34-48351
Aug. 15, 2003
SR-PCX-2003-34
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Pacific Exchange, Inc., and Amendment No. 1 Thereto, Relating to its Arbitration Program View Received Comments Federal Register version (68 FR 50822)
34-48347
Aug. 14, 2003
SR-NASD-2003-95
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Arbitrator Classification and Disclosure in NASD Arbitration View Received Comments Rel. No. 34-49573 Federal Register version (68 FR 50563)
34-48333
Aug. 13, 2003
SR-PCX-2003-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 by the Pacific Exchange, Inc. Relating to a One-Year Extension of the Automatic Opening Rotation Pilot Program Federal Register version (68 FR 50205)
34-48303
Aug. 8, 2003
SR-NASD-2003-120
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Establish a Revenue Sharing Program View Received Comments Federal Register version (68 FR 48654)
34-48313
Aug. 8, 2003
SR-Phlx-2003-49
Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Member Voting View Received Comments Federal Register version (68 FR 49833)
34-48298
Aug. 7, 2003
SR-NASD-2002-162
Notice of Filing of Amendment Nos. 1 and 2 to Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Supervisory Control Amendments View Received Comments Rel. No. 34-49883 , Rel. Nos. 34-48460 , Rel. Nos. 34-47021 , 34-46859 Federal Register version (68 FR 48421)
34-48239
July 28, 2003
SR-NASD-2003-98
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc., Regarding Reporting of Transactions Conducted Through Electronic Communications Networks to the Automated Confirmation Transaction Service Rel. No. 34-48442 Federal Register version (68 FR 45871)
34-48225
July 25, 2003
SR-NASD-2003-101
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Time Limits for Submission of Claims in Arbitration View Received Comments Rel. No. 34-50714 Federal Register version (68 FR 45299)
34-48191
July 17, 2003
SR-OC-2003-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by OneChicago, LLC Relating to MicroSector Futures Federal Register version (68 FR 43555)
34-48145
July 9, 2003
SR-DTC-2003-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Modifications to Settlement Progress Payments Procedures Federal Register version (68 FR 42442)
34-48140
July 8, 2003
SR-MSRB-2003-06
Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board To Amend Rule A-14, on Annual Fees Rel. No. 34-48340 Federal Register version (68 FR 41852)
34-48115
July 1, 2003
SR-CBOE-2003-24
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Incorporated to Interpret Rules Relating to Margin Requirements for Certain Complex Options Spreads on a Pilot Basis View Received Comments Rel. No. 34-48306 Federal Register version (68 FR 41027)
34-48093
June 26, 2003
SR-NASD-2003-92
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Adopt NASD Rule 2370 To Govern Certain Lending Arrangements Between Registered Persons and Customers View Received Comments Rel. No. 34-48242 Federal Register version (68 FR 39608)
34-48088
June 25, 2003
SR-NASD-2003-85
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. and Amendments No. 1 and 2 Thereto Relating to a Post-Trade Anonymity Feature in SuperMontage View Received Comments Rel. No. 34-48527 Federal Register version (68 FR 39605)
34-48076
June 23, 2003
SR-CHX-2003-15
Notice of Filing of Proposed Rule Change by the Chicago Stock Exchange, Incorporated To Amend the Membership Dues and Fees Schedule To Increase the Specialist Tape Credits for Certain Trades in Tape A and Tape B Securities View Received Comments Rel. No. 34-48447 Federal Register version (68 FR 38732)
34-48053
June 17, 2003
SR-Amex-2003-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC and Amendment No. 1 Thereto Relating to a Marketing Fee To Be Imposed on Certain Transactions of Specialists and Registered Options Traders View Received Comments Federal Register version (68 FR 37880)
34-47993
June 5, 2003
SR-NASD-2003-81
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. Relating to Quote Decrementation in SuperMontage View Received Comments Rel. No. 34-48434 Federal Register version (68 FR 35246)
34-47977
June 4, 2003
SR-Phlx-2003-37
Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. to Delete the Prohibition Against the Delivery of Electronically Generated Orders Via AUTOM View Received Comments Rel. No. 34-48648 Federal Register version (68 FR 35049)
