34-51704
May 18, 2005
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 Rel. No. 34-51993 Federal Register version (70 FR 30156)
34-51705
May 18, 2005
SR-CBOE-2005-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Eliminating the Remote Market-Maker Inactivity Fee Comments Due: Federal Register version (70 FR 30158)
34-51696
May 13, 2005
SR-PCX-2005-50
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to a Pilot Rule Extension of a Waiver of California Arbitrator Disclosure Standards Comments Due: Federal Register version (70 FR 29371)
34-51695
May 13, 2005
SR-NYSE-2005-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Reduction of Transaction Fees for Exchange-Listed Exchange Traded Funds Comments Due: Federal Register version (70 FR 29546)
34-51689
May 12, 2005
SR-Amex-2005-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 4 Examination Program Comments Due: Federal Register version (70 FR 28965)
34-51690
May 12, 2005
SR-Amex-2005-045
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation Date of Revisions to the Series 4 Examination Program Comments Due: Federal Register version (70 FR 28967)
34-51688
May 12, 2005
SR-NASD-2005-053
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation Date of Revisions to the Series 4 Examination Program Comments Due: Federal Register version (70 FR 28970)
34-51693
May 12, 2005
SR-NASD-2005-052
Notice of Filing of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to Honorarium for Arbitrators Deciding Discovery-Related Motions Comments Due: View Received Comments Rel. No. 34-51031 Federal Register version (70 FR 28972)
34-51687
May 12, 2005
SR-CBOE-2005-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Waiver of May 2005 Member Dues for CBOE Market-Makers Comments Due: Federal Register version (70 FR 28968)
34-51681
May 11, 2005
SR-Amex-2005-28
Notice Requirements Applicable to Amex Listed Issuers Comments Due: Rel. No. 34-51898 Federal Register version (70 FR 28325)
34-51685
May 11, 2005
SR-Amex-2005-050
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Marketing Fee for Options on SPDRs Comments Due: Federal Register version (70 FR 28587)
34-51683
May 11, 2005
SR-NASD-2005-039
Notice of Filing of Proposed Rule Change To Incorporate the Brut System Book Feed Into the TotalView Entitlement Comments Due: Rel. No. 34-51862 Federal Register version (70 FR 28345)
34-51684
May 11, 2005
SR-CBOE-2005-24
Notice of Filing of Proposed Rule Change Relating to the Assignment of RAES Orders to Logged-In Market-Makers Participating on RAES Comments Due: Rel. No. 34-51992 Federal Register version (70 FR 28588)
34-51680
May 10, 2005
SR-CBOE-2004-87
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Trading Rules on the Hybrid System for Index Options and Options on ETFs Comments Due: Rel. No. 34-51822 Federal Register version (70 FR 28326)
34-51671
May 9, 2005
SR-Amex-2005-033
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Rule 918-ANTE(a)(4) Regarding Closing Rotations File Nos.: Comments Due: Rel. No. 34-51873 Federal Register version (70 FR 29829)
34-51668
May 9, 2005
SR-NASD-2005-056
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, National Association of Securities Dealers, Inc. Eliminating the Directed Order Process in The Nasdaq Market Center Rel. No. 34-52148 Federal Register version (70 FR 25869)
34-51672
May 9, 2005
SR-PCX-2005-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Exchange Fees and Charges Comments Due: Federal Register version (70 FR 28347)
34-51674
May 9, 2005
SR-NSCC-2005-03
Notice of Filing of a Proposed Rule Change Relating to the Collecting of Fees for Services Provided by Other Entities Rel. No. 34-51871 Federal Register version (70 FR 25636)
34-51675
May 9, 2005
SR-DTC-2005-03
Notice of Filing of a Proposed Rule Change Relating to the Collection of Fees for Services Provided by Other Entities Comments Due: Rel. No. 34-51870 Federal Register version (70 FR 25630)
34-51664
May 6, 2005
SR-Amex-2005-033
