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Release Number	SEC Issue Date	File Number	Details
34-48701	Oct. 24, 2003	SR-NASD-99-60	Order Granting Accelerated Approval of Amendment No. 5 Thereto by the National Association of Securities Dealers, Inc. Relating to Restrictions on the Purchases and Sales of Initial Public Offerings of Equity Securities View Received Comments See Also - Rel. No. 34-42325, 34-43267 Federal Register version (68 FR 62126)
34-48648	Oct. 16, 2003	SR-Phlx-2003-37	Order Granting Approval 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 See Also - Rel. No. 34-47977 Federal Register version (68 FR 60762)
34-48527	Sept. 23, 2003	SR-NASD-2003-85	Order Granting Accelerated Approval to Amendment Nos. 3, 4, 5, and 7 Thereto Relating to a Post-Trade Anonymity Feature in SuperMontage View Received Comments See Also - Rel. No. 34-48088 Federal Register version (68 FR 56361)
34-48442	Sept. 4, 2003	SR-NASD-2003-98	Order Approving Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Clarify Reporting Requirements for Transactions Conducted Through Electronic Communications Networks View Received Comments See Also - Rel. No. 34-48239 Federal Register version (68 FR 53767)
34-48447	Sept. 4, 2003	SR-CHX-2003-15	Order Granting Approval to Proposed Rule Change to Amend the CHX Membership Dues and Fees Schedule to Increase the Specialist Tape Credits for Certain Trades in Tape A and Tape B Securities View Received Comments See Also - Rel. No. 34-48076 Federal Register version (68 FR 53625)
34-48434	Sept. 3, 2003	SR-NASD-2003-81	Order Granting Approval 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 See Also - Rel. No. 34-47993 Federal Register version (68 FR 53409)
34-48242	Aug. 29, 2003	SR-NASD-2003-92	Order Granting Approval To a Proposed Rule Change To Adopt NASD Rule 2370 To Govern Certain Lending Arrangements Between Registered Persons and Customers View Received Comments See Also - Rel. No. 34-48093 Federal Register version (68 FR 52806)
34-48340	Aug. 14, 2003	SR-MSRB-2003-06	Order Granting Approval of a Proposed Rule Change Filing by the Municipal Securities Rulemaking Board to Amend Rule A-14, on Annual Fees See Also - Rel. No. 34-48140 Federal Register version (68 FR 50204)
34-48305	Aug. 8, 2003	SR-NASD-2003-99	Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend Rule 6260 Regarding New Issue Notification Procedures for TRACE-Eligible Securities Federal Register version (68 FR 48656)
34-48306	Aug. 8, 2003	SR-CBOE-2003-24	Order Approving a 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 See Also - Rel. No. 34-48115 Federal Register version (68 FR 48974)
34-48252	July 29, 2003	SR-NYSE-2002-49	Order Granting Accelerated Approval of Amendment No. 3 to the Proposed Rule Change by the New York Stock Exchange, Inc. and Amendment No. 3 to the Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest View Received Comments See Also - Rel. No. 34-47912, Rel. No. 34-47110, NASD Amendment No. 3, NASD Response to Comments Federal Register version (68 FR 45875)
34-48234	July 28, 2003	SR-NASD-2003-93	Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc., To Increase the Trading Activity Fee Federal Register version (68 FR 45870)
34-48161A	July 16, 2003	SR-NASD-2003-57	Order Granting Accelerated Approval To Amendment No. 3 to the Proposed Rule Change 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 See Also - 34-48161, Rel. No. 34-47936 Federal Register version (68 FR 43411)
34-48172	July 14, 2003	SR-Amex-2003-34	Order Granting Approval of Proposed Rule Change by the American Stock Exchange LLC, Relating to Indications, Openings and Re-Openings Federal Register version (68 FR 42792)
