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Release Number	SEC Issue Date	File Number	Details
34-49391	March 10, 2004	SR-NYSE-2003-42	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. To Amend Its Rules 13, 72, 76 and 91 To Establish a Six-Month Pilot Program in Selected Stocks To Provide That Institutional XPress *Comments Due:* 21 days after publication in the Federal Register View Received Comments Submit a Comment on SR-NYSE-2003-42 Federal Register version (69 FR 12884)
34-49378	March 9, 2004	SR-OCC-2003-11	Notice of Filing of a Proposed Rule Change Relating To Clearing Member Trade Assignment Processing View Received Comments See Also - Rel. No. 34-49841, Rel. No. 34-49841 Federal Register version (69 FR 12190)
34-49382	March 9, 2004	SR-OPRA-2004-01	Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan Regarding Device-Based and Enterprise Rate Professional Subscriber Fees Charged by OPRA in Respect of Its Basic Service and Its FCO Service *Comments Due:* 21 days after publication in the Federal Register View Received Comments Federal Register version (69 FR 12377)
34-49371	March 5, 2004	SR-Amex-2004-12	Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC Relating to Audit Committee Meeting Requirements Applicable to Registered Closed-End Management Investment Companies View Received Comments See Also - Rel. No. 34-49700 Federal Register version (69 FR 11919)
34-49323	Feb. 26, 2004	SR-ISE-2003-06	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the International Securities Exchange, Inc. to Establish Rules Implementing a Price Improvement Mechanism View Received Comments See Also - Rel. No. 34-50819 Federal Register version (69 FR 10087)
34-49314	Feb. 24, 2004	SR-NYSE-2004-03	Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions From Taking the Research Analyst Qualification Examination ("Series 86/87") File Nos.: SR-NYSE-2004-03, SR-NASD-2004-020 View Received Comments See Also - Rel. No. 34-49464 Federal Register version (69 FR 9888)
34-49285	Feb. 20, 2004	SR-NASD-2004-031	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Establishing an Effective Date For NASD Rule 3370, Affirmative Determination Requirements View Received Comments Federal Register version (69 FR 8717)
34-49276	Feb. 19, 2004	SR-PCX-2003-70	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. To Amend PCXE Rule 7.40 To Provide for the Dissemination of a Closing Price and Closing Volume View Received Comments Federal Register version (69 FR 8719)
34-49154	Jan. 29, 2004	SR-NYSE-2003-43	Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the New York Stock Exchange, Inc. and Order Granting Accelerated Approval of the Proposed Rule Change To Establish a Pilot Program To Amend the Minimum Numerical Standards (Sections 102.01C, 103.01B, 802.01B, and 802.01C of the Listed Company Manual) *Comments Due:* 21 days after publication in the Federal Register View Received Comments Federal Register version (69 FR 5633)
34-49129	Jan. 27, 2004	SR-NASD-2003-176	Notice of Designation of Longer Period for Commission Action and Extension of Comment Period on a Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Chief Executive Officer and Chief Compliance Officer Certification *Comments Due:* 21 days after publication in the Federal Register View Received Comments See Also - Rel. No. 34-50347, Rel. No. 34-50105, Rel. No. 34-48981 Federal Register version (69 FR 5228)
34-49114	Jan. 22, 2004	SR-NASD-2003-201	Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend the Trading Activity Fee Rate and Add TRACE-Eligible and Municipal Securities as Covered Securities *Comments Due:* 21 days after publication in the Federal Register View Received Comments See Also - Rel. No. 34-50485 Federal Register version (69 FR 4194)
34-49111	Jan. 21, 2004	SR-CBOE-2003-51	Notice of Filing of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto by the Chicago Board Options Exchange, Inc. Relating to the Listing and Trading of Options on Certain Russell Indexes View Received Comments See Also - Rel. No. 34-49388 Federal Register version (69 FR 4189)
34-49106	Jan. 20, 2004	SR-NASD-2004-06	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Related to the Entry of Locking or Crossing Bids or Offers by ECNs Participating in Nasdaq's SuperMontage System View Received Comments Federal Register version (69 FR 3970)
