34-51137
Feb. 4, 2005
SR-BSE-2005-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Minor Rule Violation Plan Comments Due:
34-51133
Feb. 3, 2005
SR-Amex-2004-101
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the American Stock Exchange LLC Relating to the Listing and Trading of Notes Linked to the Performance of the Dow Jones Industrial Average Comments Due: Federal Register version (70 FR 7129)
34-51127
Feb. 2, 2005
SR-Phlx-2005-11
Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Article III, Section 3-6 and Article IV, Section 4-1 of Its By-laws Rel. No. 34-51419 Federal Register version (70 FR 6918)
34-51125
Feb. 2, 2005
SR-PCX-2005-15
Notice of Filing of Proposed Rule Change Relating to Primary Only Orders Rel. No. 34-51360
34-51116
Feb. 1, 2005
SR-Phlx-2005-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. To Extend Its Pilot Fee Schedule for Electronic Communications Networks Comments Due: Federal Register version (70 FR 6493)
34-51120
Feb. 1, 2005
SR-OCC-2004-19
Notice of Filing of a Proposed Rule Change Relating to Clearing Member Trade Assignment Processing Rel. No. 34-51350 , Rel. No. 34-51350 Federal Register version (70 FR 6486)
34-51118
Feb. 1, 2005
SR-PCX-2005-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the OptiMark System Comments Due: Federal Register version (70 FR 6490)
34-51121
Feb. 1, 2005
SR-ISE-2005-01
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 Trade Options, Including LEAPS, on Full and Reduced Values of the Nasdaq 100 Index Comments Due: Federal Register version (70 FR 6476)
34-51109
Jan. 31, 2005
SR-Amex-2005-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to a Revision and Extension of the Limitation on Trade Through Liability at the End of the Trading Day Pilot Program Comments Due: Federal Register version (70 FR 6473)
34-51110
Jan. 31, 2005
SR-BSE-2005-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Limitations on End-of-Day Trade-Through Liability on the Boston Options Exchange Comments Due: Federal Register version (70 FR 6475)
34-51114
Jan. 31, 2005
SR-Phlx-2005-07
Distribution of "Risk Disclosure Statement" by Futures Commission Merchants and Introducing Brokers Comments Due: Federal Register version (70 FR 7549)
34-51113
Jan. 31, 2005
SR-PCX-2005-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Thereto Relating to a Revision and Extension of a Limitation on Trade Through Liability at the End of the Options Trading Day Pilot Program Comments Due: Federal Register version (70 FR 6487)
34-51108
Jan. 31, 2005
4-429
Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 14 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Limitation in Liability for Filling Satisfaction Orders Sent Through the Linkage at the End of the Trading Day, and Notice of Filing of Such Amendment Comments Due: View Received Comments Federal Register version (70 FR 6471)
34-51111
Jan. 31, 2005
SR-ISE-2005-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Limitations on End-of-Day Trade-Through Liability Comments Due: Federal Register version (70 FR 6481)
34-51107
Jan. 31, 2005
SR-CBOE-2004-75
Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto by the Chicago Board Options Exchange, Incorporated Relating to the Introduction of Remote Market-Makers Comments Due: Rel. No. 34-51366 Federal Register version (70 FR 6051)
34-51112
Jan. 31, 2005
SR-CBOE-2005-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Extend a Pilot Program Relating to Certain Limitations on Trade-Through Liability at the End of the Options Trading Day Comments Due: Federal Register version (70 FR 6742)
34-51092
Jan. 28, 2005
SR-NASD-2004-159
Notice of Filing of Proposed Rule Change To Allow NASD To Review on a Pilot Basis Denial of Access Complaints Related to the Alternative Display Facility Comments Due: Rel. No. 34-51356 Federal Register version (70 FR 6061)
34-51097
Jan. 28, 2005
SR-NASD-2005-007
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to a Proposal to Adopt a New IM-10308 on Mediators Serving as Arbitrators Comments Due: View Received Comments Rel. No. 34-51097 Federal Register version (70 FR 5715)
34-51096
Jan. 28, 2005
SR-Phlx-2004-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to its Equity Option Specialist Deficit (Shortfall) Fee Comments Due: Federal Register version (70 FR 6495)
34-51102
Jan. 28, 2005
SR-PCX-2004-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to Arbitration Fees Comments Due: Federal Register version (70 FR 6063)
34-51091
Jan. 28, 2005
