NOTICES: Professional subscribers fees; Basic Service; amendment,
Published: 2004-12-09
December 3, 2004.
Pursuant to Section 11A of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 11Aa32 thereunder,\2\ notice is hereby given
that on October 14, 2004, the Options Price Reporting Authority
(``OPRA'') \3\ submitted to the Securities and Exchange Commission
(``Commission'') an amendment to the Plan for Reporting of
NOTICES: Audit of internal control over financial reporting performed in conjunction with audit of financial statements; proposed rules filed,
Published: 2004-12-09
December 3, 2004.
Pursuant to Section 107(b) of the SarbanesOxley Act of 2002 (the
``Act''), notice is hereby given that on December 1, 2004, the Public
Company Accounting Oversight Board (the ``Board'' or the ``PCAOB'')
filed with the Securities and Exchange Commission (the ``Commission'')
the proposed rule, described in Items I and II below,
NOTICES: Intermarket Trading System; exchange-traded funds transactions; de minimis exemption,
Published: 2004-12-09
December 3, 2004.
This order extends, for an additional ninemonth period, a de
minimis exemption to the provisions of the Intermarket Trading System
Plan (``ITS Plan''),\1\ a national market system plan,\2\ governing
intermarket tradethroughs. The de minimis exemption was originally
issued by the Commission on August 28, 2002 \3\ and extended
NOTICES: American Stock Exchange LLC,
Published: 2004-12-09
December 3, 2004.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of
1934, as amended (``Act'')\1\ and Rule 19b4 thereunder,\2\ notice is
hereby given that on May 24, 2004, the American Stock Exchange LLC
(``Amex'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2004-12-09
December 3, 2004.
On May 5, 2003, the Chicago Board Options Exchange, Inc. (``CBOE''
or ``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') a proposed rule change pursuant to Section
19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\1\ and
Rule 19b4 thereunder,\2\ to amend CBOE Rule 6.24
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2004-12-08
December 1, 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 November 30, 2004 the Chicago Board Options Exchange,
Incorporated (``CBOE'' or ``Exchange'') submitted to the Securities and
Exchange Commission (``Commission'') the proposed rule
NOTICES: Fixed Income Clearing Corp.,
Published: 2004-12-08
December 2, 2004.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on October 25, 2004, the
Fixed Income Clearing Corporation (``FICC'') filed with the Securities
and Exchange Commission (``Commission'') the proposed rule change
described in Items I, II, and III below, which items
NOTICES: International Securities Exchange LLC,
Published: 2004-12-08
December 1, 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 29, 2004, the International Securities Exchange, Inc.,
(the ``Exchange'' or the ``ISE'') filed with the Securities and
Exchange Commission (``Commission'') the proposed rule
NOTICES: National Securities Clearing Corp.,
Published: 2004-12-08
December 1, 2004.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on November 10, 2004, 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: New York Stock Exchange, Inc.,
Published: 2004-12-08
December 1, 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 22, 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: Philadelphia Stock Exchange, Inc.,
Published: 2004-12-08
December 1, 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 November 23, 2004, the Philadelphia Stock Exchange, Inc.
(``Phlx'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as
NOTICES: Agency information collection activities; proposals, submissions, and approvals,
Published: 2004-12-07
Upon written request, copies available from: Securities and
Exchange Commission, Office of Filings and Information Services, Washington, DC 20549.
Extension: Rule 17a4; SEC File No. 270198; OMB Control No. 3235 0279.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the Securities and
NOTICES: Agency information collection activities; proposals, submissions, and approvals,
Published: 2004-12-07
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC 20549.
Extension: Rule 17f1(g); SEC File No. 27030; OMB Control No. 3235 0290
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: 2004-12-07
November 30, 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 17, 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: 2004-12-07
December 1, 2004.
On October 14, 2004, the Chicago Board Options Exchange, Inc.,
(``CBOE'' or ``Exchange'') 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
thereunder,\2\ a proposed rule change to eliminate the Designated
NOTICES: Municipal Securities Rulemaking Board,
Published: 2004-12-07
December 1, 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 18, 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: 2004-12-07
November 29, 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 February 4, 2004, the National Association of Securities Dealers,
Inc. (``NASD'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2004-12-06
November 29, 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 8, 2004, the Philadelphia Stock Exchange (``Phlx'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as
NOTICES: Philadelphia Stock Exchange, Inc.,
Published: 2004-12-06
November 29, 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 November 3, 2004, the Philadelphia Stock Exchange, Inc.
(``Phlx'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as
NOTICES: Short sale price provisions; suspension of operation for designated securities and time periods,
Published: 2004-12-06
November 29, 2004.
On July 28, 2004, we issued an order (``Pilot Order'') establishing
a one year Pilot (``Pilot'') suspending the provisions of Rule 10a1(a)
under the Securities Exchange Act of 1934 (the ``Act'') \1\ and any
short sale price test of any exchange or national securities
association for short sales \2\ of certain securities.\3\
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2004-12-06
November 30, 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 24, 2004, the Chicago Board Options Exchange,
Incorporated (``CBOE'' or ``Exchange'') filed with the Securities and
Exchange Commission (``SEC'' or ``Commission'') the
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2004-12-06
November 29, 2004.
On October 12, 2004, the National Association of Securities Dealers, Inc.
[[Page 70486]]
(``NASD'') 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 thereunder,\2\ a
proposed rule change to amend its Rule
NOTICES: National Association of Securities Dealers, Inc.,
Published: 2004-12-06
November 29, 2004.
I. Introduction
On October 1, 2004, the National Association of Securities Dealers,
Inc. (``NASD''), through its subsidiary, The Nasdaq Stock Market, Inc.
(``Nasdaq''), 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
NOTICES: Pacific Exchange, Inc.,
Published: 2004-12-06
November 29, 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 18, 2004, the Pacific Exchange, Inc. (``PCX'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items
NOTICES: Pacific Exchange, Inc.,
Published: 2004-12-06
November 30, 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 22, 2004, the Pacific Exchange, Inc., (``PCX'' or
``Exchange'') submitted to the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in
