34-48745
Nov. 4, 2003
SR-NYSE-2002-33
Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to SR-NYSE-2002-33, Amendment Nos. 2, 3, 4 and 5 to SR-NASD-2002-141, Amendment Nos. 2 and 3 to SR-NASD-2002-80, Amendment Nos. 1, 2, and 3 to SR-NASD-2002-138, and Amendment No. 2 to SR-NASD-2002-139, Relating to Corporate Governance
File Nos.:
SR-NASD-2002-141, SR-NYSE-2002-33, SR-NASD-2002-80, SR-NASD-2002-138, SR-NASD-2002-139, SR-NASD-2002-141
View Received Comments
See Also -
Rel. No. 34-47672 , Comments received for SR-NYSE-2002-33 , are available for this notice. Comments received for SR-NASD-2002-77 , are available for this notice. Comments received for SR-NASD-2002-80 , are available for this notice. Comments received for SR-NASD-2002-138 , are available for this notice. Comments received for SR-NASD-2002-139 , are available for this notice. Comments received for SR-NASD-2002-141
Federal Register version (68 FR 64154)
34-48720
Oct. 30, 2003
SR-NYSE-2003-23
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Repealing Exchange Rule 500 and Amending Section 806 of the Listed Company Manual
View Received Comments
See Also -
Rel. No. 34-48435
Federal Register version (68 FR 62645)
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)