34-49094	Jan. 16, 2004	SR-NSCC-2003-05	Notice of Filing of a Proposed Rule Change Permitting Elimination of All Hard Copies of Important Notices View Received Comments See Also - Rel. No. 34-50085 Federal Register version (69 FR 3418)
34-49081	Jan. 14, 2004	SR-NASD-2004-05	Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend NASD Rule 2370 Relating to Certain Lending Arrangements Between Registered Persons and Customers View Received Comments Federal Register version (69 FR 3410)
34-49080	Jan. 14, 2004	SR-DTC-2003-09	Notice of Filing of Proposed Rule Change To Establish a New Service To Destroy Certain Certificates and To Implement a Fee for Custody of Certain Certificates Not To Be Destroyed View Received Comments See Also - Rel. No. 34-49930 Federal Register version (69 FR 3405)
34-49063	Jan. 13, 2004	SR-NYSE-2003-36	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Relating to Interpretation of Rule 15A (ITS "Trade-Throughs" and "Locked Markets") *Comments Due:* 21 days after publication in the Federal Register View Received Comments Federal Register version (69 FR 2958)
34-49056	Jan. 12, 2004	SR-ISE-2003-07	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by International Securities Exchange, Inc., Relating to Pricing of Block and Facilitation Trades View Received Comments See Also - Rel. No. 34-51666 Federal Register version (69 FR 2798)
34-49050	Jan. 9, 2004	SR-Phlx-2003-75	Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change by the Philadelphia Stock Exchange, Inc. View Received Comments Federal Register version (69 FR 3422)
34-49017	Jan. 2, 2004	SR-Amex-2003-93	Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Notes Linked to the Annual Performance of the Standard & Poor's 500 Stock Index View Received Comments Federal Register version (69 FR 2020)
34-48981	Dec. 23, 2003	SR-NASD-2003-176	Notice of Filing of Proposed Rule Change Relating to Chief Executive Officer and Chief Compliance Officer Certification View Received Comments See Also - Rel. No. 34-50347, Rel. No. 34-50105, Rel. No. 34-49129
34-48986	Dec. 23, 2003	SR-NASD-2003-183	Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Proposed Amendments to Rule 1120 Regarding Regulatory Element Contact Person View Received Comments Federal Register version (68 FR 75682)
34-48958	Dec. 18, 2003	SR-NYSE-2003-29	Notice of Filing of Proposed Rule Change to Amend Rule 412 and its Interpretation Relating to Partial Customer Account Transfers View Received Comments See Also - Rel. No. 34-49415 Federal Register version (68 FR 75008)
34-48955	Dec. 18, 2003	SR-ISE-2003-31	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, Inc., Extending the Waiver of Its Marketing Fee Federal Register version (68 FR 75007)
34-48926	Dec. 15, 2003	SR-NASD-2003-182	Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting View Received Comments See Also - Rel. No. 34-49522 Federal Register version (68 FR 71207)
34-48914	Dec. 12, 2003	SR-BSE-2003-22	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 by the Boston Stock Exchange, Inc. To Establish a General Revenue Sharing Program for Member Firms View Received Comments Federal Register version (68 FR 70550)
34-48897	Dec. 9, 2003	SR-NASD-2003-104	Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. Relating to Proposed New Uniform Definition of "Branch Office" Under NASD Rule 3010(g)(2) View Received Comments See Also - Rel. No. 34-52403 Federal Register version (68 FR 70059)
34-48892	Dec. 8, 2003	SR-ISE-2003-34	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the International Securities Exchange, Inc. Relating to Firm Quotations See Also - Rel. No. 34-49278 Federal Register version (68 FR 70058)
34-48878	Dec. 4, 2003	SR-NASD-2003-173	Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Nasdaq Closing Cross View Received Comments See Also - Rel. No. 34-49406 Federal Register version (68 FR 69098)
34-48875	Dec. 4, 2003	SR-Phlx-2003-75	Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. To Adopt Commentary .04 of Its Rule 1064 To Allow the Concurrent Representation of Hedging Stock Positions With Option Facilitation Orders in the Trading Crowd View Received Comments See Also - Rel. No. 34-49050 Federal Register version (68 FR 70072)
34-48872	Dec. 3, 2003	SR-Amex-2003-100	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 Broker Voting on Stock Option and Equity Compensation Plans Federal Register version (68 FR 69092)
