The Federal Register http://thefederalregister.com/b.p/department/SECURITIES_AND_EXCHANGE_COMMISSION/2003-12-15/ Daily Publications of Meetings and Rules Changes for the Federal Government Thu, Jan 8 2009 11:00:00 GMT Thu, Jan 8 2009 11:00:00 GMT info@thefederalregister.com <![CDATA[ Joint Industry Plan; Order Extending for One Year the Operation of the Reporting Plan for Nasdaq-Listed Securities]]> http://thefederalregister.com/d.p/2003-12-15-03-30839

I. Introduction and Description

On August 8, 2003, the Cincinnati Stock Exchange, Inc. (``CSE'') on behalf of itself and the National Association of Securities Dealers, Inc. (``NASD''), the American Stock Exchange LLC (``Amex''), the Boston Stock Exchange, Inc. (``BSE''), the Chicago Stock Exchange, Inc. (``CHX''), the Pacific Exchange, Inc. (``PCX''), and the Philadelphia Stock Exchange, Inc. (``PHLX'') (hereinafter referred to collectively as ``Participants''),\1\ as members of the operating committee (``Operating Committee'' or ``Committee'') of the Plan submitted to the Securities and Exchange Commission (``SEC'' or ``Commission'') a request to extend the operation of the Plan and also to extend certain exemptive relief as described below.\2\ On August 12, 2003, the Commission issued a notice for comment and simultaneously granted summary effectiveness to the request to extend the operation of the Plan and certain exemptive relief.\3\ No comments were received in respo ]]> http://thefederalregister.com/d.p/2003-12-15-03-30839 Mon, Dec 15 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/2003-12-15-03-30836

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, 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 this proposal as one establishing or changing a due, fee or other charge imposed by the selfregulatory organization under Section 19(b)(3)(A)(ii) of the Act \3\ and Rule 19b4(f)(2) thereunder,\4\ which renders the rule immediately 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)(ii).
\4\ 17 CFR 240 ]]> http://thefederalregister.com/d.p/2003-12-15-03-30836 Mon, Dec 15 2003 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Give]]> http://thefederalregister.com/d.p/2003-12-15-03-30841

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 September 25, 2003, the National Association of Securities Dealers, Inc. (``NASD'') 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 NASD. On November 24, 2003, and December 2, 2003, NASD filed Amendment Nos. 1\3\ and 2\4\ to the proposed rule change, respectively. 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\ NASD filed a new Form 19b4, which replaces and supersedes the original filing in its entirety.
\4\ Letter from Philip A. Shaikun, Office of General Counsel, Regulatory Policy and Oversight, NASD, to Katherine A. England, Assistant Director, Division of Market Regulati ]]> http://thefederalregister.com/d.p/2003-12-15-03-30841 Mon, Dec 15 2003 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities]]> http://thefederalregister.com/d.p/2003-12-15-03-30984

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, 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. 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.
I. SelfRegulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change

Nasdaq has filed with the Commission a proposed rule change to modify certain listing fees for foreign issuers and to make a technical change to the rule pertaining to recordkeeping fees for issuers listed on The Nasdaq SmallCap Market.

The ]]> http://thefederalregister.com/d.p/2003-12-15-03-30984 Mon, Dec 15 2003 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Stock]]> http://thefederalregister.com/d.p/2003-12-15-03-30835

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, 2003, National Stock Exchange (``Exchange'')\3\ filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Exchange filed this proposal pursuant to Section 19(b)(3)(A) of the Act \4\ and Rule 19b4(f)(6)\5\ thereunder, which renders the proposal effective upon filing with the Commission.\6\ 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\ The Exchange was formerly known as The Cincinnati Stock Exchange. See Securities Exchange Act Release No. 48774 (November 12, 2003), 68 FR 65332 (November 19, 2003)(SRCSE200312).
\4\ 15 U.S.C. 78s(b)(3)(A).
\5\ 17 CFR 240.19b4(f)(6).
\ ]]> http://thefederalregister.com/d.p/2003-12-15-03-30835 Mon, Dec 15 2003 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the]]> http://thefederalregister.com/d.p/2003-12-15-03-30840

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, 2003 the New York Stock Exchange, Inc. (``NYSE'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. On December 3, 2003, the NYSE filed Amendment No. 1 to the proposed rule change.\3\ The Commission is publishing this notice to solicit comments on the proposed rule change, as amended, from interested persons and is approving the proposal, as amended, on an accelerated basis.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See letter from Darla Stuckey, Corporate Secretary, NYSE, to Florence Harmon, Senior Special Counsel, Division of Market Regulation (``Division''), Commission, dated December 3, 2003 (``Amendment No. 1''). Amendment No. 1 provides for ce ]]> http://thefederalregister.com/d.p/2003-12-15-03-30840 Mon, Dec 15 2003 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving Proposed Rule Change and Amendments No. 1 and 2]]> http://thefederalregister.com/d.p/2003-12-15-03-30838

I. Introduction

On June 2, 2003, the Pacific Exchange, Inc. (``PCX'') 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 to establish a Closing Auction and create MarketonClose (``MOC'') and LimitonClose (``LOC'') order types. On October 7, 2003, the PCX submitted Amendment No. 1 to the proposed rule change.\3\ On October 15, 2003, the PCX submitted Amendment No. 2 to the proposed rule change.\4\ The proposed rule change, as amended, was published for comment in the Federal Register on October 22, 2003.\5\ On December 2, 2003 the PCX submitted Amendment No. 3 to the proposed rule change.\6\
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See letter from Peter D. Bloom, Managing Director, Regulatory Policy, PCX, to Nancy J. Sanow, Assistant Director, Division of Market Regulation, Commission, dated October 6, 2003 ]]> http://thefederalregister.com/d.p/2003-12-15-03-30838 Mon, Dec 15 2003 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 and Notice of Filing]]> http://thefederalregister.com/d.p/2003-12-15-03-30837

I. Introduction

On September 29, 2003, the Philadelphia Stock Exchange, Inc. (``PHLX'' 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 proposal to list and trade cashsettled, European style options on the Nasdaq Composite Index[reg] (the ``Nasdaq Composite Index'' or ``Index''), a capitalizationweighted, A.M. settled index comprised of approximately 3,400 stocks listed and traded on The Nasdaq Stock Market, Inc. (``Nasdaq''). The PHLX filed Amendment Nos. 1 and 2 to the proposal on October 17, 2003.\3\ and filed Amendment No. 3 to the proposal on November 13, 2003.\4\
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See letter from Mark I. Salvacion, Director and Counsel, PHLX, to Kelly Riley, Senior Special Counsel, Division of Market Regulation (``Division''), Commission, dated October 17, 2003 (``Amend ]]> http://thefederalregister.com/d.p/2003-12-15-03-30837 Mon, Dec 15 2003 11:00:00 GMT