Department: SECURITIES AND EXCHANGE COMMISSION
Years: 20002001200220032004200520062007200820092010201120122013[FR Doc 02-32919] 1.
December 20, 2002.
On August 19, 2002, 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 19b4
Published: 2002-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32921] 2.
December 23, 2002.
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 1, 2002, the National Association of Securities Dealers, Inc. (``NASD'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described
Published: 2002-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32918] 3.
December 20, 2002.
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 19, 2002, the New York Stock Exchange, Inc. (``NYSE'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as
Published: 2002-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32922] 4.
December 23, 2002.
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 20, 2002, the New York Stock Exchange, Inc. (``NYSE'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as
Published: 2002-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32913] 5. Nicholas-Applegate Capital Management et al.; Notice of Application
Summary of Application: Applicants requests an order to permit certain registered openend management investment companies or series thereof that are advised by NicholasApplegate Capital Management (each, a ``Fund'') to invest in a company organized in the Republic of Mauritius (``Mauritius Company'') that will invest in Indian securities.
Published: 2002-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32914] 6. ReliaStar Life Insurance Company of New York, et al.
Applicants: ReliaStar Life Insurance Company of New York (``RLNY''),
Separate Account NYB of ReliaStar Life Insurance Company of New York
(the ``Account'') and Directed Services, Inc. (``DSI'') (together, the ``Applicants'').
Summary of the Application: Applicants seek an order of the Commission,
pursuant to Section 6(c) of the Act, exempting them
Published: 2002-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32924] 7.
December 19, 2002
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 19, 2002, the American Stock Exchange LLC (``Amex'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II, and
Published: 2002-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32923] 8.
December 23, 2002.
On August 21, 2002, 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 relating to its AutoQuote
Published: 2002-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32916] 9.
December 20, 2002
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 December 11, 2002, the Chicago Stock Exchange, Incorporated (``CHX'' or ``Exchange'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change
Published: 2002-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32917] 10.
December 20, 2002.
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, 2002, the International Securities Exchange, Inc. (``Exchange'' or ``ISE'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule
Published: 2002-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32915] 11.
December 19, 2002.
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 29, 2002 the National Association of Securities Dealers, Inc. (``NASD'') filed a proposed rule change with the Securities and Exchange Commission (``SEC'' or ``Commission'').
Published: 2002-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32638] 12.
December 19, 2002.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act''),\1\ and Rule 19b4 thereunder,\2\ notice if hereby given that on October 9, 2002, the Chicago Board Options Exchange, Incorporated (``Exchange'' or ``CBOE'') filed with the Securities and Exchange Commission (``Commission'') the proposed
Published: 2002-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32732] 13.
December 18, 2002.
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 20, 2002, the Chicago Board Options Exchange (``CBOE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described
Published: 2002-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32737] 14.
December 19, 2002.
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 1, 2002, the Chicago Board Options Exchange, Inc. (``CBOE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as
Published: 2002-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32798] 15.
December 19, 2002.
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 9, 2002, the Chicago Board Options Exchange, Inc. (``CBOE'' or ``Exchange'') submitted to the Securities and Exchange Commission (``Commission'') the proposed rule change as
Published: 2002-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32792] 16.
December 20, 2002.
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 25, 2002, the Pacific Exchange, Inc. (``PCX'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II and III
Published: 2002-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32639] 17.
December 19, 2002.
Correction
In Release No. 3446467 (``Prior Release''), issued on September 6, 2002, beginning on page 58088 in the Federal Register issue of Friday, September 13, 2002, the amended fingerprinting plan of the Chicago Board Options Exchange, Inc. (``CBOE'') was noticed incorrectly. The corrected text of the amended CBOE
Published: 2002-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32793] 18.
December 20, 2002.
I. Introduction
On February 11, 2002, the Philadelphia Stock Exchange, Inc. (``Phlx'' 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
Published: 2002-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32640] 19.
December 19, 2002.
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 21, 2002, the International Securities Exchange, Inc. (``ISE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as
Published: 2002-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32794] 20.
December 20, 2002.
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 29, 2002, the Philadelphia Stock Exchange, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as
Published: 2002-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32733] 21.
December 20, 2002.
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 August 15, 2002, the National Association of Securities Dealers, Inc. (``NASD'') filed with the Securities and Exchange Commission (``Commission'' or ``SEC'') the proposed rule change
Published: 2002-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32469] 22. Repeal of the Trade-Through Disclosure Rules for Options
The Securities and Exchange Commission (``Commission'') is repealing its options tradethrough disclosure rule under the Securities Exchange Act of 1934, which requires a brokerdealer to disclose to a customer when the customer's order for listed options has been executed at a price inferior to a better published quote, unless the order was
Published: 2002-12-27 SECURITIES AND EXCHANGE COMMISSION : Veterans Affairs Department
[FR Doc 02-32734] 23.
December 19, 2002.
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, 2002, the National Association of Securities Dealers, Inc. (``NASD''), filed with the Securities and Exchange Commission (``Commission'' or ``SEC'') the proposed rule
Published: 2002-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 02-32731] 24. Mandated Electronic Filing and Web Site Posting for Forms 3, 4 and 5
We are proposing rule and form amendments to mandate the electronic filing, and website posting by issuers with corporate websites, of beneficial ownership reports filed by officers, directors and principal security holders under Section 16(a) of the Securities Exchange Act of 1934, generally as required by Section 403 of the SarbanesOxley Act of
Published: 2002-12-27 SECURITIES AND EXCHANGE COMMISSION : Veterans Affairs Department
[FR Doc 02-32735] 25.
December 19, 2002.
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 6, 2002, the National Association of Securities Dealers, Inc. (``NASD'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change
Published: 2002-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
Years: 20002001200220032004200520062007200820092010201120122013