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Release Number	SEC Issue Date	File Number	Details
34-49668	May 7, 2004	SR-Amex-2004-21	Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by American Stock Exchange LLC Relating to Trust Certificates Linked to a Basket of Investment Grade Fixed Income Securities *Comments Due:* June 4, 2004 Federal Register version (69 FR 26905)
34-49667	May 7, 2004	SR-NASD-2004-073	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the National Association of Securities Dealers, Inc. To Change the Minimum Term for Selected Equity-Linked Debt Securities *Comments Due:* June 4, 2004 Federal Register version (69 FR 26913)
34-49670	May 7, 2004	SR-NASD-2004-068	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 Accelerated Return Notes Linked to the Nikkei 225 Index *Comments Due:* June 7, 2004 Federal Register version (69 FR 27959)
34-49671	May 7, 2004	SR-PCX-2004-32	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Amending the Designated Options Examination Authority Fee *Comments Due:* June 7, 2004 Federal Register version (69 FR 27965)
34-49660	May 6, 2004	SR-NASD-2004-070	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Permit Shareholder Action by Written Consent *Comments Due:* June 2, 2004 Federal Register version (69 FR 26422)
34-49658	May 6, 2004	SR-CHX-2004-13	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Inc. To Set Fees for Member Firms' Use of Enhanced Electronic Communications Retention System *Comments Due:* June 3, 2004 Federal Register version (69 FR 26629)
34-49661	May 6, 2004	SR-Phlx-2004-28	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to the Payment for Order Flow Fees for the Top 120 Options *Comments Due:* June 2, 2004 Federal Register version (69 FR 26424)
34-49659	May 6, 2004	SR-CBOE-2004-15	Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc. Relating to Automatic Executions for Underlying Specialists *Comments Due:* June 3, 2004 See Also - Rel. No. 34-49880 Federal Register version (69 FR 26627)
34-49656	May 5, 2004	SR-PCX-2004-41	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the Pacific Exchange, Inc. Relating to Exchange Fees and Charges *Comments Due:* June 1, 2004 Federal Register version (69 FR 26202)
34-49650	May 4, 2004	SR-NASD-2004-064	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Regarding Technical Corrections to SuperMontage Rules *Comments Due:* June 1, 2004 Federal Register version (69 FR 25941)
34-49649	May 4, 2004	SR-NYSE-2004-21	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto by the New York Stock Exchange, Inc. to Extend for an Additional Year the Pilot Relating to the Allocation Policy for Trading of Exchange-Traded Funds on an Unlisted Trading Privileges Basis (NYSE Rule 103B) *Comments Due:* June 1, 2004 Federal Register version (69 FR 26200)
34-49653	May 4, 2004	SR-NYSE-2004-19	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto by the New York Stock Exchange, Inc. Relating to Series 86/87 Examination Development Fee for Research Analysts *Comments Due:* June 1, 2004 Federal Register version (69 FR 26198)
34-49648	May 3, 2004	SR-NASD-2004-067	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the National Association of Securities Dealers, Inc. to Amend NASD Rule 7010 to Modify the Charges Paid by Members Receiving Nasdaq's Service for Trading Exchange-Listed Securities *Comments Due:* June 1, 2004 Federal Register version (69 FR 25940)
34-49636	April 30, 2004	SR-NASD-2003-69	Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Regarding Failure To Pay Arbitration Awards *Comments Due:* May 28, 2004 View Received Comments See Also - Rel. No. 34-49845 Federal Register version (69 FR 25652)
34-49643	April 30, 2004	SR-CBOE-2004-24	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Incorporated Allowing a New Type of Designated Primary Market-Maker-e-DPMs *Comments Due:* May 28, 2004 See Also - Rel. No. 34-50003 Federal Register version (69 FR 25646)
34-49631	April 29, 2004	SR-PCX-2004-35	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. To Amend the Market Maker Fees Portion of Its Schedule of Fees and Charges in Order To Extend a Temporary Waiver of the Market Maker Fees for Those Market Makers That Utilize More Than One Seat See Also - Rel. No. 34-49810 Federal Register version (69 FR 25162)
34-49632	April 29, 2004	SR-EMCC-2004-02	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Letter of Credit Issuers