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Rule 918-ANTE(a)(4) Regarding Closing Rotations File Nos.: Comments Due: Federal Register version (70 FR 29829)
34-51665
May 6, 2005
SR-Amex-2005-033
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Rule 918-ANTE(a)(4) Regarding Closing Rotations File Nos.: Comments Due: Federal Register version (70 FR 29829)
34-51657
May 5, 2005
SR-Phlx-2005-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and No. 2 Relating to a Dividend Spread Transaction Fee Cap Comments Due: Federal Register version (70 FR 24851)
34-51661
May 5, 2005
SR-NYSE-2005-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the New York Stock Exchange, Inc. Relating to Elimination of Exchange Rules 499 and 501A Comments Due: Federal Register version (70 FR 24849)
34-51659
May 5, 2005
SR-FICC-2004-22
Notice of Filing of a Proposed Rule Change Relating To Establishing a Sponsored Membership Program Comments Due: Rel. No. 34-51896 Federal Register version (70 FR 25129)
34-51649
May 3, 2005
SR-NSCC-2005-01
Notice of Filing of a Proposed Rule Change To Establish a Confirmation and Matching Service for Over-The-Counter U.S. Equity Options Transactions Rel. No. 34-51745 Federal Register version (70 FR 24666)
34-51649
May 3, 2005
SR-NSCC-2005-04
Notice of Filing of a Proposed Rule Change To Establish a Confirmation and Matching Service for Over-The-Counter U.S. Equity Options Transactions Rel. No. 34-51745 Federal Register version (70 FR 24666)
34-51650
May 3, 2005
SR-CBOE-2005-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc. Amending Its Marketing Fee Relating to Remote Market-Makers Comments Due: Federal Register version (70 FR 24663)
34-51642
May 2, 2005
SR-Amex-2005-041
Notice of Filing and Immediate Effectiveness of Revisions to the Implementation Date of the ANTE System Comments Due: Federal Register version (70 FR 24130)
34-51641
May 2, 2005
SR-PCX-2005-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges Comments Due: Federal Register version (70 FR 24155)
34-51645
May 2, 2005
SR-PCX-2005-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Exchange Fees and Charges Comments Due: Federal Register version (70 FR 24458)
34-51644
May 2, 2005
SR-NYSE-2005-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Employed by Non-Member Foreign Affiliates Who Contribute to the Preparation of Member Research Reports File Nos.: Comments Due: Federal Register version (70 FR 24148)
34-51643
May 2, 2005
SR-FICC-2005-01
Notice of Filing of a Proposed Rule Change Relating to Timely Notification of Significant Events That Effect a Change in Control of a Member or Could Have a Substantial Impact on a Member's Business or Financial Condition Comments Due: Rel. No. 34-51875 Federal Register version (70 FR 24665)
34-51634
April 29, 2005
SR-Amex-2005-036
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 S&P 500 BuyWrite Index(sm) Comments Due: Federal Register version (70 FR 24138)
34-51639
April 29, 2005
SR-CHX-2005-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to Participant Fees and Credits Comments Due: Federal Register version (70 FR 24143)
34-51640
April 29, 2005
SR-Phlx-2005-20
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, by the Philadelphia Stock Exchange, Inc. Relating to the Elimination of the Prohibition Against the Entry of Multiple Orders in an Option Within Any 15-Second Period for an Account or Accounts of the Same Beneficial Owner Rel. No. 34-51827 Federal Register version (70 FR 24156)
34-51626
April 28, 2005
SR-NASD-2005-054
Notice of Filing of Proposed Rule Change Relating to Certain Amendments to the Restated Certificate of Incorporation and the By-Laws of The Nasdaq Stock Market, Inc. Comments Due: Rel. No. 34-51741 Federal Register version (70 FR 23286)
34-51630
April 28, 2005
SR-NASD-2005-049
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. To Modify the Pricing for Non-NASD Members Using Nasdaq's Brut Facility Comments Due: Federal Register version (70 FR 24145)
34-51627
April 28, 2005
SR-PCX-2005-27
