34-50930
Dec. 27, 2004
SR-NASD-2004-182
Notice of Filing of Proposed Rule Change Regarding Minor Modifications to the Nasdaq Opening Process for Nasdaq-Listed Stocks Comments Due: Federal Register version (70 FR 933)
34-50935
Dec. 27, 2004
SR-CHX-2004-44
Notice of Filing and Immediate Effectiveness of Extension of Pilot Rule Change Relating to Transactions in Certain Exchange-Traded Funds Comments Due: Federal Register version (70 FR 414)
34-50928
Dec. 23, 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)
34-50929
Dec. 23, 2004
SR-NYSE-2004-68
Notice of Filing and Immediate Effectiveness of Proposed Rule and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. To Amend Exchange Rules 440B ("Short Sales) and 440C ("Deliveries Against Short Sales") Comments Due: Federal Register version (69 FR 78511)
34-50924
Dec. 23, 2004
SR-CBOE-2004-67
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating To Split Price Priority Comments Due: Rel. No. 34-51148 Federal Register version (70 FR 128)
34-50914
Dec. 22, 2004
SR-BSE-2004-56
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. Relating to the Interpretation of a Boston Options Exchange Rule Relating to Directed Orders Comments Due: Federal Register version (69 FR 78064)
34-50921
Dec. 22, 2004
SR-BSE-2004-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment 1 Thereto by the Boston Stock Exchange, Inc., Regarding Short Sales Comments Due: Federal Register version (69 FR 78063)
34-50916
Dec. 22, 2004
SR-NASD-2004-188
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to the Listing and Trading of Performance Leveraged Upside Securities Based on the Value of the Index Comments Due: Federal Register version (69 FR 78508)
34-50922
Dec. 22, 2004
SR-NASD-2004-187
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Extension of Short Sale Rule and Continued Suspension of Primary Market Maker Standards Set Forth in Rule 4612 Comments Due: Federal Register version (69 FR 78079)
34-50911
Dec. 22, 2004
SR-Phlx-2004-89
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to Changes to Its Automated Options Market (AUTOM) System Comments Due: Federal Register version (69 FR 78086)
34-50912
Dec. 22, 2004
SR-NYSE-2004-61
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. to Rescind a Type of Order Known as an Institutional XPress Order Through Amendments to Exchange Rules 13, 60 and 72 Comments Due: Rel. No. 34-51319 Federal Register version (69 FR 78084)
34-50919
Dec. 22, 2004
SR-MSRB-2004-09
Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board Relating to Advertisements of Municipal Fund Securities Under MSRB Rule G-21 Comments Due: View Received Comments Rel. No. 34-51736 Federal Register version (69 FR 78499)
34-50909
Dec. 22, 2004
SR-CBOE-2004-85
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Incorporated Regarding Designated Primary Market-Makers' Handling of Non-Public Customer Orders Comments Due: Rel. No. 34-51173 Federal Register version (69 FR 78072)
34-50920
Dec. 22, 2004
SR-CBOE-2004-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board of Options Exchange, Incorporated Relating to Amending Rule 30.20 To Conform to the Requirements of Regulation SHO Comments Due: Federal Register version (69 FR 78068)
34-50902
Dec. 21, 2004
SR-Amex-2004-103
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Amex Rule 903C To Permit the Listing of Long-Term Index Options Series With a Duration of Up to Sixty Months Until Expiration Comments Due: Federal Register version (69 FR 78061)
34-50904
Dec. 21, 2004
SR-BSE-2004-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. Relating to the Execution Guarantee Rules Comments Due: Federal Register version (69 FR 78065)
34-50897
Dec. 21, 2004
SR-NASD-2004-169
Notice of Filing of Proposed Rule Change To Adopt Additional Listing Standards Applicable to the Securities of the Nasdaq Stock Market, Inc. or an Affiliate Comments Due: Rel. No. 34-51123 Federal Register version (69 FR 78076)
34-50898
Dec. 21, 2004
SR-NSX-2004-07
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Non-Member Give-Ups Rel. No. 34-51456 Federal Register version (69 FR 78082)