34-49626	April 28, 2004	SR-BSE-2004-11	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Boston Stock Exchange, Inc. Relating to an Interpretation of ITS Trade-Throughs and Locked Markets *Comments Due:* May 26, 2004 Federal Register version (69 FR 25158)
34-49625	April 28, 2004	SR-NYSE-2004-11	Notice of Filing of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto by the New York Stock Exchange, Inc. To Amend Its Rule 122 Concerning Orders With More Than One Broker *Comments Due:* July 23, 2004 See Also - Rel. No. 34-49926 Federal Register version (69 FR 25160)
34-49622	April 27, 2004	SR-NASD-2004-063	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the National Association of Securities Dealers, Inc. To Modify NASD Rule 4619 To Correct a Typographical Error *Comments Due:* May 25, 2004 Federal Register version (69 FR 24697)
34-49623	April 27, 2004		Notice of Filing of a Proposed Rule Change to Amend the Emerging Markets Clearing Corporation’s Rules with Regar to the Imposition of Fines upon its Members
34-49613	April 26, 2004	SR-Amex-2004-22	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC Relating to Allocation and Performance Evaluation Procedures for Securities Admitted to Dealings on an Unlisted Basis *Comments Due:* May 24, 2004 Federal Register version (69 FR 24204)
34-49621	April 26, 2004	SR-Amex-2004-19	Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the American Stock Exchange LLC Relating to the Listing and Trading of Contingent Principal Protection Notes Linked to the Performance of the Dow Jones Global Titans Index *Comments Due:* May 24, 2004 Federal Register version (69 FR 24200)
34-49614	April 26, 2004	SR-CBOE-2004-23	Notice of Filing of Proposed Rule Change by the Chicago Board Options Exchange, Inc. and Amendment No. 1 Thereto To Permanently Approve the Modified ROS Opening Procedure Pilot Program, Which Occurs on the Settlement Date of Futures and Options on Volatility Indexes *Comments Due:* May 21, 2004 See Also - Rel. No. 34-49798A, Rel. No. 34-49798 Federal Register version (69 FR 23837)
34-49620	April 26, 2004	SR-CBOE-2004-16	Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc. 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:* May 24, 2004 View Received Comments See Also - Rel. Nos. 34-51568, 34-51252, 34-50464, 34-50028 Federal Register version (69 FR 24205)
34-49607	April 23, 2004	SR-NASD-2004-057	Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 by the National Association of Securities Dealers, Inc. Relating to Proposed Amendments To Reduce the Reporting Period for Transactions in TRACE-Eligible Securities *Comments Due:* May 20, 2004 View Received Comments See Also - Rel. No. 34-49854 Federal Register version (69 FR 23549)
34-49603	April 22, 2004	SR-NASD-2004-062	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. to Modify the Pricing for Trading Nasdaq-Listed Securities on SuperMontage *Comments Due:* May 21, 2004 Federal Register version (69 FR 23844)
34-49604	April 22, 2004	SR-NASD-2004-066	Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Related to Direct ECN Connection to SuperMontage *Comments Due:* May 21, 2004 Federal Register version (69 FR 23842)
34-49605	April 22, 2004	SR-Phlx-2004-22	Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Susquehanna Indices, LLP Disclaimer *Comments Due:* May 24, 2004 See Also - Rel. No. 34-49807 Federal Register version (69 FR 24209)
34-49601	April 22, 2004	SR-CBOE-2004-19	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc., Relating to a DPM and Market Maker Transaction Fee *Comments Due:* May 21, 2004 Federal Register version (69 FR 23836)
34-49597	April 21, 2004	SR-NASD-2004-051	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendments No. 1 and No. 2 Thereto by the National Association of Securities Dealers, Inc. Relating to the Use of Summary Orders for NNMS Order-Delivery ECNs Using the SIZE MPID in SuperMontage *Comments Due:* May 19, 2004 Federal Register version (69 FR 23244)
34-49586	April 21, 2004	SR-NSX-2004-03	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Stock Exchange Amending Its Fee Schedule To Cap Members Monthly Transaction Fees and Reduce the Designated Dealer's Principal Activity Fees *Comments Due:* May 19, 2004 Federal Register version (69 FR 23243)
34-49587	April 21, 2004	SR-Phlx-2003-54	Notice of Filing of Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. To Amend Rules Relating to the Minimum Net Capital for Specialists in Index Fund Shares *Comments Due:* May 19, 2004 Federal Register version (69 FR 23246)
