34-42573
March 23, 2000
SR-NASD-99-53
Notice of Filing of Amendment No. 4 to Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to the Establishment of Nasdaq Order Display Facility and to Modifications of the Nasdaq Trading Platform View Received Comments Release No. 4-646 , 34-43863 , Rel. Nos. 34-43514 , 34-43138 , 34-42249 , 34-42166 Federal Register version (65 FR 16981)
34-42456
Feb. 24, 2000
4-429
Notice of Filing of Proposed Option Market Linkage Plans by the American Stock Exchange, Chicago Board Options Exchange, Pacific Exchange, and Philadelphia Stock Exchange View Received Comments and Philadelphia Stock Exchange American Stock Exchange LLC , Options Linkage Plan Chicago Board Options Exchange , Options Linkage Plan International Securities Exchange LLC , Options Linkage Plan Pacific Exchange , Inc. Federal Register version (65 FR 11402)
34-42452
Feb. 23, 2000
SR-NASD-99-41
Notice of Filing of Amendment No. 1 to the Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Opening of Day-Trading Accounts View Received Comments Rel. No. 34-43021 Federal Register version (65 FR 11353)
34-42450
Feb. 23, 2000
SR-NYSE-99-48
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. to Rescind Exchange Rule 390; Commission Request for Comment on Issues Relating to Market Fragmentation View Received Comments SR-NYSE-99-48 Comments received electronically are available Federal Register version (65 FR 10577)
34-42434
Feb. 16, 2000
SR-NYSE-00-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Implementation of the Exchange's Audit Committee Rules Federal Register version (65 FR 10139)
34-42418
Feb. 11, 2000
SR-NASD-00-03
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend NASD Rule 2520 Relating to Margin Requirements for Day-Trading Customers View Received Comments Federal Register version (65 FR 8461)
34-42343
Jan. 14, 2000
SR-NYSE-99-47
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. To Amend NYSE Rule 431 ("Margin Requirements") View Received Comments Federal Register version (65 FR 4005)
34-42325
Jan. 10, 2000
SR-NASD-99-60
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers Inc. Relating to Trading in Hot Equity Offerings View Received Comments Rel. No. 34-48701 , Rel. No. 34-43267 Federal Register version (65 FR 8768)
34-42249
Dec. 17, 1999
SR-NASD-99-53
Notice of Extension of the Comment Period for the Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Establishment of the Nasdaq Order Display Facility and Modifications of the Nasdaq Trading Platform View Received Comments Release No. 4-646 , 34-43863 , Rel. Nos. 34-43514 , 34-43138 , 34-42573 , 34-42166 Federal Register version (64 FR 72712)
34-42240
Dec. 16, 1999
SR-NASD-99-45
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Amendments to the Public Disclosure Program Rel. No. 34-42402 Federal Register version (64 FR 72125)
34-42201
Dec. 3, 1999
SR-NASD-99-65
Notice of Filing of 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 ("FIPS') Rel. No. 34-43616 Federal Register version (64 FR 69305)
34-42178
Nov. 24, 1999
SR-PCX-99-39
Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc. Creating PCX Equities, Inc. Federal Register version (64 FR 68136)
34-42166
Nov. 22, 1999
SR-NASD-99-53
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. and Amendment Nos. 1 and 2 Thereto Relating to the Establishment of the Nasdaq Order Display Facility and Modifications of the Nasdaq Trading Platform View Received Comments Release No. 4-646 , 34-43863 , Rel. Nos. 34-43514 , 34-43138 , 34-42573 , 34-42249 Federal Register version (64 FR 68125)
34-42160
Nov. 19, 1999
SR-NASD-98-74
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Amendments to NASD Rule 3110(f) Governing Use of Predispute Arbitration Agreements With Customers View Received Comments Rel. No. 34-50713 Federal Register version (64 FR 66681)
34-42003
Oct. 13, 1999
SR-NASD-99-57
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 by National Association of Securities Dealers, Inc. Relating to the Extension of Certain Nasdaq Services and Facilities Until 6:30 p.m. Eastern Time View Received Comments Federal Register version (64 FR 56554)
34-42004
Oct. 13, 1999
SR-CHX-99-16
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rules Change and Amendment Nos. 1 and 2 by the Chicago Stock Exchange Relating to the Implementation of an Extended Hours Trading Session Federal Register version (64 FR 56548)
34-41981
Oct. 6, 1999
SR-Amex-99-38
Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC Amending the Exchange's Audit Committee Requirements View Received Comments Rel. No. 34-42232 Federal Register version (64 FR 55505)
34-41982
Oct. 6, 1999
SR-NASD-99-48
Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Amending Nasdaq's Audit Committee Requirements View Received Comments Rel. No. 34-42231 Federal Register version (64 FR 55510)
