NOTICES: Municipal Securities Rulemaking Board,
Published: 2004-12-30
December 22, 2004.
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 December 16, 2004, the Municipal Securities Rulemaking Board
(``MSRB'' or ``Board'') filed with the Securities and Exchange
Commission (``SEC'' or ``Commission'') the proposed rule
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2004-12-30
December 22, 2004.
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 December 21, 2004, the National Association of Securities Dealers,
Inc. (``NASD''), through its subsidiary, The Nasdaq Stock Market, Inc.
(``Nasdaq''), filed with the Securities and
NOTICES: New York Stock Exchange, Inc.,
Published: 2004-12-30
December 23, 2004.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 1934 (``SEA'' or the ``Exchange Act''),\2\ and Rule 19b4
thereunder,\3\ notice is hereby given that on December 1, 2004, the New
York Stock Exchange, Inc. (``NYSE'' or the ``Exchange'') filed with the
Securities and Exchange Commission (the ``Commission'' or
NOTICES: Meetings; Sunshine Act,
Published: 2004-12-30
Notice is hereby given, pursuant to the provisions of the
Government in the Sunshine Act, Pub. L. 94409, that the Securities and
Exchange Commission will hold the following meeting during the week of January 3, 2005:
A closed meeting will be held on Thursday, January 6, 2005, at 10 a.m.
Commissioners, Counsel to the Commissioners, the
NOTICES: American Stock Exchange LLC,
Published: 2004-12-30
December 23, 2004.
I. Introduction
On June 30, 2004, 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,\1\ as amended (the ``Act''), and Rule 19b4
thereunder,\2\ a proposed rule change to amend its
NOTICES: American Stock Exchange LLC,
Published: 2004-12-29
December 21, 2004.
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 December 14, 2004, the American Stock Exchange LLC (``Amex'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in
NOTICES: Boston Stock Exchange, Inc.,
Published: 2004-12-29
December 21, 2004.
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 December 7, 2004, the Boston Stock Exchange, Inc. (``BSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in
NOTICES: Boston Stock Exchange, Inc.,
Published: 2004-12-29
December 22, 2004.
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 December 3, 2004, the Boston Stock Exchange, Inc., (``Exchange'')
filed with the Securities and Exchange Commission (``Commission'' or
``SEC'') the proposed rule change as described in
NOTICES: Boston Stock Exchange, Inc.,
Published: 2004-12-29
December 22, 2004.
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 December 7, 2004, the Boston Stock Exchange (``BSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2004-12-29
December 21, 2004.
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 December 13, 2004, the Chicago Board Options Exchange, Incorporated
(``CBOE'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2004-12-29
December 22, 2004.
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 December 15, 2004, the Chicago Board Options Exchange, Incorporated
(``CBOE'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2004-12-29
December 22, 2004.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Exchange Act''),\1\ notice is hereby given that on December 8, 2004,
the Chicago Board Options Exchange, Incorporated (``CBOE'' or
``Exchange'') filed with the Securities Exchange Commission
(``Commission'') the proposed rule change as described in Items
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2004-12-29
December 22, 2004.
On July 30, 2004, the Chicago Board Options Exchange, Incorporated
(``CBOE'' 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 relating to the Exchange's
NOTICES: Fixed Income Clearing Corp.,
Published: 2004-12-29
December 20, 2004.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on October 7, 2004, the Fixed
Income Clearing Corporation (``FICC'') filed with the Securities and
Exchange Commission (``Commission'') the proposed rule change as
described in Items I, II, and III below, which Items
NOTICES: International Securities Exchange, Inc.,
Published: 2004-12-29
December 21, 2004
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given
that on November 30, 2004, the International Securities Exchange, Inc.
(the ``Exchange'' or the ``ISE'') filed with the Securities and
Exchange Commission (the ``Commission'') the proposed
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2004-12-29
December 21, 2004.
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 2, 2004, the National Association of Securities Dealers,
Inc. (``NASD''), through its subsidiary, The Nasdaq Stock Market, Inc.
(``Nasdaq''), filed with the Securities and
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2004-12-29
December 20, 2004.
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 December 2, 2004, the National Association of Securities Dealers,
Inc. (``NASD'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change, as
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2004-12-29
December 22, 2004.
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 December 15, 2004, the National Association of Securities Dealers, Inc., through its subsidiary, the Nasdaq Stock Market,
[[Page 78080]]
Inc. (``Nasdaq'') filed with the Securities and
NOTICES: National Stock Exchange,
Published: 2004-12-29
December 21, 2004.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act'')\1\ and Rule 19b4 thereunder,\2\ notice is hereby given
that on August 31, 2004, the National Stock ExchangeSM
(``NSX'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change, as
NOTICES: New York Stock Exchange, Inc.,
Published: 2004-12-29
December 22, 2004.
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 28, 2004, 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: 2004-12-29
December 20, 2004.
I. Introduction
On June 8, 2004, The Options Clearing Corporation (``OCC'') filed
with the Securities and Exchange Commission (``Commission'') proposed
rule change SROCC200411 pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act'').\1\ Notice of the proposal
was published in the Federal Register on
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2004-12-29
December 21, 2004.
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 26, 2004, the Philadelphia Stock Exchange, Inc. (``Phlx''
or ``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2004-12-29
December 22, 2004.
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 December 14, 2004, the Philadelphia Stock Exchange, Inc.
(``Phlx'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as
NOTICES: Merrill Lynch, Pierce, Fenner & Smith, Inc.,
Published: 2004-12-29
December 23, 2004.
Merrill Lynch, Pierce, Fenner & Smith Incorporated (``MLPF&S''), a
brokerdealer registered with the Securities and Exchange Commission
(``Commission''), and its ultimate holding company, Merrill Lynch &
Co., Inc., (``ML & Co.''), have indicated their desire to be supervised
by the Commission as a consolidated supervised
NOTICES: American Stock Exchange LLC,
Published: 2004-12-29
December 14, 2004.
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 24, 2004, the American Stock Exchange LLC (``Amex'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in