34-49588	April 21, 2004	SR-CBOE-2004-20	Notice of Filing of Proposed Rule Change and Amendment No. 1 by the Chicago Board Options Exchange, Inc., Relating to the $5 Quotation Spread Pilot Program *Comments Due:* May 18, 2004 See Also - Rel. No. 34-49791 Federal Register version (69 FR 22895)
34-49584	April 20, 2004	SR-CBOE-2004-22	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc. To Extend the Exchange's Automated Limit Order Display Facility Pilot Program Until October 19, 2004 *Comments Due:* May 18, 2004 Federal Register version (69 FR 22893)
34-49582	April 19, 2004	SR-OCC-2004-02	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Member Accounts *Comments Due:* May 21, 2004 Federal Register version (69 FR 23846)
34-49576	April 16, 2004	SR-NASD-2004-048	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Create a Pilot Program Modifying SuperMontage Fees and Credits for Orders and Quotes Executed in the Nasdaq Closing Cross *Comments Due:* May 14, 2004 Federal Register version (69 FR 22112)
34-49575	April 16, 2004	SR-CBOE-2004-13	Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, by the Chicago Board Options Exchange, Inc. Relating to Retroactive Crediting of DPM Principal Acting as Agent Order Transaction Fees *Comments Due:* May 14, 2004 See Also - Rel. No. 34-49769 Federal Register version (69 FR 22110)
34-49567	April 15, 2004	SR-CHX-2004-12	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 Functionality for the Handling of Particular Orders Called CHXpress *Comments Due:* May 12, 2004 See Also - Rel. No. 34-50481 Federal Register version (69 FR 21591)
34-49569	April 15, 2004	SR-PCX-2004-26	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 by the Pacific Exchange, Inc. To Clarify the PCX General Membership Fees Portion of the PCX Schedule of Fees and Charges *Comments Due:* May 13, 2004 Federal Register version (69 FR 21873)
34-49560	April 13, 2004	SR-PCX-2004-23	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:* May 11, 2004 Federal Register version (69 FR 21174)
34-49556	April 12, 2004	SR-NASD-2004-059	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the National Association of Securities Dealers, Inc. Regarding an Interpretation to Its Trade Through Rule for Exchange-Listed Securities *Comments Due:* May 11, 2004 Federal Register version (69 FR 21172)
34-49554	April 12, 2004	SR-OCC-2004-05	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Definition of "Premium" With Respect to Foreign Currency and Cross-Rate Currency Options *Comments Due:* May 7, 2004 Federal Register version (69 FR 20656)
34-49557	April 12, 2004	SR-ISE-2004-11	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, Inc. To Amend Its Schedule of Fees To Adopt a $.10 Per Contract Surcharge for Certain Transactions in Options on Exchange Traded Funds Based on the S&P SmallCap 600 Index and the S&P MidCap 400 Index *Comments Due:* May 10, 2004 Federal Register version (69 FR 20955)
34-49547	April 9, 2004	SR-NASD-2004-046	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto by National Association of Securities Dealers, Inc. Regarding SuperMontage Postable Auto-Ex Orders *Comments Due:* May 6, 2004 Federal Register version (69 FR 20091)
34-49550	April 9, 2004	SR-PCX-2004-24	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Exchange Fees and Charges See Also - Rel. No. 34-49758 Federal Register version (69 FR 20094)
34-49545	April 8, 2004	SR-NASD-2003-164	Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 by the National Association of Securities Dealers, Inc. Relating to the Adjournment of a Hearing Within Three Business Days of the First Scheduled Hearing Session A See Also - Rel. No. 34-49716 Federal Register version (69 FR 19887)
34-49534	April 7, 2004	SR-NASD-2004-060	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc., Regarding the Nasdaq Closing Cross *Comments Due:* May 4, 2004 Federal Register version (69 FR 19584)
34-49532	April 7, 2004	SR-PCX-2004-01	Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. To Trade, Either By Listing or Pursuant to Unlisted Trading Privileges, Index-Linked Exchangeable Notes *Comments Due:* May 4, 2004 Federal Register version (69 FR 19593)