34-50901
Dec. 21, 2004
SR-Phlx-2004-84
Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. to Eliminate the Public Order Exposure System Functionality From Phlx Rule 229 Rel. No. 34-51144 Federal Register version (69 FR 78089)
34-50900
Dec. 21, 2004
SR-ISE-2004-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Fee Changes Comments Due: Federal Register version (69 FR 78075)
34-50903
Dec. 21, 2004
SR-CBOE-2004-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees Comments Due: Federal Register version (69 FR 78070)
34-50894
Dec. 20, 2004
SR-Amex-2004-93
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to Customer Transaction Charges for the Trading of Nasdaq-100 Index Tracking Stock() Comments Due: Federal Register version (69 FR 77788)
34-50893
Dec. 20, 2004
SR-NASD-2004-176
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Extend an Existing Pilot Relating to Manning Price-Improvement Standards Comments Due: Federal Register version (69 FR 78078)
34-50892
Dec. 20, 2004
SR-CHX-2004-26
Notice of Filing of Proposed Rule Change and Amendment No. 1 by the Chicago Stock Exchange, Inc. Relating to the Demutualization of the Chicago Stock Exchange, Inc. Comments Due: Rel. No. 34-51149 Federal Register version (69 FR 77796)
34-50885
Dec. 20, 2004
SR-NYSE-2002-19
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 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 , Rel. Nos. 34-51615 , Rel. No. 34-46576 Federal Register version (69 FR 77287)
34-50896
Dec. 20, 2004
SR-NASD-2003-140
Notice of Filing of 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 ("IPOs") File Nos.: Comments Due: View Received Comments Rel. No. 34-51039 , Rel. No. 34-63010 , Rel. No. 34-61690 Federal Register version (69 FR 77804)
34-50896
Dec. 20, 2004
SR-NYSE-2004-12
Notice of Filing of 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 ("IPOs") File Nos.: Comments Due: View Received Comments Rel. No. 34-51039 , Rel. No. 34-63010 , Rel. No. 34-61690 Federal Register version (69 FR 77804)
34-50888
Dec. 20, 2004
SR-FICC-2004-19
Notice of Filing of a Proposed Rule Change Relating to Changes to Eliminate or Amend Rules that are Inconsistent With Current Practice, Have Expired, Are Outdated, Are Unnecessary, or Require Technical Correction Comments Due: Rel. No. 34-51175 Federal Register version (69 FR 78073)
34-50887
Dec. 20, 2004
SR-DTC-2004-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Depository Trust Company's SMART/Track Service To Include Corporate Action Liability Notification Comments Due: Federal Register version (69 FR 77802)
34-50886
Dec. 20, 2004
SR-CBOE-2002-03
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Incorporated Relating to Customer Portfolio and Cross-Margining Requirements Comments Due: View Received Comments Rel. No. 34-52032 , Rel. Nos. 34-51614 , 34-45630 Federal Register version (69 FR 77275)
34-50877
Dec. 17, 2004
SR-Phlx-2004-90
Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Remote Streaming Quote Traders Rel. No. 34-51126 Federal Register version (69 FR 77295)
34-50880
Dec. 17, 2004
SR-CBOE-2004-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Chicago Board Options Exchange, Inc. To Amend Its Obvious Error Rule Comments Due: Federal Register version (69 FR 77790)
34-50866
Dec. 16, 2004
SR-Amex-2003-90
Notice of Filing of Proposed Rule Change by American Stock Exchange LLC Relating to the Amendment of Exchange Rule 153 and Amendment No. 1 Thereto Comments Due: Rel. No. 34-50999 Federal Register version (70 FR 2925)
34-50871
Dec. 16, 2004
SR-Amex-2004-72
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC To Amend Its Minor Rule Violation Plan Comments Due: Rel. No. 34-51119 Federal Register version (69 FR 76801)
34-50865
Dec. 16, 2004
SR-CHX-2004-03
Notice of Filing of Proposed Rule Change by the Chicago Stock Exchange, Incorporated Relating to Manual Execution of Orders and Amendment No. 1 Thereto Rel. No. 34-52062 Federal Register version (69 FR 76804)
34-50874
Dec. 16, 2004
