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[FR Doc 03-31806] 26.December 18, 2003. Pursuant to section 19(b)(1) of the Securities Exchange
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change
The Exchange is proposing to extend the waiver of its marketing fee until June 30, 2004.
II. SelfRegulatory Organization's
Published: 2003-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31805] 27.December 18, 2003. Pursuant to section 19(b)(1) of the Securities Exchange
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change
NYSE proposes to amend Rule 412 and the Interpretation of Rule 412 in order to apply the same procedural standards regarding use of the Automated
Published: 2003-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31809] 28.December 16, 2003. Pursuant to section 19(b)(1) of the Securities Exchange
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ Amendment No. 1 replaces the originally filed Form 19b4 in its entirety.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change
The PCX proposes to amend its rules
Published: 2003-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31808] 29.December 17, 2003. On July 8, 2003, the Pacific Stock Exchange, Inc.
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
The proposed rule change was published for comment in the Federal
Register on November 12, 2003.\3\ The Commission received no comments on the proposal.
\3\ See Securities Exchange Act Release No. 48746 (November 4,
Published: 2003-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31810] 30.December 18, 2003. Pursuant to section 19(b)(1) of the Securities Exchange
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change
The Exchange proposes to extend its pilot program pertaining to the Options Floor Broker Management System (the ``System'')
Published: 2003-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31811] 31.December 18, 2003. On June 20, 2003, the Stock Clearing Corporation of
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ Securities Exchange Act Release No. 48692 (Oct. 24, 2003), 68 FR 61846.
I. Description
This order permanently approves SCCP's business whereby it provides limited clearance and settlement services.
A. Background
Through an agreement
Published: 2003-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31802] 32.AGENCY: Securities and Exchange Commission.
The Commission is publishing interpretive guidance regarding the disclosure commonly known as Management's Discussion and Analysis of Financial Condition and Results of Operations, or MD&A, which is required by Item 303 of Regulation SK, Items 303(b) and (c) of Regulation SB, Item 5 of Form 20F and Paragraph 11 of General Instruction B of Form 40F.
Published: 2003-12-29 SECURITIES AND EXCHANGE COMMISSION : Veterans Affairs Department
[FR Doc 03-31640] 33.AGENCY: Securities and Exchange Commission (``Commission'').
The Commission is amending its rule concerning recordkeeping requirements for registered transfer agents. The amendments will make clear that registered transfer agents may use electronic, microfilm, and microfiche media as a substitute for hard copy records, including cancelled stock certificates, for purposes of complying with the Commission's
Published: 2003-12-29 SECURITIES AND EXCHANGE COMMISSION : Veterans Affairs Department
[FR Doc 03-32027] 34. Notice is hereby given, pursuant to the provisions of the Government in the
A Closed Meeting will be held on Tuesday, December 23, 2003 at 2 p.m.
Commissioner Atkins, as duty officer, determined that no earlier notice thereof was possible.
Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the Closed Meeting. Certain staff members who have an interest
Published: 2003-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31803] 35.December 18, 2003. Pursuant to section 19(b)(1) of the Securities Exchange
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change
The Amex proposes to amend Rule 958A to eliminate the application of the Rule's exceptions to different series within the
Published: 2003-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31804] 36.December 18, 2003. Pursuant to section 19(b)(1) of the Securities Exchange
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change
CBOE proposes to amend various provisions of its Constitution and Rules pertaining to the governance of the Exchange. The
Published: 2003-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31807] 37.December 18, 2003. Pursuant to section 19(b)(1) of the Securities Exchange
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(b)(3)(A)(iii).
\4\ 17 CFR 240.19b4(f)(6).
\5\ The Exchange asked the Commission to waive the 30day operative delay. See Rule 19b4(f)(6)(iii). 17 CFR 240.19b
4(f)(6)(iii).
1. SelfRegulatory
Published: 2003-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31544] 38. Compliance Programs of Investment Companies and Investment Advisers
The Securities and Exchange Commission is adopting new rules under the Investment Company Act of 1940 and the Investment Advisers Act of 1940 that require each investment company and investment adviser registered with the Commission to adopt and implement written policies and procedures reasonably designed to prevent violation of the federal
Published: 2003-12-24 SECURITIES AND EXCHANGE COMMISSION : Veterans Affairs Department
[FR Doc 03-31695] 39.
The Securities and Exchange Commission is seeking public comment on a number of issues related to the disclosure of mutual fund transaction costs. We seek comment on, among other things, whether mutual funds should be required to quantify and disclose to investors the amount of transaction costs they incur, include transaction costs in their
Published: 2003-12-24 SECURITIES AND EXCHANGE COMMISSION : Veterans Affairs Department
[FR Doc 03-31545] 40. Disclosure of Breakpoint Discounts by Mutual Funds
The Securities and Exchange Commission is proposing amendments to Form N1A under the Securities Act of 1933 and the Investment Company Act of 1940 to require an openend management investment company to provide enhanced disclosure regarding breakpoint discounts on frontend sales loads. Under the proposed amendments, an openend management investment
Published: 2003-12-24 SECURITIES AND EXCHANGE COMMISSION : Veterans Affairs Department
[FR Doc 03-31697] 41.
December 19, 2003.
The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of December, 2003. A copy of each application may be obtained for a fee at the SEC's Public Reference Branch, 450 Fifth St., NW., Washington, DC 205490102 (tel. 2029428090). An order granting
Published: 2003-12-24 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31696] 42. Midland National Life Insurance Company, et al.
The Applicants hereby apply for an order of the Commission exempting them with respect to the support of variable annuity contracts described herein (the ``Contracts'') and other variable annuity contracts that are similar in all material respects to the contracts described herein, that Midland may issue in the future (``Future Contracts''), and
Published: 2003-12-24 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31644] 43.
December 17, 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 December 11, 2003, the American Stock Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in
Published: 2003-12-24 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31643] 44.
December 17, 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 24, 2003, the National Association of Securities Dealers, Inc. (``NASD''), through its subsidiary, The Nasdaq Stock Market, Inc. (``Nasdaq''), filed with the Securities and
Published: 2003-12-24 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31645] 45.
December 17, 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 24, 2003, the National Association of Securities Dealers, Inc. (``NASD''), through its subsidiary, The Nasdaq Stock Market, Inc. (``Nasdaq''), filed with the Securities and
Published: 2003-12-24 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31646] 46.
December 16, 2003.
I. Introduction and Description of the Proposal
On November 19, 2002, the National Association of Securities Dealers, Inc. (``NASD'' or ``Association'') 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
Published: 2003-12-24 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31649] 47.
December 16, 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 December 2, 2003, the National Association of Securities Dealers, Inc. (``NASD'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as
Published: 2003-12-24 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31650] 48.
December 16, 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 December 11, 2003, the National Association of Securities Dealers, Inc. (``NASD'') submitted to the Securities and Exchange Commission (``Commission'') the proposed rule change as
Published: 2003-12-24 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31648] 49.
December 11, 2003.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on June 30, 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, which
Published: 2003-12-24 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 03-31641] 50.
December 17, 2003.
I. Introduction
On November 7, 2003, the New York Stock Exchange, Inc. (``NYSE'' 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 amend and
Published: 2003-12-24 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
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