34-49536	April 7, 2004	SR-NYSE-2003-37	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. To Amend Exchange Rule 124 To Change the Way Odd-Lot Orders Are Priced and Executed Systemically *Comments Due:* May 5, 2004 See Also - Rel. No. 34-49745 Federal Register version (69 FR 19890)
34-49529	April 6, 2004	SR-CHX-2004-04	Notice of Filing of Proposed Rule by the Chicago Stock Exchange, Incorporated, To Revise Its Article VI, Rule 5 To Correct a Reference to the Form Used for the Registration of New Branch Offices *Comments Due:* May 4, 2004 See Also - Rel. No. 34-50089 Federal Register version (69 FR 19583)
34-49530	April 6, 2004	SR-CHX-2003-21	Notice of Filing of Proposed Rule Change and Amendment No. 1 by the Chicago Stock Exchange, Inc., Relating to the Price Improvement of Orders Executed Automatically on the Exchange *Comments Due:* June 16, 2004 See Also - Rel. No. 34-49736 Federal Register version (69 FR 19253)
34-49525	April 2, 2004	SR-BSE-2004-12	Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Boston Stock Exchange, Inc. to Retroactively Apply and Extend Its Specialist Evaluation Program Pilot *Comments Due:* 21 days after publication in the Federal Register Federal Register version (69 FR 18994)
34-49527	April 2, 2004	SR-NASD-2004-049	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Establish Examination and Development Fees in Connection With Series 86/87 Fees for Research Analysts *Comments Due:* May 5, 2004 Federal Register version (69 FR 19255)
34-49521	April 2, 2004	SR-NYSE-2004-18	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Arbitration *Comments Due:* April 29, 2004 Federal Register version (69 FR 18661)
34-49524	April 2, 2004	SR-CBOE-2004-18	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the Chicago Board Options Exchange, Inc. Relating to an Extension of Its Prospective Fee Reduction Program *Comments Due:* April 30, 2004 Federal Register version (69 FR 18996)
34-49514	April 1, 2004	SR-Phlx-2004-03	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to the Rescission of Exchange Rule 713 *Comments Due:* April 28, 2004 Federal Register version (69 FR 18413)
34-49515	April 1, 2004	SR-NYSE-2004-17	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Relating to the Listing of Income Deposit Securities (Sections 102.01C, 202.05 and 802.01B of the Listed Company Manual) *Comments Due:* May 4, 2004 Federal Register version (69 FR 19592)
34-49512	March 31, 2004	SR-NASD-2004-054	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Make Permanent the Current Pilot Program for the Imposition of a Fee for Written Interpretations of Nasdaq Listing Rules *Comments Due:* April 29, 2004 View Received Comments Federal Register version (69 FR 18658)
34-49509	March 31, 2004	SR-ISE-2004-10	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, Inc. Relating to the Extension and Expansion of the Pilot Program for Quotation Spreads *Comments Due:* April 28, 2004 Federal Register version (69 FR 18411)
34-45906	March 30, 2004	SR-PCX-2004-22	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Amending PCXE Rule 7.31 to Create a New Order Type Entitled "Auto Q Order" See Also - Rel. No. 34-49664 Federal Register version (69 FR 18146)
34-49495	March 29, 2004	SR-PCX-2004-16	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Trading Hours for Options on Exchange-Traded Funds *Comments Due:* April 23, 2004 Federal Register version (69 FR 17466)
34-49488	March 26, 2004	SR-AMEX-2004-18	Notice of Filing and Order Granting Accelerated Approval to the Proposed Rule Change Relating to an Extension of the Marketing Fee Voting Procedures Pilot Program *Comments Due:* April 23, 2004 Federal Register version (69 FR 17463)
34-49452	March 26, 2004	SR-NASD-2004-040	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Extend, for an Additional Six-Month Period, a Pilot Rule Regarding Waiver of California Arbitrator Disclosure Standards *Comments Due:* April 21, 2004 Federal Register version (69 FR 17010)
34-49486	March 26, 2004	SR-NASD-2004-036	Notice of Filing of a Proposed Rule Change by the National Association of Securities Dealers, Inc. To Modify NASD Rule 7010(p)(3) To Revise and Update the Fee Schedule for OTC Bulletin Board Historical Trading Activity Reports *Comments Due:* April 22, 2004 See Also - Rel. No. 34-49663 Federal Register version (69 FR 17254)
34-49489	March 26, 2004	SR-DTC-2004-01	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Termination of TaxReclaim Service *Comments Due:* April 23, 2004 Federal Register version (69 FR 17465)