SR-NYSE-2005-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Two Crossing Sessions in the Exchange's Off-Hours Trading Facility Comments Due: Federal Register version (70 FR 6484)
34-51104
Jan. 28, 2005
SR-NYSE-2005-08
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 6482)
34-51103
Jan. 28, 2005
SR-ISE-2005-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, Inc. Relating to Fee Changes Comments Due: Federal Register version (70 FR 6060)
34-51093
Jan. 28, 2005
SR-FICC-2004-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Structure of the Government Securities Division of the Fixed Income Clearing Corporation Comments Due: Federal Register version (70 FR 5711)
34-51095
Jan. 28, 2005
SR-FICC-2005-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Timing of Premium Assessment Pursuant to Rule 3 of the Government Securities Division for Violation of Minimum Financial Standards Comments Due: Federal Register version (70 FR 6059)
34-51101
Jan. 28, 2005
SR-CBOE-2005-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc. To Amend its Marketing Fee Program To Provide for a Monthly Refund of Any Surplus Comments Due: Federal Register version (70 FR 6057)
34-51085
Jan. 27, 2005
SR-NYSE-2005-10
Initiation of Antidumping and Countervailing Duty Administrative Reviews and Request for Revocation in Part Comments Due: Federal Register version (70 FR 7143)
34-51082
Jan. 26, 2005
SR-NASD-2004-042
Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Foreign Hearing Locations Comments Due: Rel. No. 34-51324 Federal Register version (70 FR 5713)
34-51083
Jan. 26, 2005
SR-NASD-2004-164
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. Relating to the Random Selection of Arbitrators by the Neutral List Selection System Comments Due: View Received Comments Rel. No. 34-51339 Federal Register version (70 FR 5497)
34-51078
Jan. 25, 2005
SR-NASD-2004-173
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc., To Establish Rules Governing the Operation of Nasdaq's Brut Facility Comments Due: Rel. No. 34-51326 Federal Register version (70 FR 4902)
34-51076
Jan. 25, 2005
SR-PCX-2004-125
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. Relating to Exchange Fees and Charges Comments Due: Federal Register version (70 FR 5261)
34-51075
Jan. 24, 2005
SR-NASD-2004-179
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to Section 13 of Schedule A to the NASD By-Laws (Review Charge for Advertisement, Sales Literature, and Other Such Material Filed With or Submitted to NASD) Comments Due: Federal Register version (70 FR 4169)
34-51070
Jan. 21, 2005
SR-Amex-2005-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC Relating to Options Transaction Fees in Connection With the Standard & Poor's Depositary Receipts Comments Due: Federal Register version (70 FR 4900)
34-51068
Jan. 21, 2005
SR-BSE-2005-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Instant Liquidity Access Rules Comments Due: Federal Register version (70 FR 5259)
34-51069
Jan. 21, 2005
SR-BSE-2005-05
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Position Limits and Exercise Limits on the Boston Options Exchange for Options on Standard and Poor's Depositary Receipts Comments Due: Federal Register version (70 FR 5260)
34-51064
Jan. 21, 2005
SR-Phlx-2004-73
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendments No. 1 and 2 Thereto To Require the Immediate Display of Customer Options Limit Orders Comments Due: Federal Register version (70 FR 4180)
34-51071
Jan. 21, 2005
SR-Phlx-2005-05
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change to Increase Position Limits and Exercise Limits for Options on Standard and Poor's Depositary Receipts (SPDRs) Comments Due: Federal Register version (70 FR 4911)
34-51067
Jan. 21, 2005
SR-PCX-2004-132
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 by the Pacific Exchange, Inc. Relating to Trading, Either by Listing or Pursuant to Unlisted Trading Privileges, Commodity-Based Trust Shares and Trading, Pursuant to Unlisted Trading Privileges, iShares COMEX Gold Trust Comments Due: Federal Register version (70 FR 3952)
34-51066
Jan. 21, 2005
SR-FICC-2005-02
Notice of Filing of Proposed Rule Change To Amend the Application and Continuing Membership Standards of the Government Securities Division and the Mortgage-Backed Securities Division Comments Due: Rel. No. 34-51340 Federal Register version (70 FR 4167)
34-51060
Jan. 19, 2005
SR-Phlx-2005-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc., Relating To Imposing a New Licensing Fee in Connection With the Firm-Related Equity Option and Index Option Fee Cap Comments Due: Federal Register version (70 FR 4178)
