34-49752
May 21, 2004
SR-NASD-2004-055
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. Related to Clarification of the Price/Time Execution Algorithm in SuperMontage Comments Due: Federal Register version (69 FR 30354)
34-49751
May 21, 2004
SR-Phlx-2004-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Broker-Dealer Equity Option Transaction Fees Comments Due: Federal Register version (69 FR 30735)
34-49756
May 21, 2004
SR-PCX-2004-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and by the Pacific Exchange, Inc. to Amend Rules Relating to FOCUS Report Filings Comments Due: Federal Register version (69 FR 30972)
34-49757
May 21, 2004
SR-PCX-2004-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and by the Pacific Exchange, Inc. To Amend Rules Relating to FOCUS Report Filings Comments Due: Federal Register version (69 FR 30971)
34-49754
May 21, 2004
SR-ISE-2003-22
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the International Securities Exchange, Inc., Relating to Permanent Approval of the Pilot Program for Quotation Spreads Comments Due: Rel. No. 34-50015 Federal Register version (69 FR 30352)
34-49746
May 20, 2004
SR-NASD-2004-081
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Unit Listing Standards Comments Due: Federal Register version (69 FR 30356)
34-49748
May 20, 2004
SR-Phlx-2004-34
Notice of Filing and Immediate Effectiveness of Proposed Rule by the Philadelphia Stock Exchange, Inc. Relating to the Rescission of Commentary .01(f) to Exchange Rule 708 Comments Due: Federal Register version (69 FR 30000)
34-49742
May 19, 2004
SR-BSE-2004-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. Relating to Its Boston Options Exchange Trading Rules Comments Due: Federal Register version (69 FR 30350)
34-49732
May 19, 2004
SR-NASD-2004-069
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Redesignate Rules 4200A and 4350A Comments Due: Federal Register version (69 FR 29774)
34-49733
May 19, 2004
SR-NASD-2004-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Allow Members To Report Certain Trades Through SuperMontage Comments Due: Federal Register version (69 FR 29990)
34-49738
May 19, 2004
SR-NASD-2004-072
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Establish Fees for the Use of the Nasdaq Workstation II Service by NASD Members via Digital Subscriber Lines Comments Due: Federal Register version (69 FR 29995)
34-49728
May 19, 2004
SR-CHX-2004-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The Chicago Stock Exchange, Inc. To Set Fees for Member Firms for Computer Hardware Stored on the Exchange Premises and for the Connection of that Hardware to the CHX System Comments Due: Federal Register version (69 FR 29988)
34-49737
May 19, 2004
SR-PCX-2004-36
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 (69 FR 29999)
34-49722
May 18, 2004
SR-Amex-2004-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 by the American Stock Exchange LLC Relating to a Reduction in ETF Transaction Fees for Specialists and Registered Options Traders Comments Due: Federal Register version (69 FR 29589)
34-49721
May 18, 2004
SR-CHX-2004-10
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Inc. Relating to Co-Specialist Assignments and Evaluations Comments Due: Rel. No. 34-50024 Federal Register version (69 FR 29592)
34-49723
May 18, 2004
SR-CBOE-2004-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc. to Remove From the Exchange Rules References to Certain Indexes and Trading Permits Comments Due: Federal Register version (69 FR 29591)
34-49719
May 17, 2004
SR-Amex-2004-16
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 Funds of the Vanguard Stock Index Funds Comments Due: Federal Register version (69 FR 29581)
34-49715
May 17, 2004
SR-NASD-2004-061
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 97% Protected Notes Linked to the Global Equity Basket Comments Due: Federal Register version (69 FR 29597)
34-49713
May 17, 2004
SR-PCX-2004-12
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto by the Pacific Exchange, Inc. Creating an Additional Processing Capability for PNP Orders Called "PNP Plus" Rel. No. 34-49942 Federal Register version (69 FR 29609)
34-49714
May 17, 2004
SR-NYSE-2004-07
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc., Relating to the Listed Company Manual's Requirement that Companies Make Certain Paper Filings Comments Due: Rel. No. 34-49988 Federal Register version (69 FR 29608)
34-49717
May 17, 2004
SR-NSCC-2004-01
Notice of Filing of Proposed Rule Change To Modify the National Securities Clearing Corporation's Continuous Net Settlement System Rel. No. 34-50026 Federal Register version (69 FR 29605)
34-49709
May 14, 2004
SR-DTC-2004-03
Notice of Filing of Proposed Rule Change Relating to the Processing of Deliveries in DTC's Money Market Instrument Program Comments Due: Rel. No. 34-50006 Federal Register version (69 FR 29155)
34-49696
May 13, 2004
SR-ISE-2004-08
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by International Securities Exchange, Inc., Relating to Trading Options on the S&P MidCap 400 Index Comments Due: Federal Register version (69 FR 28962)
34-49698
May 13, 2004
SR-CBOE-2004-09
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating to Options on Certain CBOE Volatility Indexes Comments Due: Federal Register version (69 FR 29152)
34-49688
May 12, 2004
SR-NASD-2003-163
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Voluntary Direct Communication Between Parties and Arbitrators Comments Due: View Received Comments Rel. No. 34-49950 Federal Register version (69 FR 28966)
34-49690
May 12, 2004
SR-Phlx-2004-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to the Trading Hours of Canadian Dollar Foreign Currency Options Comments Due: Federal Register version (69 FR 28972)
34-49693
May 12, 2004
SR-Phlx-2004-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Specialist Unit Fixed Monthly Fees Comments Due: Federal Register version (69 FR 28974)
34-49687
May 12, 2004
SR-CBOE-2004-05
Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the Chicago Board Options Exchange, Inc. Relating to the Relocation of an Entire Trading Station's Securities to Another Trading Station Comments Due: Rel. No. 34-49877 Federal Register version (69 FR 28959)
34-49681
May 11, 2004
SR-PCX-2003-51
Notice of Filing and Amendments No. 1, 2, and 3 Thereto of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Conditions of PCX Membership Rel. No. 34-49922 Federal Register version (69 FR 28970)
34-49685
May 11, 2004
SR-NSCC-2004-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptance of Non-Standard Settlement Input for Trade Recording Purposes Comments Due: Federal Register version (69 FR 27964)
34-49679
May 11, 2004
SR-CBOE-2004-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc. To Amend the Modified Rapid Opening Procedure Pilot Program Comments Due: Federal Register version (69 FR 27957)
34-49673
May 10, 2004
SR-NASD-2004-016
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Implementation of a Web-based Arbitration Claim Notification and Filing Procedure Comments Due: Rel. No. 34-49876 Federal Register version (69 FR 26910)
34-49674
May 10, 2004
SR-NASD-2004-001
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Arbitrator Training Fees Comments Due: Rel. No. 34-49875 Federal Register version (69 FR 26909)
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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: View Received Comments 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: 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 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: 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: 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: 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: 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: 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: 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: View Received Comments 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: View Received Comments 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 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 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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" 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: 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: 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: 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: 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: 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: Federal Register version (69 FR 17006)