SR-CBOE-2004-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by Chicago Board Options Exchange, Incorporated Relating to Borrowing and Lending by Registered Persons Comments Due: Federal Register version (69 FR 76803)
34-50862
Dec. 15, 2004
SR-NASD-2004-150
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment 1 Thereto by the National Association of Securities Dealers, Inc. Relating to an Interpretation of Rule 3350 Comments Due: Federal Register version (69 FR 76511)
34-50850
Dec. 14, 2004
SR-Amex-2004-87
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 Contingent Principal Protected Notes Linked to the Performance of the Standard and Poor's 500 Composite Stock Price Index Comments Due: Federal Register version (69 FR 76506)
34-50852
Dec. 14, 2004
SR-Amex-2004-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC Relating to Changes in the Exchange's Options Rules To Reflect the Exemption of Standardized Options from the Securities Act of 1933 and Provisions of the Securities Exchange Act of 1934 Comments Due: Federal Register version (69 FR 78060)
34-50851
Dec. 14, 2004
SR-Phlx-2004-51
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to Phlx Regulation 5, Visitors and Applicants Rel. No. 34-51080 Federal Register version (69 FR 76816)
34-50856
Dec. 14, 2004
SR-Phlx-2004-91
Notice of Filing of Proposed Rule Change To Establish a Directed Order Process for Orders Delivered to the Exchange Via AUTOM View Received Comments Rel. No. 34-50856 Federal Register version (69 FR 76817)
34-50847
Dec. 14, 2004
SR-PCX-2002-57
Notice of Withdrawal of Proposed Rule Change by the Pacific Exchange, Incorporated Relating to the Implementation of a New Order Audit Trail System Federal Register version (69 FR 76807)
34-50854
Dec. 14, 2004
SR-PCX-2004-122
Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Implementation of a New Order Audit Trail System Rel. No. 34-50998 Federal Register version (69 FR 76808)
34-50843
Dec. 13, 2004
SR-Amex-2004-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC Providing $5 Quotation Spread Parameters for Quotations Submitted Electronically to ANTE and Correcting an Inaccurate Paragraph Designation Comments Due: Federal Register version (69 FR 76503)
34-50845
Dec. 13, 2004
SR-NASD-2004-181
Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Concerning Modifications to the Nasdaq Market Center Execution Service Comments Due: View Received Comments Federal Register version (69 FR 76022)
34-50834
Dec. 10, 2004
SR-BSE-2004-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Boston Stock Exchange, Inc. Relating to Trading Hours for Options Contracts Overlying the Nasdaq 100 Index Trading Stock on the Boston Options Exchange Comments Due: Federal Register version (69 FR 75572)
34-50833
Dec. 10, 2004
SR-Phlx-2004-86
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to the Definition of an Exchange-Traded Fund Share Comments Due: Federal Register version (69 FR 75582)
34-50836
Dec. 10, 2004
SR-Phlx-2004-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Impose New License Fees and To Modify the Calculation of the Firm-Related Equity Option and Index Option Fee Cap Comments Due: Federal Register version (69 FR 75584)
34-50839
Dec. 10, 2004
SR-ISE-2004-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 by the International Securities Exchange, Inc., Relating to the Hours of Trading for Options on Fund Shares, Including the Nasdaq 100 Tracking Stock Comments Due: Federal Register version (69 FR 75576)
34-50837
Dec. 10, 2004
SR-CBOE-2004-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc. Relating to a DPM and Market-Maker Transaction Fee in Options on the Mini-Nasdaq-100 Index Comments Due: Federal Register version (69 FR 75575)
34-50840
Dec. 10, 2004
SR-CBOE-2004-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Incorporated Relating to the Trading Hours for Options on Units and Options on the Nasdaq-100 Index Tracking Stock Comments Due: Federal Register version (69 FR 75573)
34-50830
Dec. 9, 2004
SR-PCX-2004-58
Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Exchange's Rules Under the Minor Rule Plan and Recommended Fine Schedule Rel. No. 34-51051 Federal Register version (69 FR 75581)
34-50828
Dec. 9, 2004
SR-NYSE-2004-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. To Extend the Pilot for Its Automatic Execution Facility for Certain Limit Orders (NYSE Direct+ Comments Due: Federal Register version (69 FR 75579)
34-50822
Dec. 8, 2004
SR-NASD-2004-175
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Repeal of Existing NASD Short Sale Rules in Light of SEC Regulation SHO Comments Due: View Received Comments Federal Register version (69 FR 74554)
34-50823
Dec. 8, 2004
SR-NASD-2004-168
Notice of Filing of and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Certificate of Designation for Preferred Stock of The Nasdaq Stock Market, Inc. Comments Due: Federal Register version (69 FR 75100)
34-50821
Dec. 8, 2004
SR-CBOE-2004-73
Notice of Filing of Proposed Rule Change by the Chicago Board Options Exchange, Inc. To Restrict a Designated Primary Market-Maker's Ability To Charge a Brokerage Commission Comments Due: View Received Comments Rel. No. 34-51235 Federal Register version (69 FR 75092)
34-50811
Dec. 7, 2004
SR-Amex-2004-98
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Suspend the Specialist's and Registered Traders' Transaction Charges for the Trading of Nasdaq-100 Index Tracking Stock Comments Due: Federal Register version (69 FR 74547)
34-50812
Dec. 7, 2004
SR-AMEX-2004-81
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 Nasdaq-100 Index Comments Due: Federal Register version (69 FR 74544)
34-50814
Dec. 7, 2004
SR-BSE-2004-52
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Market Maker Quote Obligations Under the Rules of the Boston Options Exchange Facility Comments Due: Rel. No. 34-51049 Federal Register version (69 FR 74548)
34-50817
Dec. 7, 2004
SR-PCX-2004-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Make Clarifying Changes to the PCX Schedule of Fees and Charges With Respect to the Options Orientation Fee To Include the Cost of the Series 44 or 45 Examination and To Adopt a New Fee Associated With the Series 46 Examination Comments Due: Federal Register version (69 FR 74559)
34-50818
Dec. 7, 2004
SR-PCX-2004-96
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend PCX Equities, Inc. Rule 4.5 To Require All Financial/Operations Principals of PCXE ETP Firms To Successfully Complete the Series 27 Examination and All Compliance Supervisors of PCXE ETP Firms To Successfully Complete the Series 24 Examination Rel. No. 34-51038 Federal Register version (69 FR 74558)
34-50813
Dec. 7, 2004
SR-ISE-2004-31
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to System-Assisted Quotation Services Comments Due: Rel. No. 34-51050 Federal Register version (69 FR 74551)
34-50806
Dec. 7, 2004
SR-FICC-2004-21
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 (69 FR 72237)
34-50800
Dec. 6, 2004
SR-Amex-2004-85
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the American Stock Exchange LLC to Trade the iShares Comments Due: Federal Register version (69 FR 72228)
34-50796
Dec. 6, 2004
SR-NSX-2004-12
Notice of Filing of Proposed Rule Change by National Stock Exchange To Eliminate the "CBOE Exerciser Member" Membership Class, To Eliminate the Exchange's Special Nominating Committee, and To Remove Certain Special Limitations on Changes to Certain By-Laws and Rules Rel. No. 34-51033 Federal Register version (69 FR 71857)
34-50799
Dec. 6, 2004
SR-PCX-2004-99
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Listing and Trading iShares FTSE/Xinhua China 25 Index Fund Comments Due: Federal Register version (69 FR 72242)
34-50797
Dec. 6, 2004
SR-NSCC-2003-22
Notice of Filing of Proposed Rule Change To Amend the Standards of Financial Responsibility Required of Mutual Fund and Insurance Services Applicants and Members That Are Banks, Trust Companies, or Broker-Dealers Rel. No. 34-51174 Federal Register version (69 FR 72238)
34-50792
Dec. 3, 2004
SR-Amex-2004-38