34-41980
Oct. 6, 1999
SR-NYSE-99-39
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Amending Audit Committee Requirements of Listed Companies View Received Comments correction , Release No. 34-42233 Federal Register version (64 FR 55514)
34-41799
Aug. 27, 1999
SR-DTC-99-20
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Implementing a Freeze on New Participant Accounts and a Contingency Plan for Withdrawal by Transfer Transactions Federal Register version (64 FR 48690)
34-41770
Aug. 20, 1999
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding Year 2000 Policies
34-41768
Aug. 19, 1999
SR-NSCC-99-11
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding Year 2000 Policies Federal Register version (64 FR 46742)
34-41593
July 1, 1999
SR-AMEX-99-20
Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC Relating to the Listing and Trading of Trust Issued Receipts Rel. No. 34-41892 Federal Register version (64 FR 42174)
34-41549
June 23, 1999
SR-NYSE-99-21
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Relating to the Reimbursement of Member Organizations for Costs Incurred in the Transmission of Proxy and Other Shareholder Communication Material View Received Comments Federal Register version (64 FR 35229)
34-41397
May 13, 1999
SR-NYSE-97-18
Notice of Filing of a Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Specialists' Entry of Bids and Offers in Electronic Communications Networks and Other Market Centers Federal Register version (64 FR 27610)
34-41390
May 12, 1999
SR-NASD-99-20
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Firm Quotation Requirements View Received Comments Federal Register version (64 FR 27016)
34-41343
April 28, 1999
SR-NASD-99-16
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. and Amendment No. 1 Thereto Relating to Agency Quotations and Access Fees View Received Comments Federal Register version (64 FR 24430)
34-41302
April 16, 1999
SR-NASD-99-07
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Creating a Discovery Guide for Use in NASD Arbitrations View Received Comments Rel. No. 34-41833 Federal Register version (64 FR 69821)
34-41296
April 15, 1999
SR-NASD-98-17
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Modify Its Small Order Execution System and SelectNet Service; Reopening of Comment Period on Nasdaq's Limit Order Book Proposal (SR- NASD-98-17) View Received Comments Rel. No. 34-39718 , Rel. No. 34-39718 Federal Register version (64 FR 19844)
34-41243
April 1, 1999
SR-NASD-99-09
Notice of Extension of the Comment Period for the Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Establishment of an Agency Quotation in Nasdaq View Received Comments Rel. No. 34-41243 Federal Register version (64 FR 17428)
34-41153
March 10, 1999
SR-GSCC-99-02
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding Year 2000 Testing View Received Comments Federal Register version (64 FR 13242)
34-41128
March 2, 1999
SR-NASD-99-09
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Establishment of an Agency Quotation in Nasdaq View Received Comments Rel. No. 34-41243 Federal Register version (64 FR 12198)
34-41032
Feb. 9, 1999
SR-DTC-99-01
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Allowing DTC to Charge a Low Volume Tender Offer Processing Fee Federal Register version (64 FR 7931)
34-40889
Jan. 6, 1999
SR-MBSCC-98-04
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding Year 2000 Testing Federal Register version (64 FR 2691)
34-40847
Dec. 28, 1998
SR-NYSE-98-32
Notice of Extension of the Comment Period for the Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Shareholder Approval or Stock Option Plans Rel. No. 34-41479 , Rel. No. 34-40679 Federal Register version (64 FR 561)
34-40826
Dec. 22, 1998
SR-NASD-98-80
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Relating to the Issuance of Temporary Cease and Desist Orders Federal Register version (63 FR 71984)
34-40745
Dec. 3, 1998
SR-NASD-09-75
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. Requiring Certain NASD Member Firms To Participate in the Integrated, Industry- Wide, Year 2000 Tests Federal Register version (63 FR 68324)
34-40696
Nov. 20, 1998
SR-DTC-98-18
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding Year 2000 Validation Testing Federal Register version (63 FR 65829)
34-40688
Nov. 18, 1998
SR-NYSE-97-31
Notice of Filing of Amendment No. 2 to Proposed Rule Change by the New York Stock Exchange, Inc. To Amend Its Rule 500 Relating to Voluntary Delistings by Listed Companies Rel. No. 34-39394 Federal Register version (63 FR 65626)
34-40679
Nov. 13, 1998
SR-NYSE-98-32
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Shareholder Approval of Stock Option Plans Rel. No. 34-41479 , Rel. No. 34-40847 Federal Register version (63 FR 64304)