34-51055
Jan. 18, 2005
SR-Amex-2004-99
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 thereto Relating to the Listing and Trading of Contingent Principal Protected Notes Linked to the Performance of the Russell 2000 Comments Due: Federal Register version (70 FR 3745)
34-51053
Jan. 18, 2005
SR-PCX-2005-03
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 (70 FR 4174)
34-51048
Jan. 18, 2005
SR-NYSE-2004-70
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. To Amend Exchange Rule 104 to Require Specialists To Yield Orally-Consummated Proprietary Trades to Later-Arriving System Orders Comments Due: View Received Comments Rel. No. 34-57312 Federal Register version (70 FR 4171)
34-51054
Jan. 18, 2005
SR-NYSE-2005-07
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Proposed Changes to Exchange Rules 440F ("Public Short Sale Transactions Effected on the Exchange") and 440G ("Transactions in Stocks and Warrants for the Accounts of Members, Allied Members and Member Organizations") Comments Due: Rel. No. 34-51264 Federal Register version (70 FR 3758)
34-51052
Jan. 18, 2005
SR-CBOE-2005-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc., Amending Its Marketing Fee Comments Due: Federal Register version (70 FR 3757)
34-51043
Jan. 14, 2005
SR-Amex-2005-06
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Position Limits and Exercise Limits for Options on Standard and Poor's Depositary Receipts Comments Due: Federal Register version (70 FR 3402)
34-51044
Jan. 14, 2005
SR-PCX-2005-05
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change To Increase Position Limits and Exercise Limits for Options on Standard and Poor's Depositary Receipts Comments Due: Federal Register version (70 FR 3415)
34-51039
Jan. 14, 2005
SR-NASD-2003-140
Notice of Extension of the Comment Period for the Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings File Nos.: Comments Due: View Received Comments and Rel. No. 34-50896 , Rel. No. 34-63010 , Rel. No. 34-61690 Federal Register version (70 FR 3415)
34-51039
Jan. 14, 2005
SR-NYSE-2004-12
Notice of Extension of the Comment Period for the Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings File Nos.: Comments Due: View Received Comments and Rel. No. 34-50896 , Rel. No. 34-63010 , Rel. No. 34-61690 Federal Register version (70 FR 3415)
34-51042
Jan. 14, 2005
SR-ISE-2005-05
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Position Limits and Exercise Limits for Options on Standard and Poor's Depositary Receipts Comments Due: Federal Register version (70 FR 3412)
34-51041
Jan. 14, 2005
SR-CBOE-2005-06
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Position Limits and Exercise Limits for Options on Standard and Poor's Depositary Receipts Comments Due: Federal Register version (70 FR 3408)
34-51036
Jan. 13, 2005
SR-Phlx-2004-92
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendments No. 1 and 2 Thereto by the Philadelphia Stock Exchange, Inc. Relating To Adopting Phlx Rule 1017, Openings in Options, on a Permanent Basis Comments Due: Federal Register version (70 FR 3417)
34-51035
Jan. 13, 2005
SR-NSCC-2004-07
Notice of Filing of Proposed Rule Change To Amend the Membership Standards Required of Insurance Companies Rel. No. 34-51359 Federal Register version (70 FR 3413)
34-51037
Jan. 13, 2005
SR-FICC-2004-18
Notice of Filing of Proposed Rule Change To Clarify Certain Sections of the Loss Allocation Rule of its Government Securities Division Comments Due: Rel. No. 34-51354 Federal Register version (70 FR 3410)
34-51034
Jan. 13, 2005
SR-DTC-2004-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Amendment of the Fee Schedule to Revise Fees for Certain Services Provided by DTC Comments Due: Federal Register version (70 FR 3409)
34-51031
Jan. 12, 2005
SR-NASD-2005-052
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Boston Stock Exchange’s Instant Liquidity Access Rules Comments Due: View Received Comments
34-51031
Jan. 12, 2005
SR-BSE-2004-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Boston Stock Exchange’s Instant Liquidity Access Rules Comments Due:
34-51028
Jan. 12, 2005
SR-Phlx-2005-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Electronic Audit Trail for Orders in Options Overlying the Standard and Poor's Depositary Receipts Comments Due: Federal Register version (70 FR 3089)
34-51027
Jan. 12, 2005
SR-CBOE-2005-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc., Relating to Fees for Transactions in Options on the Standard & Poor's Depository Receipts Comments Due: Federal Register version (70 FR 3407)
