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)
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
Availability 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 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 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-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)
34-47021
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)