34-49471	March 25, 2004	SR-NASD-2004-037	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc., Revising the Pilot Relating to the Issuance of Market Participant Identifiers *Comments Due:* April 21, 2004 Federal Register version (69 FR 17006)
34-49470	March 25, 2004	SR-OCC-2004-03	Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Amending OCC's Rules To Provide for Use of a Give-Up Service Provider and Revising OCC's Fee Schedule *Comments Due:* April 21, 2004 Federal Register version (69 FR 17013)
34-49477	March 25, 2004	SR-OCC-2003-12	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Clearing Agreement *Comments Due:* April 22, 2004 Federal Register version (69 FR 17257)
34-49478	March 25, 2004	SR-OCC-2003-09	Notice of Filing of a Proposed Rule Change Relating to Minimum Net Capital Requirements for Appointed Clearing Members See Also - Rel. No. 34-50465, Rel. No. 34-50465 Federal Register version (69 FR 17258)
34-49476	March 25, 2004	SR-NYSE-2004-09	Notice of Filing of a Proposed Rule Change by the New York Stock Exchange, Inc. to Amend NYSE Rule 123C Relating to Market-on-Close Policy and Expiration Procedures *Comments Due:* April 22, 2004 See Also - Rel. No. 34-49682 Federal Register version (69 FR 17255)
34-49465	March 24, 2004	SR-Amex-2003-89	Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, 3, 4, 5 and 6 Thereto by the American Stock Exchange LLC To Implement a New Options Trading Platform Known as the Amex New Trading Environment or ANTE *Comments Due:* April 21, 2004 See Also - proposed rules also available, Rel. No. 34-49747 Federal Register version (69 FR 16990)
34-49467	March 24, 2004	SR-Phlx-2004-17	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to Equity and Index Option Fees *Comments Due:* April 21, 2004 Federal Register version (69 FR 17017)
34-49466	March 24, 2004	SR-PCX-2004-21	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Exchange Fees and Charges *Comments Due:* April 21, 2004 Federal Register version (69 FR 17016)
34-49463	March 24, 2004	SR-FICC-2004-04	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Technical Corrections *Comments Due:* April 21, 2004 Federal Register version (69 FR 17004)
34-49468	March 24, 2004	SR-CBOE-2004-11	Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the Chicago Board Options Exchange, Inc. Relating to a Pilot Program for Modification of ROS on the Settlement Date of Futures and Options on Volatility Indexes *Comments Due:* April 21, 2004 Federal Register version (69 FR 17000)
34-49458	March 23, 2004	SR-NQLX-2004-02	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by NQLX LLC To Amend Its Rule 419 Relating to Block Trades *Comments Due:* April 21, 2004 Federal Register version (69 FR 17011)
34-49457	March 23, 2004	SR-Phlx-2004-20	Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to an Extension of Interpretation of PACE Guarantees in Securities Subject to ITS Plan Exemption *Comments Due:* April 19, 2004 Federal Register version (69 FR 16333)
34-49459	March 23, 2004	SR-Phlx-2004-21	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to the Extension of a Pilot Program Regarding the Book Sweep Function of the Exchange's Automated Options Market System *Comments Due:* April 20, 2004 Federal Register version (69 FR 16629)
34-49417A	March 23, 2004	SR-PCX-2004-07	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. To Amend PCX Rule 1.26 To Clarify and Update Its Registration Rule for Employees of Member Organizations; Correction *Comments Due:* April 13, 2004 See Also - Rel. No. 34-49417 Federal Register version (69 FR 16326)
34-49462	March 23, 2004	SR-CBOE-2004-02	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc., To Amend the Obvious Error Rule Relating to "No-Bid" Options *Comments Due:* April 21, 2004 See Also - Rel. No. 34-50169 Federal Register version (69 FR 16998)
34-49456	March 22, 2004	SR-Phlx-2004-19	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to the Execution of Market and Marketable Limit Orders in Certain Trust Shares and Trust Issued Receipts During a Locked Market *Comments Due:* April 19, 2004 Federal Register version (69 FR 16331)
34-49455	March 22, 2004	SR-PCX-2003-60	Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1, 2, and 3 by the Pacific Exchange, Inc. Relating to Rules for Trading Index Options *Comments Due:* April 19, 2004 Federal Register version (69 FR 16316)