34-51030
Jan. 12, 2005
SR-CBOE-2004-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Incorporated To Extend a Pilot Program and Eliminate the Rule Prohibiting Electronically Generated and Communicated Orders Comments Due: Federal Register version (70 FR 3404)
34-51026
Jan. 12, 2005
SR-EMCC-2005-01
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Establish Procedures for Exiting Open Fail Positions Prior to Dissolution
34-51023
Jan. 11, 2005
SR-NASD-2004-174
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Frequency of Updates From the National Do-Not-Call Registry Comments Due: Federal Register version (70 FR 3083)
34-51025
Jan. 11, 2005
SR-NASD-2005-01
Notice of a Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Changes to Rule 3360 in Light of the SEC Regulation SHO Comments Due: Federal Register version (70 FR 3081)
34-51024
Jan. 11, 2005
SR-Phlx-2004-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Increasing the Firm-Related Equity Option and Index Option Comparison and Transaction Cap Comments Due: Federal Register version (70 FR 3088)
34-51022
Jan. 11, 2005
SR-PCX-2005-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Electronic Order Capture System or Electronic Tablet Entry Requirements Comments Due: Federal Register version (70 FR 3086)
34-51015
Jan. 11, 2005
SR-NYSE-2004-54
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Amendments to the NYSE Constitution and the Adoption of an Independence Policy of the NYSE Board of Directors Comments Due: Rel. No. 34-51217 Federal Register version (70 FR 2688)
34-51020
Jan. 11, 2005
SR-MSRB-2005-01
Notice Regarding Rule G-17, on Disclosure of Material Facts-Disclosure of Original Issue Discount Bonds Comments Due: Federal Register version (70 FR 3079)
34-51016
Jan. 11, 2005
SR-ISE-2005-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, Inc., Establishing Fees for Transactions in Options on the Standard & Poor's Depository Receipts Comments Due: Federal Register version (70 FR 2915)
34-51018
Jan. 11, 2005
SR-FICC-2004-14
Notice of Filing of a Proposed Rule Change Relating to Membership Requirements Comments Due: View Received Comments Rel. No. 34-51385 Federal Register version (70 FR 2911)
34-51012
Jan. 10, 2005
SR-CTA/CQ-2004-01
Notice of Filing of the Seventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Fifth Substantive Amendment to the Restated Consolidated Quotation Plan Comments Due: Federal Register version (70 FR 3075)
34-51003
Jan. 10, 2005
SR-CBOE-2005-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated, Relating to Allowing Market Participants To Submit Orders for Automatic Execution Comments Due: Federal Register version (70 FR 2682)
34-51006
Jan. 10, 2005
SR-CBOE-2005-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Systematizing of Orders in the Standard and Poor's Depositary Receipts ("SPDR") Option Class Comments Due: Federal Register version (70 FR 2680)
34-51007
Jan. 10, 2005
SR-CBOE-2005-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc. Relating to Allocations of Securities Comments Due: Federal Register version (70 FR 2910)
34-50992
Jan. 7, 2005
SR-OCC-2004-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Conforming Change in Rule 1106(a)(3) Comments Due: Federal Register version (70 FR 2442)
34-50994
Jan. 7, 2005
SR-CBOE-2004-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated, Relating to a Delay of the Operative Period for Rule 6.45A(c)(iii) Comments Due: Federal Register version (70 FR 2435)
34-50988
Jan. 6, 2005
SR-Amex-2004-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC To Reduce Options Transaction Fees for Exchange Specialists and Registered Options Traders Comments Due: Federal Register version (70 FR 2432)
34-50969
Jan. 6, 2005
SR-Amex-2004-111
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Extension of the Suspension of Customer Transaction Charges for the Trading of Nasdaq-100 Index Tracking Stock Comments Due: Federal Register version (70 FR 2191)
34-50970
Jan. 6, 2005
SR-Amex-2004-110
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Suspension of the Specialist's and Registered Traders' Transaction Charges for the Trading of Nasdaq-100 Index Tracking Stock Comments Due: Federal Register version (70 FR 2193)
34-50971
Jan. 6, 2005
SR-NASD-2004-180
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc., Regarding Waiver of California Arbitrator Disclosure Standards Comments Due: Rel. No. 34-51213 Federal Register version (70 FR 2685)