34-40627
Nov. 2, 1998
SR-NASD-97-89
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Bond Mutual Fund Volatility Ratings File Nos.: Federal Register version (63 FR 60431)
34-40597
Oct. 23, 1998
SR-NYSE-98-37
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the New York Stock Exchange, Inc., Relating to the Trading of the Ordinary Shares of DaimlerChrysler AG Federal Register version (63 FR 58435)
34-40592
Oct. 22, 1998
SR-NASD-98-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Central Registration Depository Fees
34-40511
Sept. 30, 1998
SR-NASD-97-61
Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 by the National Association of Securities Dealers, Inc., Relating to the Application of NASD's Mark-up Policy to Transactions In Government And Other Debt Securities View Received Comments Federal Register version (63 FR 54169)
34-40485
Sept. 25, 1998
SR-NASD-98-26
Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 to a Proposed Rule Change by the National Association of Securities Dealers, Inc. to Institute, on a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities View Received Comments 34-40140 , 34-39936 , 34-39819 Federal Register version (63 FR 52780)
34-40479
Sept. 24, 1998
SR-NYSE-98-28
Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Arbitration Rules Federal Register version (63 FR 52782)
34-40443
Sept. 16, 1998
SR-NASD-98-67
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC Rel. No. 34-40622 Federal Register version (63 FR 51108)
34-40426
Sept. 10, 1998
SR-Amex-98-32
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange, Inc. Relating to Changes to the Combination of the American Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Rel. No. 34-40622 Federal Register version (63 FR 49766)
34-40354
Aug. 24, 1998
SR-NASD-98-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Relating to Public and Non-member Access to Nasdaq's SelectNet and SOES Systems through a Member Firm's Own System Federal Register version (63 FR 46264)
34-40345
Aug. 19, 1998
SR-Amex-98-19
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 to the Proposed Rule Change by the American Stock Exchange, Inc. Relating to Solicitation of Options Transactions Federal Register version (63 FR 45541)
34-40339
Aug. 19, 1998
SR-NASD-98-56
Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendment to Composition of NASD Board To Include Members of New Amex LLC and for Other Purposes Rel. No. 34-40622 , Rel. No. 34-40615 Federal Register version (63 FR 45547)
34-40146
June 30, 1998
SR-NYSE-98-10
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc., and Amendment No. 1 Thereto, To Amend Exchange Rule 115 Regarding Disclosure of Specialists' Orders Federal Register version (63 FR 36985)
34-40139
June 26, 1998
SR-NASD-97-26
Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 Relating to an Extension of the Pilot for the NASD's Rule Permitting Market Makers To Display Their Actual Quotation Size Rel. No. 34-39760 Federal Register version (63 FR 36466)
34-40140
June 26, 1998
SR-NASD-98-26
Notice of Filing and Order Granting Accelerated Partial Approval to Amendment No. 4 to Proposed Rule Change by the National Association of Securities Dealers, Inc. to Institute, on a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities View Received Comments Rel. Nos. 34-40485 , 34-39936 , 34-39819 Federal Register version (63 FR 36464)
34-40005
May 19, 1998
SR-NASD-98-18
Notice of Extension of Comment Period for Proposal Relating to Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5 Rel. No. 34-39892 Federal Register version (63 FR 30816)
34-39964
May 6, 1998
SR-Phlx-98-09
Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. To Revise Exchange Rule 1101A Relating To Index Options Strike Price Intervals Federal Register version (63 FR 26667)
34-39936
April 30, 1998
SR-NASD-98-26
Notice of Filing and Order Granting Accelerated Partial Approval to Amendment No. 3 to Proposed Rule Changes by the National Association of Securities Dealers, Inc. to Institute, on a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities View Received Comments Rel. Nos. 34-40485 , 34-40140 , 34-39819 Federal Register version (63 FR 25253)
34-39892
April 21, 1998
SR-NASD-98-18
Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5 Rel. No. 34-40005 Federal Register version (63 FR 23321)
34-39831
April 6, 1998
SR-NASD-98-20
Notice of Filing of Proposed Rule Change Relating to Permitting Qualified Vendors to Provide Confirmation and Affirmation Services to Institutional Customers Federal Register version (63 FR 18057)
34-39830
April 6, 1998
SR-NYSE-98-07
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc., Consisting of Amendments to Its Rule Regarding COD Orders Federal Register version (63 FR 18060)