34-47948
May 30, 2003
SR-CBOE-2003-19
Availabilty for Non-Exclusive, Exclusive, or Partially Exclusive Licensing of U.S. Patent Application Concerning East Access Dental Field Operating and Treatment System Having Over-the-Patient Delivery View Received Comments Federal Register version (68 FR 36874)
34-47957
May 30, 2003
SR-CBOE-2003-20
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the Chicago Board Options Exchange, Inc. Relating to Marketing Fee Procedures View Received Comments Federal Register version (68 FR 35035)
34-47936
May 28, 2003
SR-NASD-2003-57
Notice of Filing of Proposed Rule Change, Amendment No. 1, and Amendment No. 2 Thereto Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5) View Received Comments Rel. Nos. 34-48161A , 34-48161 Federal Register version (68 FR 33545)
34-47912
May 22, 2003
SR-NYSE-2002-49
Notice of Filing of Amendment No. 2 to Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications With the Public") and by the National Association of Securities Dealers, Inc. Relating to NASD Rule 2711 ("Research Analysts and Research Reports") File Nos.: View Received Comments Rel. No. 34-48252 , Rel. No. 34-47110 Federal Register version (68 FR 32148)
34-49755
May 21, 2003
SR-ISE-2004-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, Inc., Relating to Fee Changes Comments Due: Federal Register version (69 FR 30970)
34-47856
May 14, 2003
SR-NASD-2003-78
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend Rule 6230 To Reduce TRACE Reporting Period View Received Comments Rel. No. 34-48056 Federal Register version (68 FR 27605)
34-47842
May 13, 2003
SR-Amex-2003-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC, Relating to Legal Fees Incurred by the Exchange View Received Comments Federal Register version (68 FR 27114)
34-47815
May 8, 2003
SR-MSRB-2003-03
Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board Relating to Marketing of 529 College Savings Plans in the Workplace View Received Comments Federal Register version (68 FR 25918)
34-47734
April 24, 2003
SR-PCX-2003-13
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Pacific Exchange, Inc. Relating to its Arbitration Program View Received Comments Federal Register version (68 FR 23351)
34-47693
April 17, 2003
SR-NASD-2003-50
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Modify Fees for Computer-to-Computer Interface Lines Used by NASD Members and Non-Members To Provide Service Bureau Functionality View Received Comments Federal Register version (68 FR 20189)
34-47685
April 16, 2003
SR-NASD-2003-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Extend the Pilot Period for the Regulatory Fee and the Trading Activity Fee View Received Comments Federal Register version (68 FR 20198)
34-47676
April 14, 2003
SR-CBOE-2002-05
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto by the Chicago Board Options Exchange, Incorporated Relating to the Introduction of the CBOE Hybrid System View Received Comments Rel. No. 34-47959 Federal Register version (68 FR 19865)
34-47672
April 11, 2003
SR-NYSE-2002-33
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Relating to Corporate Governance View Received Comments Rel. No. 34-48745 , Comments received for SR-NYSE-2002-33 Federal Register version (68 FR 19051)
34-47658
April 10, 2003
SR-Amex-2003-18
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the American Stock Exchange LLC Relating to "At the Close" Orders in Nasdaq Securities View Received Comments Federal Register version (68 FR 19041)
34-47662
April 10, 2003
SR-NSCC-2003-01
Notice of Filing of a Proposed Rule Change Relating to New Rule 59, "Information Services for Investment Products' View Received Comments Rel. No. 34-48819 Federal Register version (68 FR 19047)
34-47645
April 8, 2003
SR-NASD-2003-58
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the National Association of Securities Dealers, Inc. Eliminating Certain Eligibility Requirements for Participating in the Primex Auction System as a Primex Auction System Market Maker View Received Comments Federal Register version (68 FR 17974)
34-47650
April 8, 2003
SR-MSRB-2003-02
Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Rule G-14, on Reports of Sales or Purchases View Received Comments Rel. No. 34-47888 Federal Register version (68 FR 18313)
34-47635
April 4, 2003