34-49449	March 19, 2004	SR-Amex-2004-04	Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the American Stock Exchange LLC Relating to Auto-Ex for Exchange Traded Funds and Nasdaq Securities Traded on an Unlisted Basis *Comments Due:* April 15, 2004 See Also - Rel. No. 34-49921 Federal Register version (69 FR 15411)
34-49453	March 19, 2004	SR-Amex-2004-13	Notice of Filing and Order Granting Accelerated Approval of 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 Dow Jones Industrial Average (DJIA) *Comments Due:* April 16, 2004 Federal Register version (69 FR 15913)
34-49443	March 18, 2004	SR-NYSE-2004-15	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to a Pilot Program To Review Minimum Numerical Continued Listing Standards *Comments Due:* April 14, 2004 Federal Register version (69 FR 13929)
34-49447	March 18, 2004	SR-ISE-2003-36	Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by the International Securities Exchange, Inc., Relating to Trading Options on the Morgan Stanley Technology Index *Comments Due:* April 19, 2004 Federal Register version (69 FR 16299)
34-49446	March 18, 2004	SR-DTC-2004-02	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Termination of the Global Corporate Action Hub as a DTC Service *Comments Due:* April 15, 2004 Federal Register version (69 FR 15419)
34-49440	March 17, 2004	SR-Amex-2004-07	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to ITS Trade-Throughs and Locked Markets *Comments Due:* April 14, 2004 Federal Register version (69 FR 13920)
34-49434	March 17, 2004	SR-BSE-2004-10	Notice of Filing of Proposed Rule Change by the Boston Stock Exchange, Inc. Relating to the Amendment of its Constitution to Permit the Separation of the Chairman and Chief Executive Officer Positions *Comments Due:* April 14, 2004 See Also - Rel. No. 34-49611 Federal Register version (69 FR 13922)
34-49439	March 17, 2004	SR-NASD-2004-023	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. To Amend Order Audit Trail System Rules Relating to Execution Reports *Comments Due:* April 14, 2004 See Also - Rel. No. 34-49628 Federal Register version (69 FR 13927)
34-49437	March 17, 2004	SR-CHX-2003-24	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Incorporated Relating to the Definition of Primary Market *Comments Due:* April 14, 2004 See Also - Rel. No. 34-49774 Federal Register version (69 FR 13924)
34-49435	March 17, 2004	SR-Phlx-2003-68	Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Philadelphia Stock Exchange, Inc. Relating to Options Transactions Resulting From Obvious Errors *Comments Due:* April 19, 2004 See Also - Rel. No. 34-49785 Federal Register version (69 FR 16327)
34-49436	March 17, 2004	SR-OCC-2004-01	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts *Comments Due:* April 14, 2004 Federal Register version (69 FR 13932)
34-49442	March 17, 2004	SR-ISE-2004-05	Notice of Filing of Proposed Rule Change by the International Securities Exchange, Inc., Relating to Customized Market Data Reports ("ISEMine") *Comments Due:* April 14, 2004 See Also - Rel. No. 34-49627 Federal Register version (69 FR 13925)
34-49427	March 16, 2004	SR-NASD-2004-032	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 NASD Rule 4619 With Respect to Certain Excused Withdrawal Requests *Comments Due:* April 13, 2004 Federal Register version (69 FR 13606)
34-49422	March 16, 2004	SR-NSCC-2003-20	Notice of Filing of Proposed Rule Change To Eliminate the Higher Capital Requirements Imposed on Members for Processing Investment Fund Transactions Through NSCC's Mutual Fund Services *Comments Due:* April 12, 2004 See Also - Rel. No. 34-49598 Federal Register version (69 FR 13344)
34-49421	March 16, 2004	SR-FICC-2003-14	Notice of Filing of a Proposed Rule Change Relating to Amending Impractical or Inconsistent Rules, Eliminating the Need for Routine Waivers of Various Rules Provisions, and Adding Rules to Protect the Clearing Corporation and Its Members *Comments Due:* April 13, 2004 Federal Register version (69 FR 13604)
34-49417	March 15, 2004	SR-PCX-2004-07	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. To Amend PCX Rule 1.26 To Clarify and Update Its Registration Rule for Employees of Member Organizations *Comments Due:* April 13, 2004 See Also - Rel. No. 34-49417A Federal Register version (69 FR 13610)
34-49418	March 15, 2004	SR-PCX-2004-18	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Bid-Ask Differentials *Comments Due:* April 13, 2004 Federal Register version (69 FR 13611)