34-50977
Jan. 6, 2005
SR-NASD-2004-189
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting and Compliance Engine ("TRACE") Fees and Implementation Date of Stage Two of Dissemination of TRACE Transaction Information Comments Due: Federal Register version (70 FR 2202)
34-50984
Jan. 6, 2005
SR-NASD-2004-177
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Fees for Filing Documents Pursuant to NASD Rule 2710 (Corporate Financing Rule-Underwriting Terms and Arrangements) Comments Due: View Received Comments Federal Register version (70 FR 2440)
34-50982
Jan. 6, 2005
SR-NYSE-2004-49
Notice of Filing of Amendment No. 3 to Proposed Rule Change by the New York Stock Exchange, Inc., Relating to Procedures for Companies That Fail To File Annual Reports in a Timely Manner Comments Due: View Received Comments Rel. No. 34-51777 , Rel. No. 34-50452 Federal Register version (70 FR 2686)
34-50981
Jan. 6, 2005
SR-ISE-2004-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes Comments Due: Federal Register version (70 FR 2439)
34-50962
Jan. 5, 2005
SR-CBOE-2004-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No.1 Thereto Relating to the Customer Large Trade Discount Program Comments Due: Federal Register version (70 FR 2196)
34-50964
Jan. 5, 2005
SR-CBOE-2004-82
Notice of Filing of a Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating to Exchange Rule 17.10(d)-Review of Decision Not To Initiate Charges Comments Due: Rel. No. 34-51282 Federal Register version (70 FR 2200)
34-50967
Jan. 5, 2005
SR-CBOE-2004-72
Notice of Filing of Proposed Rule Change and Amendment No. 1 by the Chicago Board Options Exchange, Incorporated Relating to the SizeQuote Mechanism Comments Due: Rel. No. 34-51205 Federal Register version (70 FR 2197)
34-50958
Jan. 4, 2005
SR-Phlx-2004-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. To Eliminate the Maximum Order Delivery Size Over the AUTOM System Comments Due: Federal Register version (70 FR 1929)
34-50957
Jan. 4, 2005
SR-NYSE-2004-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. to Extend the Effective Date of Amendments, Approved Pursuant to Comments Due: Federal Register version (70 FR 1928)
34-50956
Jan. 3, 2005
SR-NASD-2004-190
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Establish the Minimum Quotation Increment for the BRUT ECN System Comments Due: Federal Register version (70 FR 1746)
34-50953
Dec. 30, 2004
SR-Amex-2004-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to Regulation SHO Comments Due: Federal Register version (70 FR 1481)
34-50952
Dec. 30, 2004
SR-CHX-2004-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Stock Exchange, Incorporated Relating to Short Sales of Securities Comments Due: Federal Register version (70 FR 1483)
34-50951
Dec. 30, 2004
SR-OCC-2004-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts Comments Due: Federal Register version (70 FR 1489)
34-50949
Dec. 30, 2004
SR-NSCC-2004-10
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Regulatory Reporting Transmission Agreements With Self-Regulatory Organizations Comments Due: Federal Register version (70 FR 1485)
34-50946
Dec. 29, 2004
SR-Phlx-2004-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to Amending Phlx Rule 1072 in View of Commission Regulation SHO Comments Due: Federal Register version (70 FR 1496)
34-50947
Dec. 29, 2004
SR-Phlx-2004-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to Short Sales Comments Due: Federal Register version (70 FR 1492)
34-50948
Dec. 29, 2004
SR-PCX-2004-128
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Phase-In of PCX Plus Comments Due: Federal Register version (70 FR 1490)
34-50942
Dec. 29, 2004
SR-NYSE-2004-63
Notice and Return of Exchange-Issued Identification Cards, and Minor Violations of Rules Comments Due: Rel. No. 34-51188 Federal Register version (70 FR 1487)
34-50940
Dec. 28, 2004
SR-Amex-2004-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Transaction Fees in Connection With the iShares FTSE/Xinhua China 25 Index Fund Comments Due: Federal Register version (70 FR 932)
34-50939
Dec. 28, 2004
SR-NYSE-2004-031
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Relating to Amendments to Exchange Rule 633, 634, and 635 Comments Due: View Received Comments Rel. No. 34-51273 Federal Register version (70 FR 420)
34-50934
Dec. 27, 2004
SR-BSE-2004-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. To Amend the Exchange's Rule Relating to its Regulatory Transaction Fee File Nos.: Comments Due: Federal Register version (70 FR 2467)
