National Securities Exchanges
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Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
---|---|---|---|---|
34-49605 | Apr 22, 2004 | SR-Phlx-2004-22 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Susquehanna Indices, LLP Disclaimer See Also - Rel. No. 34-49807 |
34-49587 | Apr 21, 2004 | SR-Phlx-2003-54 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing of Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. To Amend Rules Relating to the Minimum Net Capital for Specialists in Index Fund Shares |
34-49523 | Apr 2, 2004 | SR-Phlx-2003-71 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Order Granting Approval to Proposed Rule Change Relating to Participation Guarantees for Floor Brokers Representing Crossing and Facilitation Orders in Index Options |
34-49514 | Apr 1, 2004 | SR-Phlx-2004-03 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to the Rescission of Exchange Rule 713 |
34-49467 | Mar 24, 2004 | SR-Phlx-2004-17 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to Equity and Index Option Fees |
34-49459 | Mar 23, 2004 | SR-Phlx-2004-21 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to the Extension of a Pilot Program Regarding the Book Sweep Function of the Exchange's Automated Options Market System |
34-49457 | Mar 23, 2004 | SR-Phlx-2004-20 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to an Extension of Interpretation of PACE Guarantees in Securities Subject to ITS Plan Exemption |
34-49456 | Mar 22, 2004 | SR-Phlx-2004-19 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to the Execution of Market and Marketable Limit Orders in Certain Trust Shares and Trust Issued Receipts During a Locked Market |
34-49435 | Mar 17, 2004 | SR-Phlx-2003-68 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Philadelphia Stock Exchange, Inc. Relating to Options Transactions Resulting From Obvious Errors See Also - Rel. No. 34-49785 |
34-49098 | Jan 16, 2004 | SR-Phlx-2003-73 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Order Granting Accelerated Approval of Amendment No. 3 Thereto Relating to the Demutualization of the Philadelphia Stock Exchange, Inc. View Received Comments See Also - Rel. No. 34-48847 |