SR-NASD-2003-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Modify the Transaction Credit Program for Exchange-Listed Securities View Received Comments Federal Register version (68 FR 18315)
34-47621
April 2, 2003
SR-NASD-2003-56
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Regarding Fees for the Reporting of SuperMontage Transactions Through the Automated Confirmation Transaction Service ("ACT") View Received Comments Federal Register version (68 FR 17418)
34-47588
March 28, 2003
SR-NASD-2003-37
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto by the National Association of Securities Dealers, Inc. to Permanently Expand Order Entry Firm Access to SIZE in Nasdaq's SuperMontage System View Received Comments Federal Register version (68 FR 16323)
34-47590
March 28, 2003
SR-NASD-2003-13
Notice of Filing of Proposed Rule Change and Amendment No. 1 by the National Association of Securities Dealers, Inc. Relating to Proposed Interpretive Material Regarding the Use of Investment Analysis Tools View Received Comments Rel. No. 34-50463 Federal Register version (68 FR 16325)
34-47577
March 26, 2003
SR-PCX-2003-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. To Amend the Regulatory Fees Portion of Its Schedule of Fees and Charges To Add a Designated Options Examining Authority Fee for Member Firms That Conduct a Public Options Business View Received Comments Federal Register version (68 FR 16109)
34-47516
March 17, 2003
SR-NASD-2002-141
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Relating to Proposed Amendments to NASD Rules 4200 and 4350 Regarding Board Independence and Independent Committees View Received Comments Rel. No. 34-48745 , are available for this notice. Comments received for SR-NASD-2002-141 Federal Register version (68 FR 14451)
34-47435
March 4, 2003
SR-NASD-2002-168
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Relating to Proposed Rule 2130 Concerning the Expungement of Customer Dispute Information From the Central Registration Depository System View Received Comments Rel. No. 34-48933 Federal Register version (68 FR 11435)
34-47331
Feb. 10, 2003
SR-NASD-2003-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Fees Applicable to the NASD Alternative Display Facility View Received Comments Federal Register version (68 FR 7635)
34-47209
Jan. 17, 2003
SR-NASD-2003-03
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Waive Fees Assessed Under NASD Rule 7010(s) for New Subscribers to Nasdaq PostData View Received Comments Rel. No. 34-47592 Federal Register version (68 FR 3911)
34-47210
Jan. 17, 2003
SR-NASD-2003-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Extend the Pilot Period for Nasdaq PostData and the Fees Assessed Under NASD Rule 7010(s) View Received Comments Federal Register version (68 FR 3912)
34-47186
Jan. 14, 2003
SR-BSE-2002-15
Notice of Filing of 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. 34-48355 Federal Register version (68 FR 3062)
34-47110
Dec. 31, 2002
SR-NYSE-2002-49
Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications With the Public") and by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest View Received Comments Rel. No. 34-48252 , Rel. No. 34-47912 Federal Register version (68 FR 826)
34-47091
Dec. 23, 2002
SR-NYSE-2002-55
Notice of Filing of a Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Dissemination of Liquidity Quotations View Received Comments Rel. No. 34-47614 , Rel. No. 34-47614 Federal Register version (68 FR 133)
34-47021
Dec. 18, 2002
SR-NYSE-2002-36
Notice of Extension of Comment Period for the 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. 34-49882 , 34-46585A , 34-46858 , Rel. No. 34-49883 , Rel. Nos. 34-48460 , 34-48298 , 34-46859 Federal Register version (67 FR 78840)
34-47021
Dec. 18, 2002
SR-NASD-2002-162
Notice of Extension of Comment Period for the 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. 34-49882 , 34-46585A , 34-46858 , Rel. No. 34-49883 , Rel. Nos. 34-48460 , 34-48298 , 34-46859 Federal Register version (67 FR 78840)
34-46859
Nov. 20, 2002
SR-NASD-2002-162
Notice of Filing of Proposed Rule Change Relating to Supervisory Control Amendments View Received Comments Rel. No. 34-49883 , Rel. Nos. 34-48460 , 34-48298 , Rel. Nos. 34-47021 Federal Register version (67 FR 70990)
34-46858
Nov. 20, 2002
SR-NYSE-2002-36