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to the Calculation of the National Best Bid or Offer When Another Exchange is Disconnected From the Intermarket Option Linkage Rel. No. 34-51799 Federal Register version (70 FR 23290)
34-51628
April 28, 2005
SR-NYSE-2005-28
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 (70 FR 23288)
34-51621
April 27, 2005
SR-Amex-2005-037
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto By the American Stock Exchange LLC Relating to When Floor Official Approval for a Transaction in a High-Priced Security Is Necessary Comments Due: Rel. No. 34-51796 Federal Register version (70 FR 22930)
34-51622
April 27, 2005
SR-NYSE-2005-29
Notice of Filing of a Proposed Rule Change To Remove Incorrect Reference in Its Rule Relating to Failure To Honor an Arbitration Award View Received Comments Rel. No. 34-52016 Federal Register version (70 FR 24146)
34-51620
April 27, 2005
SR-MSRB-2005-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendment to Rule G-41, on Anti-Money Laundering Compliance Programs Comments Due: Federal Register version (70 FR 22952)
34-51619
April 27, 2005
SR-ISE-2005-09
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the International Securities Exchange, Inc. To List and Trade Options on Various Russell Indexes Comments Due: Federal Register version (70 FR 22947)
34-51616
April 26, 2005
SR-Amex-2005-034
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade ETFs Based on the Dow Jones STOXX 50 and the Dow Jones EURO STOXX 50 Indexes Pursuant to Unlisted Trading Privileges Comments Due: Federal Register version (70 FR 22932)
34-51609
April 26, 2005
SR-NASD-2005-013
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Create a Uniform Pricing Structure for the Nasdaq Market Center Comments Due: View Received Comments Federal Register version (70 FR 22733)
34-51608
April 26, 2005
SR-PCX-2005-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise PCX Rule 6.88 To Eliminate the Prohibition on Computer Generated Orders Comments Due: Federal Register version (70 FR 22738)
34-51613
April 26, 2005
SR-NYSE-2004-42
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Eliminate the Requirement That a Floor Official Approve Certain Transactions on the Exchange's Automated Bond System Comments Due: View Received Comments Rel. No. 34-51790 Federal Register version (70 FR 22736)
34-51615
April 26, 2005
SR-NYSE-2002-19
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto by the New York Stock Exchange, Inc. Relating to Customer Portfolio and Cross-Margining Requirements Comments Due: View Received Comments Rel. No. 34-52031 , 34-50885 , Rel. No. 34-46576 Federal Register version (70 FR 22953)
34-51614
April 26, 2005
SR-CBOE-2002-03
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Chicago Board Options Exchange, Incorporated Relating to Customer Portfolio and Cross-Margining Requirements Comments Due: Rel. No. 34-52032 , 34-50886 , 34-45630 Federal Register version (70 FR 22935)
34-51599
April 22, 2005
SR-NASD-2005-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Modify Pricing for NASD Members Using Nasdaq's Brut Facility Comments Due: Federal Register version (70 FR 22166)
34-51601
April 22, 2005
SR-PCX-2005-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to Corporate Governance Standards for Listed Companies Comments Due: Federal Register version (70 FR 22739)
34-51597
April 21, 2005
SR-BSE-2004-51
Notice of Filing of Proposed Rule Change, and Amendment Nos. 1, 2, and 3 Thereto, by the Boston Stock Exchange, Inc. Relating to the Trading of Market Orders on the Boston Options Exchange Comments Due: Rel. No. 34-51821 Federal Register version (70 FR 22156)
34-51598
April 21, 2005
SR-NASD-2004-185
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. To Establish a Unitary Fee Schedule for Distribution of Real Time Data Feed Products Containing Nasdaq Market Center Data Comments Due: View Received Comments Rel. No. 34-51814 Federal Register version (70 FR 22162)
34-51596
April 21, 2005