Notice of Filing of a Proposed Rule Change and Amendment Nos. 2, 3 and 4 Thereto by the American Stock Exchange LLC Relating to the Listing and Trading of the iShares() COMEX Gold Trust Comments Due: Rel. No. 34-51058 Federal Register version (69 FR 71446)
34-50788
Dec. 3, 2004
SR-Phlx-2004-57
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendments No. 1, 2, 3, and 4 Thereto by the Philadelphia Stock Exchange, Inc. Relating to the Trade Allocation Algorithm Applicable to Options Traded on the Exchange's Electronic Trading Platform, Phlx XL Comments Due: Federal Register version (69 FR 71860)
34-50789
Dec. 3, 2004
SR-OPRA-2004-05
Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan To Revise Two Fees Charged by OPRA to Professional Subscribers to OPRA's Basic Service Comments Due: Federal Register version (69 FR 71442)
34-50791
Dec. 3, 2004
SR-CBOE-2003-18
Notice of Withdrawal of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated to Amend CBOE Rule 6.24 Relating to Systematizing Orders Federal Register version (69 FR 71456)
34-50787
Dec. 2, 2004
SR-NASD-2004-170
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Establish Combined Nasdaq Market Center and Brut Pricing for Non-NASD Members Comments Due: Federal Register version (69 FR 71459)
34-50785
Dec. 2, 2004
SR-OPRA-2004-06
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Guideline 2 of the Capacity Guidelines Adopted in Accordance With the Plan Comments Due: Federal Register version (69 FR 71440)
34-50784
Dec. 2, 2004
SR-FICC-2004-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Implementation of a Fee for Financing Debits Associated With Certain Obligations of Repo Brokers Comments Due: Federal Register version (69 FR 71086)
34-50776
Dec. 1, 2004
SR-Phlx-2004-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Automatic Execution of Certain Orders in PACE During Locked Markets Comments Due: Federal Register version (69 FR 71093)
34-50777
Dec. 1, 2004
SR-NYSE-2004-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc., To Extend its Pilot Program Permitting a Floor Broker to Use an Exchange Authorized and Provided Portable Phone on the Exchange Floor Comments Due: View Received Comments Federal Register version (69 FR 71090)
34-50780
Dec. 1, 2004
SR-NSCC-2004-08
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fee Schedule for Fixed Income Products Comments Due: Federal Register version (69 FR 71089)
34-50773
Dec. 1, 2004
SR-MSRB-2004-08
Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board Relating to Amendments to MSRB Rule G-34, on CUSIP Numbers and New Issue Requirements, To Facilitate Real-Time Transaction Reporting of Trades in New Issue Municipal Securities Comments Due: Rel. No. 34-51000 Federal Register version (69 FR 70731)
34-50778
Dec. 1, 2004
SR-ISE-2004-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, Inc., Relating to an Ethernet Connection Fee Comments Due: Federal Register version (69 FR 71088)
34-50779
Dec. 1, 2004
SR-CBOE-2004-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated To Extend a Pilot Program Relating to the Retail Automatic Execution System Comments Due: Federal Register version (69 FR 71087)
34-50756
Nov. 30, 2004
SR-PCX-2004-83
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, by the Pacific Exchange, Inc., Relating to Changing the Opening Time and the Commencement of the Opening Auction Rel. No. 34-51014 Federal Register version (69 FR 70489)
34-50755
Nov. 30, 2004
SR-CBOE-2004-77
Notice of Filing of Proposed Rule Change by the Chicago Board Options Exchange, Inc. Relating to the Systematizing of Orders in Connection With the Requirement To Design and Implement a Consolidated Options Audit Trail System ("COATS") Comments Due: View Received Comments Rel. No. 34-50996 Federal Register version (69 FR 70482)
34-50759
Nov. 30, 2004
SR-CBOE-2004-74
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Options on Revised-Value Versions of the European-Style Exercise, P.M.-Settled Option Contract on the Standard & Poor's 100 Stock Index Comments Due: Federal Register version (69 FR 70728)
34-50740
Nov. 29, 2004