34-48169	July 11, 2003	SR-MSRB-2003-04	Order Granting Approval of a Proposed Rule Change by the Municipal Securities Rulemaking Board To Require Dealers To Establish Anti-Money Laundering Compliance Programs View Received Comments Federal Register version (68 FR 42793)
34-48161	July 10, 2003	SR-NASD-2003-57	Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change 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 See Also - Rel. Nos. 34-48161A, Rel. No. 34-47936 Federal Register version (68 FR 42444)
34-48108	June 30, 2003	SR-NYSE-2002-46	Order Granting Accelerated Approval to NYSE Amendments No. 1 and 2 and Nasdaq Amendments No. 2 and 3 Thereto Relating to Equity Compensation Plans File Nos.: SR-NASD-2002-140, SR-NYSE-2002-46 View Received Comments See Also - Rel. Nos. 34-46620A, 34-46620, Rel. No. 34-46649 Federal Register version (68 FR 39995)
34-48108	June 30, 2003	SR-NASD-2002-140	Order Granting Accelerated Approval to NYSE Amendments No. 1 and 2 and Nasdaq Amendments No. 2 and 3 Thereto Relating to Equity Compensation Plans File Nos.: SR-NASD-2002-140, SR-NYSE-2002-46 View Received Comments See Also - Rel. Nos. 34-46620A, 34-46620, Rel. No. 34-46649 Federal Register version (68 FR 39995)
34-48056	June 18, 2003	SR-NASD-2003-78	Order Granting Accelerated Approval To Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend Rule 6230 To Reduce TRACE Reporting Period View Received Comments See Also - Rel. No. 34-47856 Federal Register version (68 FR 37886)
34-47978	June 4, 2003	SR-DTC-2003-02	Order Granting Approval of a Proposed Rule Change Concerning Requests for Withdrawal of Certificates by Issuers View Received Comments Federal Register version (68 FR 35037)
34-47959	May 30, 2003	SR-CBOE-2002-05	Order Granting Accelerated Approval to Amendments No. 5 and 6 Thereto by the Chicago Board Options Exchange, Incorporated Relating to the Introduction of the CBOE Hybrid System View Received Comments See Also - Rel. No. 34-47676 Federal Register version (68 FR 34441)
34-47888	May 19, 2003	SR-MSRB-2003-02	Order Granting Approval of a Proposed Rule Change by the Municipal Securities Rulemaking Board Relating to Rule G-14, on Reports of Sales or Purchases View Received Comments See Also - Rel. No. 34-47650 Federal Register version (68 FR 28865)
34-47838	May 13, 2003	SR-PCX-2002-36	Order Granting Accelerated Approval to Amendments No. 2 and 3 to the Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Exchange's New Trading Platform for Options, PCX Plus View Received Comments See Also - Rel. No. 34-46803, and comment letters Federal Register version (68 FR 27129)
34-47689	April 17, 2003	SR-NYSE-99-51	Order Tracking Federal Register version (68 FR 20200)
34-47614	April 2, 2003	SR-NYSE-2002-55	Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the New York Stock Exchange, Inc. Regarding the Dissemination of Liquidity Quotations View Received Comments See Also - Rel. No. 34-47091, and Order Granting Interim Stay Federal Register version (68 FR 17140)
34-47592	March 28, 2003	SR-NASD-2003-03	Order Granting Approval 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 See Also - Rel. No. 34-47209 Federal Register version (68 FR 16332)
34-46858A	Nov. 27, 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 See Also - 34-46858, Rel. No. 34-49882, Rel. Nos. 34-47021 Federal Register version (67 FR 72261)
34-46429	Aug. 29, 2002	SR-NASD-99-53	Order with respect to the implementation of Nasdaq's Supermontage Facility View Received Comments See Also - Release No. 4-646, 34-43863, Rel. Nos. 34-43514, 34-43138, 34-42573, 34-42249, 34-42166
34-46164	July 3, 2002	SR-EMCC-00-01	Order Approving A Proposed Rule Change Relating to Financial Statements Prepared in Accordance with International Accounting Standards or United Kingdom Generally Accepted Accounting Principles See Also - Notice: Rel. No. 34-43675
