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NMS Plans Archive: 2004
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| Release No. |
Date |
Details |
S7-24-89 |
|
34-50855 |
Dec. 14, 2004 |
Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.; Solicitation of Comments and Order Granting Summary Effectiveness to Request to Extend Operation and to Extend Certain Exemptive Relief
Comments due: January 11, 2005
|
SR-OPRA-2004-05 |
|
34-50789 |
Dec. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan to Revise Two Fees Charged by OPRA to Professional Subscribers to OPRA's Basic Service
Comments due: December 27, 2004
|
SR-OPRA-2004-06 |
|
34-50785 |
Dec. 2, 2004 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Guideline 2 of the Capacity Guidelines Adopted in Accordance with the Plan
Comments due: December 27, 2004
|
4-429 | |
34-50561 |
Oct. 19, 2004 |
Order Approving Joint Amendment No. 13 to the Options Intermarket Linkage Plan Regarding Natural Size
|
4-429 |
|
34-50211 |
Aug. 18, 2004 |
Notice of Filing of Amendment No. 13 To The Options Intermarket Linkage Plan
Comments due: September 14, 2004
Comments received electronically
are available
for this notice.
|
SR-OPRA-2004-02 |
|
34-50147 |
Aug. 4, 2004 |
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information and Amendment No. 1 Thereto to Eliminate from the Plan References to the Fee Exemption Pilot Currently Provided for in the Plan |
SR-OPRA-2004-04 |
|
34-50110 |
Jul. 28, 2004 |
Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan Regarding the Temporary Waiver of Charges by OPRA Relating to the Dynamic Throttle
Comments due: August 24, 2004
|
SR-OPRA-2004-03 |
|
34-50067 |
Jul. 22, 2004 |
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Revise Guideline 1 of the Capacity Guidelines to Confirm that it Is within the Authority of the Independent System Capacity Advisor to Make Determinations Concerning the Establishment, Modification or Removal of Output Throttles from the OPRA System
|
SR-OPRA-2004-02 |
|
34-49958 |
Jul. 1, 2004 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information and Amendment No. 1 Thereto to Eliminate from the Plan References to the Fee Exemption Pilot Currently Provided for in the Plan
Comments due: July 23, 2004
|
SR-OPRA-2004-03 |
|
34-49871 |
Jun. 16, 2004 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Revise Guideline 1 of the Capacity Guidelines to Confirm That it Is Within the Authority of the Independent System Capacity Advisor to Make Determinations Concerning the Establishment, Modification or Removal of Output Throttles from the OPRA System
Comments due: July 8, 2004
|
SR-OPRA-2004-01 |
|
34-49382 |
Mar. 9, 2004 |
Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan Regarding Device-Based and Enterprise Rate Professional Subscriber Fees Charged by OPRA in respect of its Basic Service and its FCO Service
Comments due: 21 days after publication in the Federal Register
Comments received
are available
for this notice.
|
| File No. 4-429: Plan for the Purpose of Creating and Operating an Intermarket Option Linkage |
| Release No. |
Date |
Details |
|
34-50561 |
Oct. 19, 2004 |
Order Approving Joint Amendment No. 13 to the Options Intermarket Linkage Plan Regarding Natural Size
|
|
34-50211 |
Aug. 18, 2004 |
Notice of Filing of Amendment No. 13 To The Options Intermarket Linkage Plan
Comments due: September 14, 2004
Comments received electronically
are available
for this notice.
|
|
34-49969 |
Jul. 2, 2004 |
Order Approving Joint Amendment No. 11 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Processing of Satisfaction Orders
File No.: 4-429
|
|
34-49885 |
Jun. 17, 2004 |
Order Approving Joint Amendment No. 10 to the Plan for the Purpose of Creating and Operating an Intermarket Options Linkage Relating to the Handling of Principal Acting as Agent Orders
File No.: 4-429
|
|
34-49863 |
Jun. 15, 2004 |
Order Approving Joint Amendment No. 12 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Limitation in Liability for Filling Satisfaction Orders Sent Through the Linkage at the End of the Trading Day
File No.: 4-429
|
|
34-49692 |
May 12, 2004 |
Notice of Filing of Joint Amendment No. 12 to the Options Intermarket Linkage Plan Relating to the Limitation in Liability for Filling Satisfaction Orders Sent Through the Linkage at the End of the Trading Day
Comments due: June 9, 2004
|
|
34-49691 |
May 12, 2004 |
Notice of Filing of Joint Amendment No. 11 to the Options Intermarket Linkage Plan Relating to the Handling of Satisfaction Orders
Comments due: June 9, 2004
|
|
34-49689 |
May 12, 2004 |
Notice of Filing of Amendment No. 10 to the Plan of the Purpose of Creating and Operating an Intermarket Options Linkage Regarding the Handling of Principal Acting as Agent Orders
Comments due: June 9, 2004
|
| File No. S7-24-89: Nasdaq UTP Plan |
| Release No. |
Date |
Details |
|
34-50855 |
Dec. 14, 2004 |
Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.; Solicitation of Comments and Order Granting Summary Effectiveness to Request to Extend Operation and to Extend Certain Exemptive Relief
Comments due: January 11, 2005
|
|
34-50375 |
Sep. 14, 2004 |
Order Granting Approval of Amendment No. 13C to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis; Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.
