federal Register version (69 FR 32083)
34-49792
June 2, 2004
SR-NSX-2004-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Stock Exchange To Extend the Liquidity Provider Fee and Rebate Pilot Program Comments Due: Federal Register version (69 FR 32389)
34-49793
June 2, 2004
SR-CHX-2004-02
Notice of Filing of Proposed Rule Change by the Chicago Stock Exchange, Incorporated Relating to Automatic Execution of Orders Comments Due: Rel. No. 34-50013 Federal Register version (69 FR 32645)
34-49786
May 28, 2004
SR-PCX-2004-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, by the Pacific Exchange, Inc. Relating to Post-Trade Anonymity to its ETP Holders. Comments Due: Federal Register version (69 FR 32087)
34-49783
May 27, 2004
SR-NASD-2004-065
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Regarding the Nasdaq Closing Cross Comments Due: Rel. No. 34-50176 Federal Register version (69 FR 31650)
34-49779
May 27, 2004
SR-NYSE-2004-16
Notice for Securities Industry Registration (Form U5) Comments Due: Federal Register version (69 FR 32084)
34-49775
May 26, 2004
SR-Amex-2004-32
Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC To Amend Article II, Section 3 of the Exchange Constitution Comments Due: Rel. No. 34-49775 Federal Register version (69 FR 31437)
34-49772
May 26, 2004
SR-CHX-2004-08
Notice of Filing of Proposed Rule Change and Amendment No. 1 by the Chicago Stock Exchange, Incorporated To Amend the CHX Membership Dues and Fees Schedule To Provide a Tape Credit of 50% to Specialists Trading Tape A and Tape B Securities Comments Due: Rel. No. 34-49981 Federal Register version (69 FR 31147)
34-49773
May 26, 2004
SR-PCX-2004-46
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, by the Pacific Exchange, Inc. Relating to Modifying the Market Imbalance Calculation Comments Due: Rel. No. 34-53052 Federal Register version (69 FR 31440)
34-49776
May 26, 2004
SR-NYSE-2004-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. To Extend the Trading Hours for Three Exchange-Traded Funds Listed on the Exchange Comments Due: Federal Register version (69 FR 31439)
34-49777
May 26, 2004
SR-DTC-2004-04
Notice of Filing of a Proposed Rule Change To Establish a Valued Delivery Order Interface With the National Securities Clearing Corporation Comments Due: Rel. No. 34-50025 Federal Register version (69 FR 31149)
34-49771
May 25, 2004
SR-BSE-2003-09
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Boston Stock Exchange, Inc. Relating to the Extension of Certain Listed Trading Rules to the Trading of Nasdaq Securities Comments Due: Rel. No. 34-50154 Federal Register version (69 FR 31851)
34-49770
May 25, 2004
SR-Phlx-2004-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to a Temporary Waiver of Equity Option and Index Option Specialist Transaction Fees and ROT Comparison Fees for New and Recent Options Listings Comments Due: Federal Register version (69 FR 31150)
34-49764
May 25, 2004
SR-DTC-2003-10
Notice of Filing of Proposed Rule Change Relating to a New Messaging Service for Stock Loan Recalls Comments Due: Rel. No. 34-50029 Federal Register version (69 FR 30969)
34-49759
May 24, 2004
SR-Amex-2004-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC Relating to the Adoption of Procedures for the Transfer of Options Positions Comments Due: Federal Register version (69 FR 30731)
34-49763
May 24, 2004
SR-Amex-2004-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the American Stock Exchange LLC Relating to a Reduction in Options Transaction Fees Comments Due: Federal Register version (69 FR 30967)
34-49758
May 24, 2004
SR-PCX-2004-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Arbitration Comments Due: Federal Register version (69 FR 30734)
34-49752
May 21, 2004
SR-NASD-2004-055
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. Related to Clarification of the Price/Time Execution Algorithm in SuperMontage Comments Due: Federal Register version (69 FR 30354)
34-49751
May 21, 2004
SR-Phlx-2004-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Broker-Dealer Equity Option Transaction Fees Comments Due: Federal Register version (69 FR 30735)
34-49756
May 21, 2004
SR-PCX-2004-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and by the Pacific Exchange, Inc. to Amend Rules Relating to FOCUS Report Filings Comments Due: Federal Register version (69 FR 30972)
34-49757
May 21, 2004
SR-PCX-2004-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and by the Pacific Exchange, Inc. To Amend Rules Relating to FOCUS Report Filings Comments Due: Federal Register version (69 FR 30971)
34-49754
May 21, 2004
SR-ISE-2003-22
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the International Securities Exchange, Inc., Relating to Permanent Approval of the Pilot Program for Quotation Spreads Comments Due: Rel. No. 34-50015 Federal Register version (69 FR 30352)
34-49746
May 20, 2004
SR-NASD-2004-081
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Unit Listing Standards Comments Due: Federal Register version (69 FR 30356)
34-49748
May 20, 2004
SR-Phlx-2004-34
Notice of Filing and Immediate Effectiveness of Proposed Rule by the Philadelphia Stock Exchange, Inc. Relating to the Rescission of Commentary .01(f) to Exchange Rule 708 Comments Due: Federal Register version (69 FR 30000)
34-49742
May 19, 2004
SR-BSE-2004-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. Relating to Its Boston Options Exchange Trading Rules Comments Due: Federal Register version (69 FR 30350)
34-49732
May 19, 2004
SR-NASD-2004-069
