34-49470
March 25, 2004
SR-OCC-2004-03
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Amending OCC's Rules To Provide for Use of a Give-Up Service Provider and Revising OCC's Fee Schedule Comments Due: Federal Register version (69 FR 17013)
34-49477
March 25, 2004
SR-OCC-2003-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Clearing Agreement Comments Due: Federal Register version (69 FR 17257)
34-49478
March 25, 2004
SR-OCC-2003-09
Notice of Filing of a Proposed Rule Change Relating to Minimum Net Capital Requirements for Appointed Clearing Members Rel. No. 34-50465 , Rel. No. 34-50465 Federal Register version (69 FR 17258)
34-49476
March 25, 2004
SR-NYSE-2004-09
Notice of Filing of a Proposed Rule Change by the New York Stock Exchange, Inc. to Amend NYSE Rule 123C Relating to Market-on-Close Policy and Expiration Procedures Comments Due: Rel. No. 34-49682 Federal Register version (69 FR 17255)
34-49465
March 24, 2004
SR-Amex-2003-89
Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, 3, 4, 5 and 6 Thereto by the American Stock Exchange LLC To Implement a New Options Trading Platform Known as the Amex New Trading Environment or ANTE Comments Due: proposed rules also available , Rel. No. 34-49747 Federal Register version (69 FR 16990)
34-49467
March 24, 2004
SR-Phlx-2004-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to Equity and Index Option Fees Comments Due: Federal Register version (69 FR 17017)
34-49466
March 24, 2004
SR-PCX-2004-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Exchange Fees and Charges Comments Due: Federal Register version (69 FR 17016)
34-49463
March 24, 2004
SR-FICC-2004-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Technical Corrections Comments Due: Federal Register version (69 FR 17004)
34-49468
March 24, 2004
SR-CBOE-2004-11
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the Chicago Board Options Exchange, Inc. Relating to a Pilot Program for Modification of ROS on the Settlement Date of Futures and Options on Volatility Indexes Comments Due: Federal Register version (69 FR 17000)
34-49458
March 23, 2004
SR-NQLX-2004-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by NQLX LLC To Amend Its Rule 419 Relating to Block Trades Comments Due: Federal Register version (69 FR 17011)
34-49457
March 23, 2004
SR-Phlx-2004-20
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to an Extension of Interpretation of PACE Guarantees in Securities Subject to ITS Plan Exemption Comments Due: Federal Register version (69 FR 16333)
34-49459
March 23, 2004
SR-Phlx-2004-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to the Extension of a Pilot Program Regarding the Book Sweep Function of the Exchange's Automated Options Market System Comments Due: Federal Register version (69 FR 16629)
34-49417A
March 23, 2004
SR-PCX-2004-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. To Amend PCX Rule 1.26 To Clarify and Update Its Registration Rule for Employees of Member Organizations; Correction Comments Due: Rel. No. 34-49417 Federal Register version (69 FR 16326)
34-49462
March 23, 2004
SR-CBOE-2004-02
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc., To Amend the Obvious Error Rule Relating to "No-Bid" Options Comments Due: Rel. No. 34-50169 Federal Register version (69 FR 16998)
34-49456
March 22, 2004
SR-Phlx-2004-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to the Execution of Market and Marketable Limit Orders in Certain Trust Shares and Trust Issued Receipts During a Locked Market Comments Due: Federal Register version (69 FR 16331)
34-49455
March 22, 2004
SR-PCX-2003-60
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1, 2, and 3 by the Pacific Exchange, Inc. Relating to Rules for Trading Index Options Comments Due: Federal Register version (69 FR 16316)
34-49449
March 19, 2004
SR-Amex-2004-04
Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the American Stock Exchange LLC Relating to Auto-Ex for Exchange Traded Funds and Nasdaq Securities Traded on an Unlisted Basis Comments Due: Rel. No. 34-49921 Federal Register version (69 FR 15411)
34-49453
March 19, 2004
SR-Amex-2004-13
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the American Stock Exchange LLC Relating to the Listing and Trading of Contingent Principal Protection Notes Linked to the Performance of the Dow Jones Industrial Average (DJIA) Comments Due: Federal Register version (69 FR 15913)
34-49443
March 18, 2004
SR-NYSE-2004-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to a Pilot Program To Review Minimum Numerical Continued Listing Standards Comments Due: Federal Register version (69 FR 13929)