34-46159	July 2, 2002	SR-NASD-2002-61	Order of Summary Abrogation File Nos.: SR-NASD-2002-61, SR-NASD-2002-68, SR-CSE-2002-06, SR-PCX-2002-37
34-46001	May 30, 2002	4-429	Order Granting Approval of Joint Amendments Nos. 2 and 3 to the Options Intermarket Linkage Plan Relating to Satisfaction of Trade-Throughs, the Procedures for Handling Multiple Principal Orders, Restrictions on Withdrawal, and an Imp View Received Comments Federal Register version (67 FR 38687)
34-45908	May 10, 2002	SR-NASD-2002-21	Order Granting Accelerated Approval of Amendment No. 2 to the Proposed Rule Change by the National Association of Securities Dealers, Inc. and Amendment No. 1 to the Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest View Received Comments See Also - Rel. No. 34-45679, Rel. No. 34-45526 Federal Register version (67 FR 34968)
34-45803	April 23, 2002	SR-ISE-2002-01	Order Approving Proposed Rule Change and Amendment No. 1 thereto by the International Securities Exchange LLC To Restructure From a Limited Liability Company to a Corporation See Also - Rel. No. 34-45529 Federal Register version (67 FR 21306)
34-45798	April 22, 2002	SR-NYSE-2002-10	Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs File Nos.: SR-NYSE-2002-10, SR-NASD-2002-24 Federal Register version (67 FR 20854)
34-45644	March 25, 2002	SR-NYSE-2001-53	Order Approving Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Amending Its Rules Regarding the Transmission of Proxy and Other Shareholder Communication Material and the Proxy Reimbursement Guidelines Set Forth In Those Rules, and Requesting Permanent Approval of the Amended Proxy Reimbursement Guidelines View Received Comments See Also - Rel. No. 34-45263 Federal Register version (67 FR 15440)
34-45531	March 11, 2002	SR-NASD-2002-05	Order Granting Approval to Proposed Rule Change Relating to Revisions to Form U-4 and Form U-5 Federal Register version (67 FR 11735)
34-45138	Dec. 7, 2001	SR-NYSE-2001-42	Order Approving a Proposed Rule Change by the New York Stock Exchange, Inc., Establishing the Fees for NYSE OpenBookTM View Received Comments Federal Register version (66 FR 66491)
34-44983	Oct. 25, 2001	SR-PCX-00-25	Order Granting Accelerated Approval to Amendment Nos. 4 and 5 Concerning the Establishment of the Archipelago Exchange as the Equities Trading Facility of PCX Equities, Inc. View Received Comments See Also - Rel. No. 34-44233, Rel. No. 34-43608 Federal Register version (66 FR 55225)
34-44846	Sept. 25, 2001	4-208	Order Extending the Deadline for the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the New York Stock Exchange, Inc., the Pacific Exchange, Inc., and the Philadelphia Stock Exchange, Inc. to Submit Rule Filings Concerning the Implementation of Decimal Pricing in Equity Securities and Options Pursuant to Section 11A(a)(3)(B) of the Securities Exchange Act of 1934 Federal Register version (66 FR 49983)
34-44592	July 26, 2001	SR-NYSE-00-17	Order Granting Approval of a Proposed Rule Change Relating to the Physical Format Requirements for Securities Certificates Federal Register version (66 FR 39809)
34-44177	April 12, 2001	4-208	Order Approving Plan Establishing Procedures Under Rule 11Ac1-5 by the American Stock Exchange, Boston Stock Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange, National Association of Securities Dealers, New York Stock Exchange, Pacific Exchange, and Philadelphia Stock Exchange *Comments Due:* 21 days after publication in the Federal Register Federal Register version (66 FR 19814)