34-39833
April 6, 1998
SR-MSRB-98-06
Notice of Filing of Proposed Rule Change Relating to Rule G- 15(d)(ii) Concerning Automated Confirmation/Acknowledgment of Customer Transactions Federal Register version (63 FR 18055)
34-39819
March 30, 1998
SR-NASD-98-26
Notice of Filing and Order Granting Accelerated Partial Approval to Proposed Rule Change by the National Association of Securities Dealers, Inc. To Implement, on a Pilot Basis, New Primary Nasdaq Market Maker Standards for all Nasdaq National Market Securities and To Extend the Short Sale Rule Pilot View Received Comments Rel. Nos. 34-40485 , 34-40140 , 34-39936 Federal Register version (63 FR 16841)
34-39794
March 25, 1998
SR-NASD-98-17
Notice of Extension of the Comment Period for the Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to an Integrated Order Delivery and Execution System View Received Comments Rel. No.s 34-41296 , Rel. No. 34-39718 Federal Register version (63 FR 15471)
34-39799
March 25, 1998
SR-NASD-97-26
Notice of Filing and Order Granting Accelerated Approval to Amendment No. 4 Relating to an Extension of the Pilot for the NASD's Rule Permitting Market Makers To Display Their Actual Quotation Size Rel. No. 34-40139 Federal Register version (63 FR 15467)
34-39774
March 19, 1998
SR-NYSE-98-05
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc., Relating to the Reimbursement of Member Organizations for Costs Incurred in the Transmission of Proxy and Other Shareholder Communication Material Federal Register version (63 FR 14745)
34-39760
March 16, 1998
SR-NASD-98-21
Notice of Proposed Rule Change by the National Association of Securities Dealer, Inc., Relating to an Expansion of the NASD's Rule Permitting Market Makers To Display Their Actual Quotation Size View Received Comments Rel. No. 34-40211 Federal Register version (63 FR 13894)
34-39718
March 4, 1998
SR-NASD-98-17
Notice of Filing of Amendment No. 1 to a Proposed Rule Change by National Association of Securities Dealers, Inc., Relating to an Integrated Order Delivery and Execution System View Received Comments Rel. No.s 34-41296 , 34-39794 Federal Register version (63 FR 12124)
34-39672
Feb. 17, 1998
SR-NYSE-98-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc., Relating to the Reimbursement of Member Organizations for Costs Incurred in the Transmission of Proxy and Other Shareholder Communication Material Federal Register version (63 FR 9275)
34-39421
Dec. 10, 1997
SR-NASD-97-77
Self-Regulatory Commission Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Arbitration of Employment Discrimination Claims Federal Register version (62 FR 66164)
34-39394
Dec. 3, 1997
SR-NYSE-97-31
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. To Amend Its Rule 500 Relating to Voluntary Delistings by Listed Companies Rel. No. 34-40688 Federal Register version (62 FR 65116)
34-39371
Nov. 26, 1997
SR-NASD-97-47
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Punitive Damages in Arbitration Federal Register version (62 FR 64428)
34-39110
Sept. 22, 1997
SR-NSCC-97-07
Notice of a Proposed Rule Change Relating to Changes in Membership Standards Comments Due: Federal Register version (62 FR 50978)
34-38545
April 24, 1997
SR-NASD-97-28
Notice of Filing of a Proposed Rule Change by the National Association of Securities Dealers, Inc. ("NASD') to Proposed Changes in the By-Laws of the NASD, NASD Regulation, Inc., The Nasdaq Stock Market, Inc., the Plan of Allocation and Delegation of Functions by the NASD to Subsidiaries, Membership Application Procedures, Disciplinary Proceedings, Other Proceedings, and Other Conforming Changes Federal Register version (62 FR 25226)
34-37809
Oct. 10, 1996
SR-NYSE-96-29
Notice of Filing of Proposed Rule Change Relating to Stock Distributions Federal Register version (61 FR 54476)
34-37800
Oct. 9, 1996
SR-DTC-96-15
Notice of Filing of an Amendment to a Proposed Rule Change Relating to the Procedures To Establish a Direct Registration System Rel. No. 34-37778 Federal Register version (61 FR 54473)
34-37778
Oct. 3, 1996
SR-DTC-96-15
Notice of Filing of Proposed Rule Change Relating to the Procedures to Establish a Direct Registration System Rel. No. 34-37800
34-36980
March 15, 1996
SR-NASD-95-63
Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Regulating the Conduct of Broker/Dealers Operating on the Premises of a Financial Institution Federal Register version (61 FR 11913)
34-36720
Jan. 16, 1996
SR-NASD-95-42
Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to NAqcess System and Accompanying Rules of Fair Practice Comments Due: Federal Register version (61 FR 1655)
34-36548
Dec. 1, 1995
SR-NASD-95-42
Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to NAqcess System and Accompanying Rules of Fair Practice Federal Register version (60 FR 63092)