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. To Adopt Amendments to Exchange Rule 342 ("Offices-Approval, Supervision and Control") and its Interpretation, Rule 401 ("Business Conduct"), Rule 408 ("Discretionary Power in Customers Accounts"), and Rule 410 ("Records of Orders") View Received Comments Rel. No. 34-49882 , Rel. Nos. 34-47021 , 34-46585A , 34-46858 Federal Register version (67 FR 70994)
34-46839
Nov. 14, 2002
4-208
Notice of Filing of a Proposal To Revise the Required Form of Vendor Agreement Under Section VII(b) of the OPRA Plan Federal Register version (67 FR 70269)
34-46803
Nov. 8, 2002
SR-PCX-2002-36
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to the Exchange's New Trading Platform for Options, PCX Plus View Received Comments and comment letters Federal Register version (67 FR 69580)
34-46782
Nov. 7, 2002
SR-NYSE-2002-53
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto on a Pilot Basis by the New York Stock Exchange, Inc. Amending NYSE Rule 431, Margin Requirements for Security Futures Federal Register version (67 FR 69052)
34-46649
Oct. 11, 2002
SR-NASD-2002-140
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. Relating to Shareholder Approval for Stock Option Plans or Other Arrangements View Received Comments Rel. No. 34- Federal Register version (67 FR 64173)
34-46620
Oct. 8, 2002
SR-NYSE-2002-46
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies View Received Comments Rel. No. 34- , Rel. Nos. 34-46620A , 34-46620 Federal Register version (67 FR 63486)
34-46576
Oct. 1, 2002
SR-NYSE-2002-19
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Customer Portfolio and Cross-Margining Requirements View Received Comments Rel. No. 34-52031 , Rel. Nos. 34-51615 , 34-50885 Federal Register version (67 FR 62843)
34-46555
Sept. 26, 2002
SR-OC-2002-01
Notice of Filing of Proposed Rule Change by OneChicago, LLC Relating to Customer Margin Requirements for Security Futures View Received Comments Federal Register version (67 FR 61707)
34-46548
Sept. 25, 2002
SR-NQLX-2002-01
Notice of Filing of Proposed Rule Change by the Nasdaq Liffe Markets, LLC Relating to Margin Rules for Security Futures Products Other Than Options on Security Futures Federal Register version (67 FR 61361)
34-46444
Aug. 30, 2002
SR-NASD-2002-108
Notice of Filing of 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. 34-48503 Federal Register version (67 FR 57257)
34-46443
Aug. 30, 2002
SR-NYSE-2002-35
Notice of Filing of 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. 34-48502 Federal Register version (67 FR 57264)
34-46249
July 24, 2002
SR-NASD-2002-97
Notice of Filing and Order Granting Accelerated Approval on a Pilot Basis to a Proposed Rule Change by the National Association of Securities Dealers, Inc., Relating to the Operation of the Alternative Display Facility for Quoting and Trading in Securities of The Nasdaq Stock Market, Inc. View Received Comments Federal Register version (67 FR 49821)
34-45991
May 28, 2002
SR-NASD-2001-90
Notice of Filing of Amendment No. 2 to a Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Nasdaq's Proposed Separation from the NASD and the Establishment of the NASD Alternative Display Facility View Received Comments Federal Register version (67 FR 39476)
34-45887
May 7, 2002
SR-NFA-2002-03
Notice of Filing of Proposed Rule Change by National Futures Association Regarding Futures Commission Merchants and Introducing Brokers Anti-Money Laundering Program Federal Register version (67 FR 32072)
34-45791
April 19, 2002
SR-BSE-2001-08
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Boston Stock Exchange, Inc. Relating to Competing Specialists and the Execution of Directed Agency Orders Federal Register version (67 FR 20852)
34-45720
April 10, 2002
SR-NFA-2002-02
Notice of Filing of Proposed Rule Change by National Futures Association Regarding Broker-Dealer Registration, Fair Commissions, and Best Execution Obligations with Respect to Security Futures Products View Received Comments and Best Execution Obligations with Respect to Security Futures Products Comments received electronically are available Federal Register version (67 FR 18664)
34-45679
April 2, 2002
SR-NASD-2002-21
Notice of Extension of the Comment Period for the Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest File Nos.: View Received Comments Rel. No. 34-45908 , Rel. No. 34-45526 Federal Register version (67 FR 16140)