34-48847	Nov. 26, 2003	SR-Phlx-2003-73	Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Philadelphia Stock Exchange, Inc. Relating to the Demutualization of the Philadelphia Stock Exchange, Inc. View Received Comments See Also - Rel. No. 34-49098, Philadelphia Stock Exchange Option Rules, Inc., Inc., Rules of the Board of Governors, Philadelphia Stock ExchangeOptions Floor Procedure Advices Federal Register version (68 FR 67720)
34-48846	Nov. 26, 2003	SR-NSCC-2003-21	Notice of Filing of a Proposed Rule Change Relating to the New Separately Managed Accounts Service View Received Comments See Also - Rel. No. 34-51154 Federal Register version (68 FR 67714)
34-48833	Nov. 25, 2003	SR-NYSE-2003-33	Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Relating to Exchange Fees for Closed-End Funds View Received Comments See Also - Rel. No. 34-49414 Federal Register version (68 FR 67717)
34-48819	Nov. 21, 2003	SR-NSCC-2003-01	Notice of Withdrawal of a Proposed Rule Change Relating to New Rule 59, "Information Services for Investment Products" View Received Comments See Also - Rel. No. 34-47662 Federal Register version (68 FR 67708)
34-48822	Nov. 21, 2003	SR-OPRA-2003-01	Notice of Filing of and Order Approving on a Temporary Basis Not To Exceed 120 Days a Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information and Amendments No. 1 See Also - Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information Federal Register version (68 FR 66892)
34-48815	Nov. 20, 2003	SR-CBOE-2003-33	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc., Relating to Non-Member Market Maker Transaction Fees View Received Comments See Also - Rel. No. 34-50484 Federal Register version (68 FR 66908)
34-48807	Nov. 19, 2003	SR-CBOE-2003-40	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc. Relating to Options on Certain CBOE Volatility Indices View Received Comments See Also - Rel. No. 34-49563 Federal Register version (68 FR 66516)
34-48787	Nov. 14, 2003	SR-BSE-2003-17	Notice of Filing of Proposed Rule Change by the Boston Stock Exchange, Inc. Establishing Fees for the Proposed Boston Options Exchange Facility See Also - Rel. No. 34-49066 Federal Register version (68 FR 65477)
34-48775	Nov. 12, 2003	SR-DTC-2003-12	Notice of Filing of Proposed Rule Change Relating to the Processing of Maturity Presentments in DTC's Money Market Instrument Program View Received Comments See Also - Rel. No. 34-49618 Federal Register version (68 FR 65333)
34-48764	Nov. 7, 2003	SR-NYSE-2003-34	Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Amendment and Restatement of the Constitution of the Exchange To Reform the Governance and Management Architecture of the Exchange View Received Comments See Also - Rel. No. 34-48946 Federal Register version (68 FR 64380)
34-48733	Oct. 31, 2003	SR-BSE-2003-16	Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Boston Stock Exchange, Inc. Relating to Shareholder Approval of Equity Compensation Plans Federal Register version (68 FR 63143)
34-48738	Oct. 31, 2003	SR-CSE-2003-11	Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the Cincinnati Stock Exchange Relating to Shareholder Approval of Equity Compensation Plans Federal Register version (68 FR 63166)
34-48734	Oct. 31, 2003	SR-CHX-2003-31	Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Inc. Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies Federal Register version (68 FR 63159)
34-48736	Oct. 31, 2003	SR-Phlx-2003-67	Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies Federal Register version (68 FR 63180)
34-48735	Oct. 31, 2003	SR-PCX-2003-50	Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Pacific Exchange, Inc. Relating to its Shareholder Approval Policy for Its Listed Companies Regarding Stock Option Plans and Other Equity Compensation Arrangements Federal Register version (68 FR 63173)
34-48737	Oct. 31, 2003	SR-CBOE-2003-45	Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Chicago Board Options Exchange, Inc. and Amendment No. 1 Thereto Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies Federal Register version (68 FR 63150)
34-48714	Oct. 29, 2003	SR-NASD-2003-157	Notice of Filing of Proposed Rule Change and Amendment No. 1 by the National Association of Securities Dealers, Inc. Relating to Permanent Fee Structure for the Trade Reporting and Compliance Engine (TRACE) View Received Comments See Also - 34-43267 Federal Register version (68 FR 62483)
34-48706	Oct. 27, 2003	SR-Amex-2003-65	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to Enhanced Corporate Governance Requirements Applicable to Listed Companies View Received Comments See Also - Rel. No. 34-48863 Federal Register version (68 FR 62109)
