NOTICES: AIP Alternative Strategies Funds et al.,
Published: 2003-12-10
Summary of Application: Applicants request an order that would permit
them to enter into and materially amend subadvisory agreements without
shareholder approval and would grant relief from certain disclosure requirements.
Applicants: AIP Alternative Strategies Funds (``AIS'') and Alternative Investment Partners LLC (``Manager'').
Filing Dates:
NOTICES: Agency information collection activities; proposals, submissions, and approvals,
Published: 2003-12-09
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC 20549.
Extension: Rule 11Ac11; SEC File No. 270404; OMB Control No. 32350461.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the Securities and
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2003-12-09
December 2, 2003.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b4 \2\ thereunder, notice is hereby given
that on November 19, 2003, the Chicago Board Options Exchange, Inc.
(``CBOE'' or ``Exchange'') submitted to the Securities and Exchange
Commission (``Commission'') the proposed rule change as
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2003-12-09
December 3, 2003.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on November 7, 2003, the National Association of Securities Dealers,
Inc. (``NASD'' or ``Association''), through its subsidiary, the Nasdaq
Stock Market, Inc. (``Nasdaq''), filed with the
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2003-12-09
December 2, 2003.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b4 \2\ thereunder, notice is hereby given
that on November 24, 2003, the National Association of Securities
Dealers, Inc. (``NASD''), through its subsidiary, The Nasdaq Stock
Market, Inc. (``Nasdaq''), filed with the Securities and
NOTICES: National Stock Exchange,
Published: 2003-12-09
December 3, 2003.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on November 28, 2003, National Stock Exchange (``Exchange'') \3\ filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I and II
NOTICES: Pacific Exchange, Inc.,
Published: 2003-12-08
December 1, 2003.
I. Introduction
On July 14, 2003, the Pacific Exchange, Inc. (``PCX'' or
``Exchange''), through its wholly owned subsidiary, PCX Equities, Inc.
(``PCXE''), filed with the Securities and Exchange Commission
(``Commission''), pursuant to section 19(b)(1) of the Securities [[Page 68441]]
Exchange Act of 1934 (``Act''),\1\ and Rule
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2003-12-08
November 26, 2003.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on November 19, 2003, the Philadelphia Stock Exchange, Inc. (``Phlx''
or ``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule
NOTICES: Exemption applications—; The Vanguard Group, Inc., et al.,
Published: 2003-12-08
Summary of Application: Applicants request an order to amend the
Original VIPERs Order. The requested order would permit additional
registered investment companies, and their series, to rely on the
Original VIPERs Order, and modify certain terms and conditions of the Original VIPERs Order.
\1\ Vanguard Index Funds, et al., Investment
NOTICES: American Stock Exchange LLC,
Published: 2003-12-08
December 1, 2003.
I. Introduction
On June 23, 2003, the American Stock Exchange LLC (``Amex'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act''),\1\ and Rule 19b4 thereunder,\2\ a
proposed rule change to amend sections 101, 110, 120,
NOTICES: Chicago Stock Exchange, Inc.,
Published: 2003-12-08
December 1, 2003.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\1\ and Rule 19b4 thereunder,\2\
[[Page 68435]]
notice is hereby given that on August 1, 2003, the Chicago Stock
Exchange, Incorporated (``CHX'' or ``Exchange'') filed with the
Securities and Exchange Commission (``Commission'') the proposed rule
NOTICES: Chicago Stock Exchange, Inc.,
Published: 2003-12-08
December 1, 2003.
I. Introduction
On July 28, 2003, the Chicago Stock Exchange, Inc. (``CHX'' or
``Exchange''), filed with the Securities and Exchange Commission
(``SEC'' or ``Commission''), pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b4
thereunder,\2\ a proposed rule change to amend certain
NOTICES: New York Stock Exchange, Inc.,
Published: 2003-12-08
December 1, 2003.