SR-NASD-2004-140
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Eliminate Entry and Application Fees for Exchange-Listed Issuers Transferring Listings to Nasdaq Comments Due: Rel. No. 34-51005 Federal Register version (69 FR 70299)
34-50741
Nov. 29, 2004
SR-NASD-2004-142
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Establish Fees for Companies With a Dual Listing on the New York Stock Exchange and Nasdaq Comments Due: Rel. No. 34-51005 Federal Register version (69 FR 70296)
34-50749
Nov. 29, 2004
SR-NASD-2004-022
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Corporate Financing Rule and Shelf Offerings of Securities Comments Due: View Received Comments Federal Register version (69 FR 70735)
34-50751
Nov. 29, 2004
SR-Phlx-2004-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 by the Philadelphia Stock Exchange, Inc. Relating to Minor Adjustments in the Calculation of the Nasdaq Composite Index Comments Due: Federal Register version (69 FR 70492)
34-50752
Nov. 29, 2004
SR-Phlx-2004-71
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to the Extension Through April 30, 2005, of a Pilot Program To Disengage the Automatic Execution Feature (AUTO-X) of the Exchange's Automated Options Market (AUTOM) Comments Due: Federal Register version (69 FR 70494)
34-50742
Nov. 29, 2004
SR-PCX-2004-101
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Add a $500 Application Fee for Waivers of Exchange Examination Requirements Pursuant to PCX Rule 2.5(c)(4) Comments Due: Federal Register version (69 FR 70488)
34-50733
Nov. 24, 2004
SR-BSE-2004-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate a Restriction Precluding a BSE Specialist From Trading Both Nasdaq-Listed and New York Stock Exchange-Listed Securities Simultaneously Comments Due: Federal Register version (69 FR 69962)
34-50736
Nov. 24, 2004
SR-CBOE-2004-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc. To Adopt a New Marketing Fee Comments Due: Federal Register version (69 FR 69966)
34-50735
Nov. 24, 2004
SR-CBOE-2004-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated to Eliminate the Exchange's Marketing Fee Voting Procedures Comments Due: Federal Register version (69 FR 69964)
34-50726
Nov. 23, 2004
SR-Amex-2004-92
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the American Stock Exchange LLC to Correct a Cross-Reference in Section 220 of the Amex Company Guide Comments Due: Federal Register version (69 FR 69960)
34-50724
Nov. 23, 2004
SR-NASD-2004-132
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 Accelerated Return Notes Linked to the Russell 2000 Index Comments Due: Federal Register version (69 FR 69655)
34-50722
Nov. 23, 2004
SR-Phlx-2004-72
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to its Equity Options Payment for Order Flow Program Comments Due: Federal Register version (69 FR 69976)
34-50723
Nov. 23, 2004
SR-Phlx-2004-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Its Equity Options Payment for Order Flow Program Comments Due: Federal Register version (69 FR 69978)
34-50727
Nov. 23, 2004
SR-Phlx-2004-66
Notice of Filing of Proposed Rule Change Relating to Concentration Limit Listing Standards in Phlx Rule 1009A Comments Due: Rel. No. 34-50945 Federal Register version (69 FR 69974)
34-50728
Nov. 23, 2004
SR-Phlx-2004-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to $5 Bid/Ask Differentials in Options Traded on the Exchange's Electronic Trading Platform, Phlx XL Comments Due: Federal Register version (69 FR 69982)
34-50731
Nov. 23, 2004
SR-PCX-2004-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. To Extend for an Additional Six-Month Period a Pilot Rule Relating to Waiver of California Arbitrator Disclosure Standards Comments Due: Federal Register version (69 FR 69660)
34-50732
Nov. 23, 2004
SR-CBOE-2004-71
Notice of Filing of Proposed Rule Change To Modify the Distribution of the DPM Participation Entitlement for Orders Specifying a Preferred DPM Under CBOE Rule 8.87 Comments Due: View Received Comments Rel. No. 34-51779 Federal Register version (69 FR 69967)