SR-Phlx-2005-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to Fees Relating to Merger Spreads and Dividend Spreads Comments Due: Federal Register version (70 FR 22381)
34-51581
April 20, 2005
SR-NASD-2005-041
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Members Using the New Nasdaq Workstation Comments Due: Federal Register version (70 FR 21483)
34-51583
April 20, 2005
SR-NASD-2005-042
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Non-Members Using the New Nasdaq Workstation Comments Due: Federal Register version (70 FR 21481)
34-51584
April 20, 2005
SR-OCC-2005-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Procedures With Respect to Deposits of Cash or Securities With an Escrow Bank for Short Positions in Stock Option or Index Option Contracts Comments Due: Federal Register version (70 FR 21486)
34-51586
April 20, 2005
SR-OCC-2005-05
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Technical Changes That Add or Correct Cross-References in Article VIII, Section 5 of the By-Laws and in Rule 910 Comments Due: Federal Register version (70 FR 21485)
34-51580
April 20, 2005
SR-PCX-2005-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Arbitration Fees Comments Due: Federal Register version (70 FR 21832)
34-51579
April 20, 2005
SR-FICC-2005-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Types of Securities Eligible for FICC's GCF Repo Service to Include Treasury-Inflation Protected Securities Comments Due: Federal Register version (70 FR 21480)
34-51576
April 19, 2005
SR-PCX-2005-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the SizeQuote Mechanism for the Execution of Large-Sized Orders in Open Outcry Comments Due: Federal Register version (70 FR 21488)
34-51566
April 18, 2005
SR-Amex-2004-47
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Yield Underlying Participating Securities (YUPS) Comments Due: Rel. No. 34-52298 Federal Register version (70 FR 20946)
34-51567
April 18, 2005
SR-AMEX-2003-66
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5, 6 and 7 Thereto by the American Stock Exchange LLC Relating to the Listing and Trading of Trust Issued Receipts Based on a Single Issuer Comments Due: Federal Register version (70 FR 20939)
34-51559
April 15, 2005
SR-NASD-2005-024
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Make Clear That the Underlying Index Value for Portfolio Depository Receipts and Index Fund Shares Must Be Disseminated Widely by an Appropriate Service Comments Due: Rel. No. 34-51748 Federal Register version (70 FR 20787)
34-51561
April 15, 2005
SR-MSRB-2005-04
Notice of Filing of Proposed Rule Change Relating to Solicitation of Municipal Securities Business Under MSRB Rule G-38 Comments Due: View Received Comments Rel. No. 34-52278 Federal Register version (70 FR 20782)
34-51550
April 15, 2005
SR-FICC-2005-07
Notice of Filing of Proposed Rule Change To Establish a Firm Deadline by Which Members of the Government Securities Division Must Satisfy Clearing Fund Deficiencies Comments Due: Rel. No. 34-51754 Federal Register version (70 FR 20781)
34-51545
April 14, 2005
SR-NYSE-2005-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Definition of Research Analyst in Rule 344 (Research Analysts and Supervisory Analysts) and Rule 472 (Communications With the Public) Comments Due: View Received Comments Federal Register version (70 FR 20611)
34-51541
April 13, 2005
SR-NSCC-2005-02
Notice of Filing of Proposed Rule Change To Enhance Automated Customer Account Transfer Service To Permit the Automated Notification of Changes to the Broker-Dealer of Record for Applicable Insurance Products Rel. No. 34-51753 Federal Register version (70 FR 20609)
34-51540
April 13, 2005
SR-CBOE-2005-21
Notice of Filing of Proposed Rule Change Relating to the Calculation of the National Best Bid or Offer When Another Exchange is Disconnected From the Intermarket Options Linkage Comments Due: Rel. No. 34-51540 Federal Register version (70 FR 22999)
34-51526
April 12, 2005
SR-NASD-2005-045