34-48675	Oct. 21, 2003	SR-NASD-2003-143	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 New "Auto-Ex" Order in Nasdaq's SuperMontage System View Received Comments See Also - Rel. No. 34-49020 Federal Register version (68 FR 61528)
34-48673	Oct. 21, 2003	SR-Phlx-2003-69	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. To Temporarily Waive Membership Transfer Fees View Received Comments Federal Register version (68 FR 61545)
34-48652	Oct. 17, 2003	SR-Amex-2003-81	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC Relating to Reporting of "At-the-Close" Orders in Nasdaq Securities View Received Comments Federal Register version (68 FR 60729)
34-48650	Oct. 17, 2003	SR-BSE-2003-19	Notice of Filing of Proposed Rule Change by the Boston Stock Exchange, Inc. Relating to the LLC Operating Agreement of the Proposed New Exchange Facility To Be Operated by the Boston Options Exchange Group LLC View Received Comments See Also - Rel. No. 34-49067 Federal Register version (68 FR 60731)
34-48627	Oct. 14, 2003	SR-NASD-2003-130	Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. Relating to Amendments to Its Recently Adopted Rules Regarding Shareholder Approval for Stock Option or Purchase Plans or Other Equity Compensation Arrangements Federal Register version (68 FR 60426)
34-48610	Oct. 9, 2003	SR-Amex-2003-42	Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto by the American Stock Exchange LLC Relating to Shareholder Approval of Stock Option Plans and Other Equity Compensation Arrangements View Received Comments Federal Register version (68 FR 59650)
34-48598	Oct. 7, 2003	SR-PCX-2003-46	Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Transmission of Identity Orders View Received Comments See Also - Rel. No. 34-48888 Federal Register version (68 FR 59663)
34-48591	Oct. 2, 2003	SR-CBOE-2003-17	Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc. Relating to the Listing and Trading of Options on Russell Indexes View Received Comments Federal Register version (68 FR 58728)
34-48503	Sept. 17, 2003	SR-NASD-2002-108	Notice of Filing of Amendment Nos. 4 and 5 to a Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Business Continuity Plans and Emergency Contact Information View Received Comments See Also - Rel. No. 34-49537, Rel. No. 34-46466 Federal Register version (68 FR 55686)
34-48502	Sept. 17, 2003	SR-NYSE-2002-35	Notice of Filing of Amendment No. 4 to a Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Business Continuity and Contingency Planning View Received Comments See Also - Rel. No. 34-49537, Rel. No. 34-46443 Federal Register version (68 FR 55691)
34-48488	Sept. 12, 2003	SR-NASD-2003-138	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Changes to the Territorial Boundaries of Certain NASD District Offices Federal Register version (68 FR 54762)
34-48460	Sept. 8, 2003	SR-NASD-2002-162	Notice of Extension of Comment Period for the Amendments to Proposed Rule Changes by the National Association of Securities Dealers, Inc. and New York Stock Exchange, Inc. Relating to Supervisory Control Amendments File Nos.: SR-NASD-2002-162, SR-NYSE-2002-36 View Received Comments See Also - Rel. No. 34-49883, 34-48298, Rel. Nos. 34-47021, 34-46859 Federal Register version (68 FR 54034)
34-48459	Sept. 8, 2003	SR-Phlx-2003-61	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Equity and Index Option Fees Federal Register version (68 FR 54034)
34-48435	Sept. 3, 2003	SR-NYSE-2003-23	Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Repealing Exchange Rule 500 and Amending Section 806 of the Listed Company Manual View Received Comments See Also - Rel. No. 34-48720 Federal Register version (68 FR 53413)
34-48390	Aug. 21, 2003	SR-NASD-2003-131	Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Proposed Amendments to NASD's Telemarketing Rules To Require Members To Participate in the National Do-Not-Call Registry View Received Comments Federal Register version (68 FR 51613)
34-48389	Aug. 21, 2003	SR-MSRB-2003-07	Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board Relating to Proposed Amendments to the MSRB's Telemarketing Rules To Require Participation in the National Do-Not-Call Registry View Received Comments Federal Register version (68 FR 51609)