File No.: S7-24-89 |
|
34-49669A |
May 28, 2004 |
Notice of Filing and Summary Effectiveness of Amendment No.13C to the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis; Submitted by the National Association of Securities Dealers, Inc., the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., the Pacific Exchange, Inc., the American Stock Exchange LLC, and the Philadelphia Stock Exchange, Inc.
File No.: S7-24-89
See Also:
34-49669
|
|
34-49711 |
May 14, 2004 |
Order Granting Approval of Amendment No. 13A of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the National Association of Securities Dealers, Inc., the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., the Pacific Exchange, Inc., the American Stock Exchange LLC, and the Philadelphia Stock Exchange, Inc.
File No.: S7-24-89 |
|
34-49669 |
May 7, 2004 |
Notice of Filing and Summary Effectiveness of Amendment No.13C to the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis; Submitted by the National Association of Securities Dealers, Inc., the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., the Pacific Exchange, Inc., the American Stock Exchange LLC, and the Philadelphia Stock Exchange, Inc.
File No.: S7-24-89
See Also:
34-49669A
Comments due: June 8, 2004
|
| Options Price Reporting Authority (OPRA) |
| Release No. |
Date |
Details |
SR-OPRA-2004-06 |
|
34-50785 |
Dec. 2, 2004 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Guideline 2 of the Capacity Guidelines Adopted in Accordance with the Plan
Comments due: December 27, 2004
|
SR-OPRA-2004-05 |
|
34-50789 |
Dec. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan to Revise Two Fees Charged by OPRA to Professional Subscribers to OPRA's Basic Service
Comments due: December 27, 2004
|
|
34-50561 |
Oct. 19, 2004 |
Order Approving Joint Amendment No. 13 to the Options Intermarket Linkage Plan Regarding Natural Size
|
SR-OPRA-2004-04 |
|
34-50110 |
Jul. 28, 2004 |
Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan Regarding the Temporary Waiver of Charges by OPRA Relating to the Dynamic Throttle
Comments due: August 24, 2004
|
SR-OPRA-2004-03 |
|
34-50067 |
Jul. 22, 2004 |
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Revise Guideline 1 of the Capacity Guidelines to Confirm that it Is within the Authority of the Independent System Capacity Advisor to Make Determinations Concerning the Establishment, Modification or Removal of Output Throttles from the OPRA System
|
|
34-49871 |
Jun. 16, 2004 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Revise Guideline 1 of the Capacity Guidelines to Confirm That it Is Within the Authority of the Independent System Capacity Advisor to Make Determinations Concerning the Establishment, Modification or Removal of Output Throttles from the OPRA System
Comments due: July 8, 2004
|
SR-OPRA-2004-02 |
|
34-50147 |
Aug. 4, 2004 |
Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information and Amendment No. 1 Thereto to Eliminate from the Plan References to the Fee Exemption Pilot Currently Provided for in the Plan |
|
34-49958 |
Jul. 1, 2004 |
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information and Amendment No. 1 Thereto to Eliminate from the Plan References to the Fee Exemption Pilot Currently Provided for in the Plan
Comments due: July 23, 2004
|
SR-OPRA-2004-01 |
|
34-49382 |
Mar. 9, 2004 |
Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan Regarding Device-Based and Enterprise Rate Professional Subscriber Fees Charged by OPRA in respect of its Basic Service and its FCO Service
Comments due: 21 days after publication in the Federal Register
Comments received
are available
for this notice.
|
http://www.sec.gov/rules/sro/nms/nmsarchive/nms2004.shtml
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