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Delivery of Customer Agreements Containing Predispute Arbitration Clauses Comments Due: Federal Register version (70 FR 20407)
34-51533
April 12, 2005
SR-MSRB-2005-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Frequency of Updates from the National Do-Not-Call Registry Pursuant to Rule G-39 Comments Due: Federal Register version (70 FR 20196)
34-51534
April 12, 2005
SR-MSRB-2005-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment to Rule G-8, on Recordkeeping, to Add Requirement for Predispute Arbitration Agreements With Customers, and Amendment to Rule A-11, on Indemnification, to Delete Obsolete References to Arbitrators Comments Due: Federal Register version (70 FR 20194)
34-51520
April 11, 2005
SR-NASD-2005-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Pilot Period to Increase Position and Exercise Limits for Equity Options and Establishing a Reverse Collar Hedge Exemption Comments Due: Federal Register version (70 FR 19977)
34-51522
April 11, 2005
SR-NASD-2005-050
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Nasdaq Opening Process for Nasdaq-Listed Stocks Comments Due: Federal Register version (70 FR 20955)
34-51521
April 11, 2005
SR-OCC-2004-17
Notice of Filing of a Proposed Rule Change Relating to Calculating Net Capital Under OCC Rule 307 Comments Due: Rel. No. 34-51826 , Rel. No. 34-51826 Federal Register version (70 FR 20198)
34-51519
April 11, 2005
SR-PCX-2005-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Adjusting the Implementation Date of Previously Adopted PCXE Listing Fees for Exchange-Traded Funds and Closed-End Funds Comments Due: Federal Register version (70 FR 20199)
34-51514
April 8, 2005
SR-OPRA-2005-01
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Clarify How the Requirements of the OPRA Plan Pertaining to Vendors Apply to Persons Who Redistribute OPRA Data Over the Internet Comments Due: Federal Register version (70 FR 19976)
34-51510
April 8, 2005
SR-CBOE-2004-59
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto by the Chicago Board Options Exchange, Incorporated Relating to Back-up Trading Arrangements Comments Due: Rel. No. 34-51717 , Exhibit 3.A , Exhibit 3.B Federal Register version (70 FR 19812)
34-51504
April 7, 2005
SR-NASD-2004-033
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto by the National Association of Securities Dealers, Inc. Seeking to Modify the Nasdaq Market Center Execution Service to Add an Optional Routing Feature Comments Due: Rel. No. 34-51703 Federal Register version (70 FR 19538)
34-51511
April 7, 2005
SR-NASD-2005-044
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to NASD Rules 4510(a) and 4520(a) to Clarify Rule Language Regarding Entry and Application Fees for Issuers Listed on a National Securities Exchange That Transfer Their Listing to Nasdaq Comments Due: Federal Register version (70 FR 19980)
34-51498
April 6, 2005
SR-NASD-2005-038
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Modify the Pricing for Non-NASD Members Using Nasdaq's Brut Facility Comments Due: Federal Register version (70 FR 19543)
34-51499
April 6, 2005
SR-NASD-2005-035
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut Facility Comments Due: Federal Register version (70 FR 19545)
34-51497
April 6, 2005
SR-CBOE-2004-54
Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 thereto to Amend Rules Relating to Margin Treatment on Stock Transactions Effected by an Options Market Maker to Hedge Options Positions Comments Due: Rel. No. 34-51766
34-51478
April 5, 2005
SR-NSX-2005-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Stock Exchange Relating to the Exchange's Regulatory Transaction Fee Comments Due: Federal Register version (70 FR 19547)
34-51477
April 5, 2005
SR-NYSE-2005-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Annual Membership Fees Payable by Electronic Access Members of the Exchange Comments Due: Federal Register version (70 FR 19138)
34-51471
April 4, 2005
