National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-47577 | Mar 26, 2003 | SR-PCX-2003-03 | NYSE Arca (NYSEARCA) | 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 |
| 34-47186 | Jan 14, 2003 | SR-BSE-2002-15 | Boston Stock Exchange (BSE) | 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 See Also - Rel. No. 34-49068, Rel. No. 34-48355 |
| 34-47110 | Dec 31, 2002 | SR-NYSE-2002-49 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | 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 See Also - Rel. No. 34-48252, Rel. No. 34-47912 |
| 34-47091 | Dec 23, 2002 | SR-NYSE-2002-55 | New York Stock Exchange LLC (NYSE) | 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 See Also - Rel. No. 34-47614, Rel. No. 34-47614 |
| 34-47021 | Dec 18, 2002 | SR-NASD-2002-162, SR-NYSE-2002-36 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | 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 View Received Comments See Also - Rel. No. 34-49882, 34-46585A, 34-46858, Rel. No. 34-49883, Rel. Nos. 34-48460, 34-48298, 34-46859 |
| 34-46858A | Nov 27, 2002 | SR-NYSE-2002-36 | New York Stock Exchange LLC (NYSE) | 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 See Also - 34-46858, Rel. No. 34-49882, Rel. Nos. 34-47021 |
| 34-46858 | Nov 20, 2002 | SR-NYSE-2002-36 | New York Stock Exchange LLC (NYSE) | 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 See Also - Rel. No. 34-49882, Rel. Nos. 34-47021, 34-46585A, 34-46858 |
| 34-46803 | Nov 8, 2002 | SR-PCX-2002-36 | NYSE Arca (NYSEARCA) | 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 See Also - and comment letters |
| 34-46782 | Nov 7, 2002 | SR-NYSE-2002-53 | New York Stock Exchange LLC (NYSE) | 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 |
| 34-46620 | Oct 8, 2002 | SR-NYSE-2002-46 | New York Stock Exchange LLC (NYSE) | 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 See Also - Rel. No. 34-, Rel. Nos. 34-46620A, 34-46620 |