34-43863	Jan. 19, 2001	SR-NASD-99-53	Order Approving Proposed Rule Changes and Amendment Nos. 1, 2, 3, 4, 5, 6, 7 and 8 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 9 Relating to the Establishment of the Nasdaq Order Display Facility and Order Collector Facility and Modifications of the Nasdaq Trading Platform ("SuperMontage") View Received Comments See Also - Release No. 4-646, Rel. Nos. 34-43514, 34-43138, 34-42573, 34-42249, 34-42166 Federal Register version (66 FR 8019)
34-43086	July 28, 2000	4-429	Order Approving Options Intermarket Linkage Plan Submitted by the American Stock Exchange LLC, Chicago Board Options Exchange, Inc., and International Securities Exchange LLC View Received Comments Federal Register version (65 FR 48023)
34-43021	July 10, 2000	SR-NASD-99-41	Order Granting Accelerated Approval of Amendment No. 2 Relating to the Opening of Day-Trading Accounts View Received Comments See Also - Rel. No. 34-42452 Federal Register version (65 FR 44082)
34-42758	May 5, 2000	SR-NYSE-99-48	Order Approving Proposed Change To Rescind Exchange Rule 390 File Nos.: SR-NYSE-99-48, 500-1, SR-NASD-99-26 View Received Comments Federal Register version (65 FR 36222)
34-42565	March 22, 2000	SR-CHX-99-24	Order Granting Accelerated Approval of Amendment No. 1 to Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to Price Improvement for Securities that Trade in Minimum Variations of 1/64 Federal Register version (65 FR 16442)
34-42536	March 16, 2000	SR-NASD-99-75	Order Granting Approval to Proposed Rule Change Relating to ECN and ATS Participation in the ITS/CAES System Federal Register version (65 FR 15401)
34-42400	Feb. 7, 2000	SR-NASD-99-23	Order Approving a Proposed Rule Change and Amendment No. 1 to the Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Locked and Crossed Markets That Occur Prior to the Opening of the Market Federal Register version (65 FR 7407)
34-42402	Feb. 7, 2000	SR-NASD-99-45	Order Granting Approval to Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Amendments to the Public Disclosure Program See Also - Rel. No. 34-42240 Federal Register version (65 FR 7582)
34-42233A	Dec. 23, 1999	SR-NYSE-99-39	Order Granting Accelerated Approval of Amendments No. 1 and No. 2 Thereto View Received Comments See Also - Release No. 34-42233, Release No. 34-41980 Federal Register version (64 FR 73596)
34-42232	Dec. 14, 1999	SR-Amex-99-38	Order Granting Accelerated Approval of Amendments No. 1 and No. 2 Thereto View Received Comments See Also - Notice No. 34-41981 Federal Register version (64 FR 71518)
34-42231	Dec. 14, 1999	SR-NASD-99-48	Order Approving Proposed Rule Change Amending Its Audit Committee Requirements and Notice of Filing and Order Granting Accelerated Approval of Amendments No. 1 and No. 2 Thereto View Received Comments See Also - Rel. No. 34-41982 Federal Register version (64 FR 71523)
34-42233	Dec. 14, 1999	SR-NYSE-99-39	Order Granting Accelerated Approval of Amendments No. 1 and No. 2 Thereto View Received Comments See Also - correction, Release No. 34-41980 Federal Register version (64 FR 71529)
34-41892	Sept. 21, 1999	SR-AMEX-99-20	Order Granting Accelerated Approval of Amendment No. 1, 2, 3 and 4 Relating to the Listing and Trading of Trust Issued Receipts See Also - Rel. No. 34-41593 Federal Register version (64 FR 52559)
34-41833	Sept. 2, 1999	SR-NASD-99-07	Order Granting Approval to Proposed Rule Change by the National Association of Securities Dealers, Inc. Creating a Discovery Guide for Use in NASD Arbitrations View Received Comments See Also - Rel. No. 34-41302 Federal Register version (64 FR 49256)
34-41502	June 9, 1999	SR-NYSE-99-13	Order Granting Accelerated Approval of Amendment Nos. 2 and 3 Relating to Original Continued Listing Criteria Federal Register version (64 FR 32588)
