National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-50416 | Sep 21, 2004 | SR-Phlx-2004-45 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 703 To Adopt a Tiered Late Filing Fee Schedule for Financial Reports |
| 34-50401 | Sep 16, 2004 | SR-Phlx-2004-39 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to Retroactive Application of Permit Holder Fees and Billing Policies See Also - Rel. No. 34-50129 |
| 34-50333 | Sep 9, 2004 | SR-Phlx-2004-48 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to SIG Indices, LLLP Disclaimer |
| 34-50342 | Sep 9, 2004 | SR-Phlx-2004-16 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, by the Philadelphia Stock Exchange, Inc. Relating to Exchange Rules 1083(g) and (h), To Modify the Definitions of "Firm Customer Quote Size" and "Firm Principal Quote Size" See Also - Rel. No. 34-50562 |
| 34-50332 | Sep 9, 2004 | SR-Phlx-2004-49 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to Fees Applicable to the Exchange's Electronic Trading Platform, Phlx XL See Also - Exhibits 2 and 3, Exhibit 4 |
| 34-50336 | Sep 9, 2004 | SR-Phlx-2004-54 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Continuing Education Requirements for Registered Persons |
| 34-50276 | Aug 26, 2004 | SR-PHLX-2004-55 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to NASDAQ-100 Index Tracking StockSM |
| 34-50229 | Aug 23, 2004 | SR-Phlx-2004-42 | 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 Its Specialist Unit Fixed Monthly Fee |
| 34-50174 | Aug 10, 2004 | SR-PHLX-2004-52 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. To Amend Its NASDAQ-100 Index Tracking StockSM |
| 34-50159 | Aug 5, 2004 | SR-Phlx-2004-47 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Legal Fees Incurred by the Exchange View Received Comments See Also - 2004 Comments received electronically are available |