The Federal Register http://thefederalregister.com/b.p/department/SECURITIES_AND_EXCHANGE_COMMISSION/2003-11-25/ Daily Publications of Meetings and Rules Changes for the Federal Government Mon, May 20 2013 11:00:00 GMT Mon, May 20 2013 11:00:00 GMT info@thefederalregister.com <![CDATA[ Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto by]]> http://thefederalregister.com/d.p/2003-11-25-03-29414

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 27, 2002, the American Stock Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in
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Items I, II, and III below, which Items have been prepared by the Exchange. On April 23, 2003, the Exchange submitted Amendment No. 1 to the proposed rule change.\3\ On June 3, 2003, the Exchange submitted Amendment No. 2 to the proposed rule change.\4\ On October 3, 2003, the Exchange submitted Amendment No. 3 to the proposed rule change.\5\ On October 22, 2003, the Exchange submitted Amendment No. 4 to the proposed rule change.\6\ The Commission is publishing this notice to solicit comments on the proposed rule change, as amended, from interested persons.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See letter from Wil ]]> http://thefederalregister.com/d.p/2003-11-25-03-29414 Tue, Nov 25 2003 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National]]> http://thefederalregister.com/d.p/2003-11-25-03-29412

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''), submitted to the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by Nasdaq. Nasdaq filed the proposal pursuant to Section 19(b)(3)(A) of the Act,\3\ and Rule 19b4(f)(6) thereunder,\4\ which renders the proposal effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(b)(3)(A).
\4\ 17 CFR 240.19b4(f)(6).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Chan ]]> http://thefederalregister.com/d.p/2003-11-25-03-29412 Tue, Nov 25 2003 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National]]> http://thefederalregister.com/d.p/2003-11-25-03-29413

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 14, 2003, 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'') the proposed rule change as described in Items I, II, and III below, which Items have been prepared by Nasdaq. Nasdaq has designated the proposed rule as one that establishes or changes a due, fee, or other charge imposed by the selfregulatory organization under Section 19(b)(3)(A)(ii) of the Act,\3\ which renders the rule effective upon the Commission's receipt of the filing. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(b)(3)(A)(ii).
I. SelfRegulatory Organization's Statement ]]> http://thefederalregister.com/d.p/2003-11-25-03-29413 Tue, Nov 25 2003 11:00:00 GMT