34-41479	June 4, 1999	SR-NYSE-98-32	Order Granting Accelerated Approval of Amendment Nos. 1 and 2 Thereto Relating to Shareholder Approval of Stock Option Plans See Also - Rel. No. 34-40847, Rel. No. 34-40679 Federal Register version (64 FR 31667)
34-41041	Feb. 11, 1999	SR-NYSE-98-45	Order Approving Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Amendments to Rule 80A Federal Register version (64 FR 8424)
34-40622	Oct. 30, 1998	SR-NASD-98-67	Order Granting Accelerated Approval to Amendment No. 2 Thereto; Relating to the Combination of the American Stock Exchange, Inc. and the National Association of Securities Dealers, Inc., Including Amendments to the Composition of the NASD Board and Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC File Nos.: SR-Amex-98-32, SR-NASD-98-56, SR-NASD-98-67 See Also - Rel. No. 34-40615, Rel. No. 34-40443, Rel. No. 34-40339, Rel. No. 34-49425 Federal Register version (63 FR 59819)
34-40622	Oct. 30, 1998	SR-Amex-98-32	Order Granting Accelerated Approval to Amendment No. 2 Thereto; Relating to the Combination of the American Stock Exchange, Inc. and the National Association of Securities Dealers, Inc., Including Amendments to the Composition of the NASD Board and Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC File Nos.: SR-Amex-98-32, SR-NASD-98-56, SR-NASD-98-67 See Also - Rel. No. 34-40615, Rel. No. 34-40443, Rel. No. 34-40339, Rel. No. 34-49425 Federal Register version (63 FR 59819)
34-40622	Oct. 30, 1998	SR-NASD-98-56	Order Granting Accelerated Approval to Amendment No. 2 Thereto; Relating to the Combination of the American Stock Exchange, Inc. and the National Association of Securities Dealers, Inc., Including Amendments to the Composition of the NASD Board and Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC File Nos.: SR-Amex-98-32, SR-NASD-98-56, SR-NASD-98-67 See Also - Rel. No. 34-40615, Rel. No. 34-40443, Rel. No. 34-40339, Rel. No. 34-49425 Federal Register version (63 FR 59819)
34-40615	Oct. 28, 1998	SR-NASD-98-56	Order Granting Partial Approval to Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Small Firm Representative on NASD Board Portion of the Proposed Rule Change Relating to Amendment to Composition of NASD Board to Include Members of New Amex LLC and for Other Purposes See Also - Rel. No. 34-40622, Rel. No. 34-40339 Federal Register version (63 FR 59614)
34-40211	July 15, 1998	SR-NASD-98-21	Order Approving a Proposed Rule Change to Permanently Expand the NASD's Rule Permitting Market Makers to Display Their Actual Quotation Size View Received Comments See Also - Rel. No. 34-39760 Federal Register version (63 FR 39322)
34-39832	April 6, 1998	SR-DTC-95-23	Order Approving a Proposed Rule Change Implementing the Matching Feature in the Institutional Delivery System Federal Register version (63 FR 18062)
34-39729	March 6, 1998	SR-NASD-97-56	Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2, 3, 4, 5, and 6 to Proposed Rule Change to Amend Rule 3110 and to Adopt New Rules 6950 Through 6957 Relating to the Creation of an Order Audit Trail System Federal Register version (63 FR 12559)
34-39550	Jan. 14, 1998	SR-NASD-96-51	Order Granting Accelerated Approval to Amendment Nos. 2, 3, and 4 to the Proposed Rule Change Relating to NASD Rule 11890 Regarding Clearly Erroneous Transactions Federal Register version (63 FR 4333)
34-39490	Dec. 24, 1997	SR-NASD-97-50	Order Approving Proposed Rule Change By the NASD To Extend From 15 Seconds To 17 Seconds the Amount of Time a Market Maker Has To Update Its Quote After an Order Execution in SOES Before Being Required To Execute a Subsequent Order
34-39423	Dec. 10, 1997	SR-NASD-97-04	Order Granting Accelerated Approval to Amendment No. 2 Thereto Regarding Excused Market Maker Withdrawals and Reinstatements Federal Register version (62 FR 66160)