34-45630
March 22, 2002
SR-CBOE-2002-03
Notice of Filing of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating to Customer Portfolio and Cross-Margining Requirements Rel. No. 34-52032 , Rel. Nos. 34-51614 , 34-50886 Federal Register version (67 FR 15263)
34-45526
March 8, 2002
SR-NASD-2002-21
Notice of Filing of Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest File Nos.: View Received Comments Rel. No. 34-45908 , Rel. No. 34-45679 Federal Register version (67 FR 11526)
34-45529
March 8, 2002
SR-ISE-2002-01
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the International Securities Exchange LLC Proposal to Restructure From a Limited Liability Company to a Corporation Rel. No. 34-45803 Federal Register version (67 FR 11732)
34-45501
March 4, 2002
SR-NASD-2002-28
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Fees Applicable to the NASD Alternative Display Facility View Received Comments Federal Register version (67 FR 10942)
34-45263
Jan. 9, 2002
SR-NYSE-2001-53
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New Stock Exchange, Inc. Amending Its Rules Regarding the Transmission of Proxy and Other Shareholder Communication Material and the Proxy Reimbursement Guidelines Set Forth In Those Rules, and Requesting Permanent Approval of the Amended Proxy Reimbursement Guidelines View Received Comments Rel. No. 34-45644 Federal Register version (67 FR 2264)
34-45156
Dec. 14, 2001
SR-NASD-2001-90
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Nasdaq's Proposed Separation From the NASD and the Establishment of the NASD Alternative Display Facility View Received Comments Rel. No. 34-45991 Federal Register version (67 FR 387)
34-45016
Nov. 5, 2001
SR-NASD-2001-66
Notice of Filing of Proposed Rule Change, Amendment No. 1, and Amendment No. 2 Thereto by the National Association of Securities Dealers, Inc. Relating To Display Requirements When Using Reserve Size in the Nasdaq National Market Execution System View Received Comments Federal Register version (66 FR 56875)
34-44950
Oct. 18, 2001
SR-NASD-00-02
Notice of Filing of Amendments to Proposed Rule Change by National Associatioan of Securities Dealers, Inc. Amending NASD Code of Arbitration Rules 10335 and 10205(h) Relating to Injunctive Relief Federal Register version (66 FR 54041)
34-44823
Sept. 20, 2001
SR-NFA-2001-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Futures Association Relating to Security Futures Products Federal Register version (66 FR 49439)
34-44803
Sept. 17, 2001
SR-Amex-2001-78
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the American Stock Exchange LLC; New York Stock Exchange, Inc.; Boston Stock Exchange, Inc.; Cincinnati Stock Exchange, Inc., Chicago Stock Exchange, Inc.; Pacific Exchange Inc.; Philadelphia Stock Exchange, Inc.; and National Association of Securities Dealers, Inc. Regarding the Temporary Use by the American Stock Exchange LLC of the Facilities of the New York Stock Exchange, Inc. Federal Register version (66 FR 48495)
34-44802
Sept. 17, 2001
SR-Amex-2001-80
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes Filed by the American Stock Exchange LLC ("Amex") and the Philadelphia Stock Exchange, Inc. ("Phlx") Relating to Temporary Trading of Amex Options on the Phlx To Respond to Market Developments File Nos.: Federal Register version (66 FR 48723)
34-44801
Sept. 17, 2001
SR-CBOE-2001-49
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Chicago Board Options Exchange, Inc. Relating to Temporary Access of American Stock Exchange Members to Respond to Market Developments Federal Register version (66 FR 48499)
34-44808
Sept. 17, 2001
SR-CBOE-2001-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchanges, Incorporated To Adopt Certain Intermarket Trading System-Related Terms and Conditions Regarding the Temporary Use by the American Stock Exchange LLC of the Facilities of the New York Stock Exchange, Inc. Federal Register version (66 FR 48729)
34-44703
Aug. 15, 2001
4-208
Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures Under Rule 11Ac-5 Federal Register version (66 FR 43924)
34-44539
July 11, 2001
SR-NYSE-2001-14
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. To Amend Rule 13 on XPress Quote Parameters View Received Comments Federal Register version (66 FR 37509)
34-44233
April 30, 2001
SR-PCX-00-25