On August 29, 2002, the New York Stock Exchange, Inc. (``NYSE'')
filed with the Securities and Exchange Commission (``SEC'' or
``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ a
proposed rule change to introduce into its rules ``Crossing Session
NOTICES: Meetings; Sunshine Act,
Published: 2003-12-05
Notice is hereby given, pursuant to the provisions of the
Government in the Sunshine Act, Public Law 94409, that the Securities
and Exchange Commission will hold the following meeting during the week of December 8, 2003:
A closed meeting will be held on Tuesday, December 9, 2003 at 2 p.m.
Commissioners, Counsel to the Commissioners, the
NOTICES: Boston Stock Exchange, Inc.,
Published: 2003-12-05
December 1, 2003.
I. Introduction
On July 16, 2003, the Boston Stock Exchange, Inc. (``BSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ a
proposed rule change to add new requirements concerning
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2003-12-05
December 1, 2003.
I. Introduction
On February 24, 2003, the Chicago Board Options Exchange, Inc.
(``CBOE'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'' or ``SEC''), pursuant to section 19(b)(1) of
the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4
thereunder,\2\ a proposed rule change to allow
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2003-12-05
November 28, 2003.
On August 28, 2003, the National Association of Securities Dealers,
Inc. (``NASD''), through its subsidiary, The Nasdaq Stock Market, Inc.
(``Nasdaq'') submitted to the Securities and Exchange Commission
(``Commission''), pursuant to section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act''),\1\ and Rule 19b4
NOTICES: Hard Rock Hotel, Inc.,
Published: 2003-12-04
November 26, 2003.
The Securities and Exchange Commission gives notice that Hard Rock
Hotel, Inc. has filed an application under section 304(d) of the Trust
Indenture Act of 1939. Hard Rock Hotel asks the Commission to exempt
from the certificate or opinion delivery requirements of section 314(d)
of the 1939 Act certain provisions of an
NOTICES: International Securities Exchange, Inc.,
Published: 2003-12-03
November 25, 2003.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on November 18, 2003, the International Securities Exchange, Inc.
(``ISE'' or ``Exchange'') filed with the Securities and Exchange
Commission (``SEC'' or ``Commission'') the proposed rule
NOTICES: Nasdaq Liffe Markets, LLC,
Published: 2003-12-03
November 25, 2003.
Pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b7 under the Act,\2\ notice is hereby given
that on November 10, 2003, NQLX, LLC (``NQLX'') filed with the
Securities and Exchange Commission (``Commission'') the proposed rule
change described in Items I, II, and III below, which
NOTICES: National Securities Clearing Corp.,
Published: 2003-12-03
November 26, 2003.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on October 16, 2003, the
National Securities Clearing Corporation (``NSCC'') filed with the
Securities and Exchange Commission (``Commission'') the proposed rule
change as described in Items I, II, and III below,
NOTICES: National Securities Clearing Corp.,
Published: 2003-12-03
November 21, 2003.
On January 17, 2003, National Securities Clearing Corporation
(``NSCC'') submitted to the Securities and Exchange Commission
(``Commission'') a proposed rule change pursuant to Section 19(b)(1) of
the Securities Exchange Act of 1934 (``Act'')\1\ to allow NSCC to
provide information services for investment products. The
NOTICES: National Stock Exchange,
Published: 2003-12-03
November 25, 2003.
I. Introduction
On September 12, 2003, the Cincinnati Stock Exchange, now known as
National Stock Exchange (``Exchange''), filed with the Securities and
Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of
the Securities Exchange Act of 1934 (``Act'')\1\ and Rule 19b4
thereunder,\2\ a proposed rule change to
NOTICES: New York Stock Exchange, Inc.,
Published: 2003-12-03
November 25, 2003.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on October 20, 2003, the New York Stock Exchange, Inc. (``NYSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described
NOTICES: Options Clearing Corp.,
Published: 2003-12-03
November 21, 2003.
On September 30, 2002, The Options Clearing Corporation (``OCC'')
submitted to the Securities and Exchange Commission (``Commission'') a
proposed rule change pursuant to section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'')\1\ that would allow OCC to provide
clearance and settlement services for physicallysettled