SR-Amex-2005-030
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to Specialist Liability for Failure To Send a Report to an Order-Providing Member Comments Due: Federal Register version (70 FR 18443)
34-51472
April 4, 2005
SR-CBOE-2005-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, and Amendment No. 1 Thereto, by the Chicago Board Options Exchange, Incorporated Relating to the Appointment of the Chairman and Members of CBOE's Regulatory Oversight Committee Comments Due: Federal Register version (70 FR 18064)
34-51465
April 1, 2005
SR-CHX-2005-04
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Chicago Stock Exchange, Inc. To Clarify That Specialists May Not Charge Commissions With Respect to the Execution of CHXpress Orders Comments Due: Rel. No. 34-51692 Federal Register version (70 FR 17743)
34-51468
April 1, 2005
SR-CBOE-2005-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Incorporated Relating to a Fee Cap for Options Dividend Spread Transactions Comments Due: Federal Register version (70 FR 17742)
34-51457
March 31, 2005
SR-NASD-2004-135
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Disclosure and Consent Requirements When Trading on a Net Basis With Customers Comments Due: View Received Comments Rel. No. 34-54088 Federal Register version (70 FR 17489)
34-51464
March 31, 2005
SR-NYSE-2005-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. To Extend for Additional Four Months Its Pilot Program Permitting a Floor Broker To Use an Exchange Authorized and Provided Portable Telephone on the Exchange Floor Comments Due: Federal Register version (70 FR 17746)
34-51458
March 31, 2005
SR-ISE-2004-28
Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Relating to Trading Options on Full and Reduced Values of the ISE 250 Index, the ISE 100 Index and the ISE 50 Index, Including Long-Term Options File Nos.: Rel. No. 34-51669 Federal Register version (70 FR 19990)
34-51459
March 31, 2005
SR-CBOE-2005-27
Notice of Filing of a Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating to the Hybrid Opening System Comments Due: Rel. No. 34-51670 Federal Register version (70 FR 17731)
34-51462
March 31, 2005
SR-CBOE-2005-20
Notice of Proposed Rule Change and Amendment No. 1 Thereto Relating to an Interpretation of Paragraph (b) of Article Fifth of Its Certificate of Incorporation and an Amendment to Rule 3.16(b) Comments Due: View Received Comments Federal Register version (70 FR 17739)
34-51463
March 31, 2005
SR-CBOE-2005-19
Notice of Proposed Rule Change and Amendment No. 1 Thereto Relating to an Interpretation of Paragraph (b) of Article Fifth of Its Certificate of Incorporation and an Amendment to Rule 3.16(b) Comments Due: View Received Comments 34-51733 Federal Register version (70 FR 17732)
34-51449
March 30, 2005
SR-NASD-2005-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Provide Limited Compensation for Losses Due to Malfunctions of the Order-Execution Systems of the Nasdaq Market Center or Nasdaq's Brut Facility Comments Due: Federal Register version (70 FR 17492)
34-51448
March 30, 2005
SR-CHX-2005-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Stock Exchange, Incorporated Relating to Participant Fees and Credits. Comments Due: Federal Register version (70 FR 17278)
34-51453
March 30, 2005
SR-Phlx-2005-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Streaming Quote Trader Fees Comments Due: Federal Register version (70 FR 17495)
34-51447
March 30, 2005
SR-ISE-2004-28
Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Relating to Trading Options on Full and Reduced Values of the ISE 250 Index, the ISE 100 Index and the ISE 50 Index, Including Long-Term Options File Nos.: Comments Due: Rel. No. 34-51913 Federal Register version (70 FR 19990)
34-51446
March 29, 2005
SR-Amex-2005-032
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the American Stock Exchange LLC To Trade the streetTRACKS Gold Shares Pursuant to Unlisted Trading Privileges Comments Due: Federal Register version (70 FR 17272)