Notice of Filing of Amendment No. 3 to Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Archipelago Exchange View Received Comments Rel. No. 34-44983 , Rel. No. 34-43608
34-43992
Feb. 21, 2001
4-208
Notice of Filing of Proposed Plan Establishing Procedures Under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange Federal Register version (66 FR 12571)
34-43675
Dec. 5, 2000
SR-EMCC-00-01
Notice of Filing of Proposed Rule Change Relating to Financial Statements Prepared in Accordance with International Accounting Standards or United Kingdom Generally Accepted Accounting Principles 34-46164
34-43267
Nov. 28, 2000
SR-NASD-99-60
Notice of Filing of Amendment No. 2 to Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Trading in Hot Equity Offerings View Received Comments Rel. No. 34-42325 , Rel. No. 34-48701
34-43616
Nov. 24, 2000
SR-NASD-99-65
Notice of Filing of Amendment Nos. 2 and 3 to Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Creation of a Corporate Bond Trade Reporting and Transaction Dissemination Facility and the Elimination of Nasdaq's Fixed Income Pricing System View Received Comments Notice: Rel. No. 34-42201 Federal Register version (65 FR 71174)
34-43608
Nov. 21, 2000
SR-PCX-00-25
Notice of Filing of a Proposed Rule Change by the Pacific Exchange, Inc. and Amendment No. 1 Thereto Relating to the Archipelago Exchange View Received Comments Rel. No. 34-44983 , Rel. No. 34-44233 Federal Register version (65 FR 78821)
34-43541
Nov. 9, 2000
SR-DTC-00-10
Notice of Filing of Proposed Rule Change Relating to the Combination of the Depository Trust Company's TradeSuite Institutional Trade Processing Services With Thomson-Financial ESG's Institutional Trade Processing Services View Received Comments Notice of Filing Federal Register version (65 FR 69591)
34-43514
Nov. 3, 2000
SR-NASD-99-53
Office of Public Health and Science; National Action Plan on Overweight and Obesity: Notice of Opportunity for Public Comment; Notice of Public Meeting View Received Comments Release No. 4-646 , 34-43863 , 34-43138 , 34-42573 , 34-42249 , 34-42166 Federal Register version (65 FR 69995)
34-43211
Aug. 25, 2000
SR-Phlx-00-02
Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 by the Philadelphia Stock Exchange, Inc. Amending Its Certificate of Incorporation To Authorize the Issuance of Trading Permits Federal Register version (65 FR 53251)
34-43212
Aug. 25, 2000
SR-Phlx-00-03
Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 by the Philadelphia Stock Exchange, Inc. Relating to the Issuance of Equity Trading Permits Federal Register version (65 FR 53253)
34-43213
Aug. 25, 2000
SR-Phlx-00-04
Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to the Issuance of Equity Trading Permits and Establishment of Related Fees and Amendment No. 1 Thereto Federal Register version (65 FR 53257)
34-43138
Aug. 10, 2000
SR-NASD-99-53
Notice of Filing of Amendment Nos. 5, 6, and 7 to Proposed Rule Change Relating to the Establishment of Nasdaq Order Display Facility and to Modifications of the Nasdaq Trading Platform File Nos.: View Received Comments Release No. 4-646 , Release No. 34-46429 , 34-43863 , Rel. Nos. 34-43514 , 34-42573 , 34-42249 , 34-42166 Federal Register version (65 FR 56026)
34-43111
Aug. 2, 2000
SR-NYSE-00-32
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. to Extend the Pilot Relating to Shareholder Approval of Stock Option Plans View Received Comments Federal Register version (65 FR 49046)
34-43100
July 31, 2000
SR-Phlx-00-01
Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. To Amend its Current Enhanced Specialist Participation Provisions and Adopt Two New Programs in Phlx Rule 1014(g); Commission Request for Comment Federal Register version (65 FR 48778)
34-43066
July 21, 2000
SR-MSRB-00-06
Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board Relating to Municipal Fund Securities Federal Register version (65 FR 47530)
34-42754
May 3, 2000
SR-NASD-00-18
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. and Amendment No. 1 thereto Relating to the Entry of Locking/Crossing Quotations Prior to the Nasdaq Market Opening View Received Comments Federal Register version (65 FR 30167)
34-42723
April 26, 2000
SR-NYSE-99-48
Notice of Extension of Comment Period for Issues Relating to Market Fragmentation View Received Comments Federal Register version (65 FR 25527)