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Redesignate Rules 4200A and 4350A Comments Due: Federal Register version (69 FR 29774)
34-49733
May 19, 2004
SR-NASD-2004-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Allow Members To Report Certain Trades Through SuperMontage Comments Due: Federal Register version (69 FR 29990)
34-49738
May 19, 2004
SR-NASD-2004-072
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Establish Fees for the Use of the Nasdaq Workstation II Service by NASD Members via Digital Subscriber Lines Comments Due: Federal Register version (69 FR 29995)
34-49728
May 19, 2004
SR-CHX-2004-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The Chicago Stock Exchange, Inc. To Set Fees for Member Firms for Computer Hardware Stored on the Exchange Premises and for the Connection of that Hardware to the CHX System Comments Due: Federal Register version (69 FR 29988)
34-49737
May 19, 2004
SR-PCX-2004-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Exchange Fees and Charges Comments Due: Federal Register version (69 FR 29999)
34-49722
May 18, 2004
SR-Amex-2004-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 by the American Stock Exchange LLC Relating to a Reduction in ETF Transaction Fees for Specialists and Registered Options Traders Comments Due: Federal Register version (69 FR 29589)
34-49721
May 18, 2004
SR-CHX-2004-10
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Inc. Relating to Co-Specialist Assignments and Evaluations Comments Due: Rel. No. 34-50024 Federal Register version (69 FR 29592)
34-49723
May 18, 2004
SR-CBOE-2004-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc. to Remove From the Exchange Rules References to Certain Indexes and Trading Permits Comments Due: Federal Register version (69 FR 29591)
34-49719
May 17, 2004
SR-Amex-2004-16
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to Funds of the Vanguard Stock Index Funds Comments Due: Federal Register version (69 FR 29581)
34-49715
May 17, 2004
SR-NASD-2004-061
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Relating to the Listing and Trading of 97% Protected Notes Linked to the Global Equity Basket Comments Due: Federal Register version (69 FR 29597)
34-49713
May 17, 2004
SR-PCX-2004-12
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto by the Pacific Exchange, Inc. Creating an Additional Processing Capability for PNP Orders Called "PNP Plus" Rel. No. 34-49942 Federal Register version (69 FR 29609)
34-49714
May 17, 2004
SR-NYSE-2004-07
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc., Relating to the Listed Company Manual's Requirement that Companies Make Certain Paper Filings Comments Due: Rel. No. 34-49988 Federal Register version (69 FR 29608)
34-49717
May 17, 2004
SR-NSCC-2004-01
Notice of Filing of Proposed Rule Change To Modify the National Securities Clearing Corporation's Continuous Net Settlement System Rel. No. 34-50026 Federal Register version (69 FR 29605)
34-49709
May 14, 2004
SR-DTC-2004-03
Notice of Filing of Proposed Rule Change Relating to the Processing of Deliveries in DTC's Money Market Instrument Program Comments Due: Rel. No. 34-50006 Federal Register version (69 FR 29155)
34-49696
May 13, 2004
SR-ISE-2004-08
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by International Securities Exchange, Inc., Relating to Trading Options on the S&P MidCap 400 Index Comments Due: Federal Register version (69 FR 28962)
34-49698
May 13, 2004
SR-CBOE-2004-09
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating to Options on Certain CBOE Volatility Indexes Comments Due: Federal Register version (69 FR 29152)
34-49688
May 12, 2004
SR-NASD-2003-163
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Voluntary Direct Communication Between Parties and Arbitrators Comments Due: View Received Comments Rel. No. 34-49950 Federal Register version (69 FR 28966)
34-49690
May 12, 2004
SR-Phlx-2004-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to the Trading Hours of Canadian Dollar Foreign Currency Options Comments Due: Federal Register version (69 FR 28972)
34-49693
May 12, 2004
SR-Phlx-2004-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Specialist Unit Fixed Monthly Fees Comments Due: Federal Register version (69 FR 28974)
34-49687
May 12, 2004
SR-CBOE-2004-05
Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the Chicago Board Options Exchange, Inc. Relating to the Relocation of an Entire Trading Station's Securities to Another Trading Station Comments Due: Rel. No. 34-49877 Federal Register version (69 FR 28959)
34-49681
May 11, 2004
SR-PCX-2003-51
Notice of Filing and Amendments No. 1, 2, and 3 Thereto of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Conditions of PCX Membership Rel. No. 34-49922 Federal Register version (69 FR 28970)
34-49685
May 11, 2004
SR-NSCC-2004-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptance of Non-Standard Settlement Input for Trade Recording Purposes Comments Due: Federal Register version (69 FR 27964)
34-49679
May 11, 2004
SR-CBOE-2004-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc. To Amend the Modified Rapid Opening Procedure Pilot Program Comments Due: Federal Register version (69 FR 27957)
34-49673
May 10, 2004
SR-NASD-2004-016
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Implementation of a Web-based Arbitration Claim Notification and Filing Procedure Comments Due: Rel. No. 34-49876 Federal Register version (69 FR 26910)
34-49674
May 10, 2004
SR-NASD-2004-001
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Arbitrator Training Fees Comments Due: Rel. No. 34-49875 Federal Register version (69 FR 26909)