34-48355	Aug. 15, 2003	SR-BSE-2002-15	Notice of Filing of Amendment No. 3 to the Proposed Rule Change by the Boston Stock Exchange, Inc. Establishing Trading Rules for the Boston Options Exchange Facility View Received Comments See Also - Rel. No. 34-49068, Rel. No. 34-47186, Amendment No. 3 including trading rules Federal Register version (68 FR 50813)
34-48353	Aug. 15, 2003	SR-NASD-2003-126	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Extend the Pilot Period for Rules Relating to Bond Fund Volatility Ratings Federal Register version (68 FR 50568)
34-48351	Aug. 15, 2003	SR-PCX-2003-34	Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Pacific Exchange, Inc., and Amendment No. 1 Thereto, Relating to its Arbitration Program View Received Comments Federal Register version (68 FR 50822)
34-48347	Aug. 14, 2003	SR-NASD-2003-95	Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Arbitrator Classification and Disclosure in NASD Arbitration View Received Comments See Also - Rel. No. 34-49573 Federal Register version (68 FR 50563)
34-48333	Aug. 13, 2003	SR-PCX-2003-37	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 by the Pacific Exchange, Inc. Relating to a One-Year Extension of the Automatic Opening Rotation Pilot Program Federal Register version (68 FR 50205)
34-48303	Aug. 8, 2003	SR-NASD-2003-120	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Establish a Revenue Sharing Program View Received Comments Federal Register version (68 FR 48654)
34-48313	Aug. 8, 2003	SR-Phlx-2003-49	Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Member Voting View Received Comments Federal Register version (68 FR 49833)
34-48298	Aug. 7, 2003	SR-NASD-2002-162	Notice of Filing of Amendment Nos. 1 and 2 to Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Supervisory Control Amendments View Received Comments See Also - Rel. No. 34-49883, Rel. Nos. 34-48460, Rel. Nos. 34-47021, 34-46859 Federal Register version (68 FR 48421)
34-48239	July 28, 2003	SR-NASD-2003-98	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc., Regarding Reporting of Transactions Conducted Through Electronic Communications Networks to the Automated Confirmation Transaction Service See Also - Rel. No. 34-48442 Federal Register version (68 FR 45871)
34-48225	July 25, 2003	SR-NASD-2003-101	Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Time Limits for Submission of Claims in Arbitration View Received Comments See Also - Rel. No. 34-50714 Federal Register version (68 FR 45299)
34-48191	July 17, 2003	SR-OC-2003-06	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by OneChicago, LLC Relating to MicroSector Futures Federal Register version (68 FR 43555)
34-48145	July 9, 2003	SR-DTC-2003-03	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Modifications to Settlement Progress Payments Procedures Federal Register version (68 FR 42442)
34-48140	July 8, 2003	SR-MSRB-2003-06	Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board To Amend Rule A-14, on Annual Fees See Also - Rel. No. 34-48340 Federal Register version (68 FR 41852)
34-48115	July 1, 2003	SR-CBOE-2003-24	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Incorporated to Interpret Rules Relating to Margin Requirements for Certain Complex Options Spreads on a Pilot Basis View Received Comments See Also - Rel. No. 34-48306 Federal Register version (68 FR 41027)
34-48093	June 26, 2003	SR-NASD-2003-92	Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Adopt NASD Rule 2370 To Govern Certain Lending Arrangements Between Registered Persons and Customers View Received Comments See Also - Rel. No. 34-48242 Federal Register version (68 FR 39608)
34-48088	June 25, 2003	SR-NASD-2003-85	Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. and Amendments No. 1 and 2 Thereto Relating to a Post-Trade Anonymity Feature in SuperMontage View Received Comments See Also - Rel. No. 34-48527 Federal Register version (68 FR 39605)
34-48076	June 23, 2003	SR-CHX-2003-15	Notice of Filing of Proposed Rule Change by the Chicago Stock Exchange, Incorporated To Amend the Membership Dues and Fees Schedule To Increase the Specialist Tape Credits for Certain Trades in Tape A and Tape B Securities View Received Comments See Also - Rel. No. 34-48447 Federal Register version (68 FR 38732)
34-48053	June 17, 2003	SR-Amex-2003-50	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC and Amendment No. 1 Thereto Relating to a Marketing Fee To Be Imposed on Certain Transactions of Specialists and Registered Options Traders View Received Comments Federal Register version (68 FR 37880)