34-49447
March 18, 2004
SR-ISE-2003-36
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by the International Securities Exchange, Inc., Relating to Trading Options on the Morgan Stanley Technology Index Comments Due: Federal Register version (69 FR 16299)
34-49446
March 18, 2004
SR-DTC-2004-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Termination of the Global Corporate Action Hub as a DTC Service Comments Due: Federal Register version (69 FR 15419)
34-49440
March 17, 2004
SR-Amex-2004-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to ITS Trade-Throughs and Locked Markets Comments Due: Federal Register version (69 FR 13920)
34-49434
March 17, 2004
SR-BSE-2004-10
Notice of Filing of Proposed Rule Change by the Boston Stock Exchange, Inc. Relating to the Amendment of its Constitution to Permit the Separation of the Chairman and Chief Executive Officer Positions Comments Due: Rel. No. 34-49611 Federal Register version (69 FR 13922)
34-49439
March 17, 2004
SR-NASD-2004-023
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. To Amend Order Audit Trail System Rules Relating to Execution Reports Comments Due: Rel. No. 34-49628 Federal Register version (69 FR 13927)
34-49437
March 17, 2004
SR-CHX-2003-24
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Incorporated Relating to the Definition of Primary Market Comments Due: Rel. No. 34-49774 Federal Register version (69 FR 13924)
34-49435
March 17, 2004
SR-Phlx-2003-68
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Philadelphia Stock Exchange, Inc. Relating to Options Transactions Resulting From Obvious Errors Comments Due: Rel. No. 34-49785 Federal Register version (69 FR 16327)
34-49436
March 17, 2004
SR-OCC-2004-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts Comments Due: Federal Register version (69 FR 13932)
34-49442
March 17, 2004
SR-ISE-2004-05
Notice of Filing of Proposed Rule Change by the International Securities Exchange, Inc., Relating to Customized Market Data Reports ("ISEMine") Comments Due: Rel. No. 34-49627 Federal Register version (69 FR 13925)
34-49427
March 16, 2004
SR-NASD-2004-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Modify NASD Rule 4619 With Respect to Certain Excused Withdrawal Requests Comments Due: Federal Register version (69 FR 13606)
34-49422
March 16, 2004
SR-NSCC-2003-20
Notice of Filing of Proposed Rule Change To Eliminate the Higher Capital Requirements Imposed on Members for Processing Investment Fund Transactions Through NSCC's Mutual Fund Services Comments Due: Rel. No. 34-49598 Federal Register version (69 FR 13344)
34-49421
March 16, 2004
SR-FICC-2003-14
Notice of Filing of a Proposed Rule Change Relating to Amending Impractical or Inconsistent Rules, Eliminating the Need for Routine Waivers of Various Rules Provisions, and Adding Rules to Protect the Clearing Corporation and Its Members Comments Due: Federal Register version (69 FR 13604)
34-49417
March 15, 2004
SR-PCX-2004-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. To Amend PCX Rule 1.26 To Clarify and Update Its Registration Rule for Employees of Member Organizations Comments Due: Rel. No. 34-49417A Federal Register version (69 FR 13610)
34-49418
March 15, 2004
SR-PCX-2004-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Bid-Ask Differentials Comments Due: Federal Register version (69 FR 13611)
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: View Received Comments 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 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: 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 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 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.: View Received Comments 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: 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: View Received Comments 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: View Received Comments 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 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 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 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: 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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.: View Received Comments 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 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 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)
