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)
34-46859
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 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. 34-48108 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. 34-48108 , 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)
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 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)