34-47993	June 5, 2003	SR-NASD-2003-81	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. Relating to Quote Decrementation in SuperMontage View Received Comments See Also - Rel. No. 34-48434 Federal Register version (68 FR 35246)
34-47977	June 4, 2003	SR-Phlx-2003-37	Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. to Delete the Prohibition Against the Delivery of Electronically Generated Orders Via AUTOM View Received Comments See Also - Rel. No. 34-48648 Federal Register version (68 FR 35049)
34-47948	May 30, 2003	SR-CBOE-2003-19	Availabilty for Non-Exclusive, Exclusive, or Partially Exclusive Licensing of U.S. Patent Application Concerning East Access Dental Field Operating and Treatment System Having Over-the-Patient Delivery View Received Comments Federal Register version (68 FR 36874)
34-47957	May 30, 2003	SR-CBOE-2003-20	Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the Chicago Board Options Exchange, Inc. Relating to Marketing Fee Procedures View Received Comments Federal Register version (68 FR 35035)
34-47936	May 28, 2003	SR-NASD-2003-57	Notice of Filing of Proposed Rule Change, Amendment No. 1, and Amendment No. 2 Thereto Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5) View Received Comments See Also - Rel. Nos. 34-48161A, 34-48161 Federal Register version (68 FR 33545)
34-47912	May 22, 2003	SR-NYSE-2002-49	Notice of Filing of Amendment No. 2 to Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications With the Public") and by the National Association of Securities Dealers, Inc. Relating to NASD Rule 2711 ("Research Analysts and Research Reports") File Nos.: SR-NYSE-2002-49, SR-NASD-2002-154 View Received Comments See Also - Rel. No. 34-48252, Rel. No. 34-47110 Federal Register version (68 FR 32148)
34-49755	May 21, 2003	SR-ISE-2004-12	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, Inc., Relating to Fee Changes *Comments Due:* June 22, 2004 Federal Register version (69 FR 30970)
34-47856	May 14, 2003	SR-NASD-2003-78	Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend Rule 6230 To Reduce TRACE Reporting Period View Received Comments See Also - Rel. No. 34-48056 Federal Register version (68 FR 27605)
34-47842	May 13, 2003	SR-Amex-2003-35	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC, Relating to Legal Fees Incurred by the Exchange View Received Comments Federal Register version (68 FR 27114)
34-47815	May 8, 2003	SR-MSRB-2003-03	Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board Relating to Marketing of 529 College Savings Plans in the Workplace View Received Comments Federal Register version (68 FR 25918)
34-47734	April 24, 2003	SR-PCX-2003-13	Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Pacific Exchange, Inc. Relating to its Arbitration Program View Received Comments Federal Register version (68 FR 23351)
34-47693	April 17, 2003	SR-NASD-2003-50	Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Modify Fees for Computer-to-Computer Interface Lines Used by NASD Members and Non-Members To Provide Service Bureau Functionality View Received Comments Federal Register version (68 FR 20189)
34-47685	April 16, 2003	SR-NASD-2003-73	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Extend the Pilot Period for the Regulatory Fee and the Trading Activity Fee View Received Comments Federal Register version (68 FR 20198)
34-47676	April 14, 2003	SR-CBOE-2002-05	Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto by the Chicago Board Options Exchange, Incorporated Relating to the Introduction of the CBOE Hybrid System View Received Comments See Also - Rel. No. 34-47959 Federal Register version (68 FR 19865)
34-47672	April 11, 2003	SR-NYSE-2002-33	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Relating to Corporate Governance View Received Comments See Also - Rel. No. 34-48745, Comments received for SR-NYSE-2002-33 Federal Register version (68 FR 19051)
34-47658	April 10, 2003	SR-Amex-2003-18	Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the American Stock Exchange LLC Relating to "At the Close" Orders in Nasdaq Securities View Received Comments Federal Register version (68 FR 19041)
34-47662	April 10, 2003	SR-NSCC-2003-01	Notice of Filing of a Proposed Rule Change Relating to New Rule 59, "Information Services for Investment Products' View Received Comments See Also - Rel. No. 34-48819 Federal Register version (68 FR 19047)