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PCX Rulemaking Archive: 2004
Name change in effect as of April 7, 2006:
NYSE Arca, Inc. |
We encourage the public to submit comments on the following Pacific Exchange, Inc. (PCX) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Note: Only selected SRO rule proposals were posted to the SEC website prior to 2004. To obtain releases not appearing on the website, contact the Public Reference Room at (202) 551-8090 or by e-mail: publicinfo@sec.gov.
Chronological List
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
PCX File Number List for 2004
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-PCX-2004-128 |
| 34-50948 |
Dec. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Phase-In of PCX Plus
Comments due: January 28, 2005
|
SR-PCX-2004-59 |
| 34-50868 |
Dec. 16, 2004 |
Order Approving a Proposed
Rule Change and Amendment Nos. 1 and 2 Thereto Relating to a New Order Modifier
Entitled "Proactive if Locked Reserve"
|
SR-PCX-2004-122 |
| 34-50854 |
Dec. 14, 2004 |
Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Implementation of a New Order Audit Trail System
See also: Order: Rel. No. 34-50998
|
SR-PCX-2002-57 |
| 34-50847 |
Dec. 14, 2004 |
Notice of Withdrawal of Proposed Rule Change by the Pacific
Exchange, Incorporated Relating to the Implementation of a New Order Audit Trail System
|
SR-PCX-2004-58 |
| 34-50830 |
Dec. 9, 2004 |
Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Exchange's Rules Under the Minor Rule Plan and Recommended Fine Schedule
See also: Order: Rel. No. 34-51051
|
SR-PCX-2004-96 |
| 34-50818 |
Dec. 7, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend PCX Equities, Inc. Rule 4.5 To Require All Financial/Operations Principals of PCXE ETP Firms To Successfully Complete The Series 27 Examination and All Compliance Supervisors Of PCXE ETP Firms To Successfully Complete the Series 24 Examination
See also: Order: Rel. No. 34-51038
|
SR-PCX-2004-105 |
| 34-50817 |
Dec. 7, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Make Clarifying Changes to the PCX Schedule of Fees and Charges with Respect to the Options Orientation Fee to Include the Cost of the Series 44 or 45 Examination and to Adopt a New Fee Associated With the Series 46 Examination
Comments due: January 4, 2005
|
SR-PCX-2004-99 |
| 34-50799 |
Dec. 6, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to List and Trade the iShares® FTSE/Xinhua China 25 Index Fund
Comments due: January 3, 2005
|
SR-PCX-2004-83 |
| 34-50756 |
Nov. 30, 2004 |
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Changing the Opening Time and the Commencement of the Opening Auction
See also: Order: Rel. No. 34-51014
|
SR-PCX-2004-101 |
| 34-50742 |
Nov. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Add a $500 Application Fee for Waivers of Exchange Examination Requirements Pursuant to PCX Rule 2.5(c)(4)
Comments due: December 27, 2004
|
SR-PCX-2004-104 |
| 34-50731 |
Nov. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend for an Additional Six-Month Period a Pilot Rule Relating to Waiver of California Arbitrator Disclosure Standards
Comments due: December 21, 2004
|
SR-PCX-2004-80 |
| 34-50717 |
Nov. 22, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Relating to Arbitrator Classification, Challenges and Disclosure
Comments due: December 20, 2004
|
SR-PCX-2004-108 |
| 34-50677 |
Nov. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Amend the Corporate Governance Requirements for PCX Listed Companies
Comments due: December 14, 2004
|
SR-PCX-2004-90 |
| 34-50668 |
Nov. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Applicability of the Cross-and-Post Functionality on the Archipelago Exchange Facility to PNP Cross Orders
Comments due: December 13, 2004
|
SR-PCX-2004-102 |
| 34-50662 |
Nov. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Notification Requirements for Offerings of Securities Pursuant to Regulation M
Comments due: December 10, 2004
|
SR-PCX-2004-98 |
| 34-50643 |
Nov. 5, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Until 1:15 (Pacific Time) the Core Trading Session and Change the Closing Auction Time for Certain ETFs
Comments due: December 6, 2004
|
SR-PCX-2004-59 |
| 34-50645 |
Nov. 5, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to a New Order Modifier Entitled "Proactive if Locked Reserve"
See also: Order: Rel. No. 34-50868
|
SR-PCX-2004-103 |
| 34-50635 |
Nov. 4, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to Schedule of Fees and Charges for Exchange Services
Comments due: December 3, 2004
|
SR-PCX-2004-63 |
| 34-50593 |
Oct. 26, 2004 |
Order Granting Approval of Proposed Rule Change Relating to a Proposed Listing Fee Schedule for Exchange-Traded Funds and Closed-End Funds
See also: Notice: Rel. No. 34-50374
|
SR-PCX-2004-97 |
| 34-50579 |
Oct. 21, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to an Amendment to the Automatic Opening Rotations Pilot Program
Comments due: November 18, 2004
|
SR-PCX-2004-84 |
| 34-50562 |
Oct. 19, 2004 |
Order Approving a Proposed Rule Change and Amendment No. 1 by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Inc.; a Proposed Rule Change and Amendments No. 1 and 2 by the International Securities Exchange, Inc.; a Proposed Rule Change by the Pacific Exchange, Inc.; and a Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to Minimum Size Guarantees for Linkage Orders SR-BSE-2004-14; SR-CBOE-2004-41; SR-ISE-2004-01; SR-PCX-2004-84; SR-Phlx-2004-16
See also: Notice: Rel. No. 34-50346
|
SR-PCX-2004-87 |
| 34-50549 |
Oct. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Change Relating to Trades Resulting from Obvious Error
Comments due: November 12, 2004
|
SR-PCX-2004-89 |
| 34-50538 |
Oct. 14, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Allow Market Maker Quotation Spreads in PCX Plus of up to $5
Comments due: November 12, 2004
|
SR-PCX-2004-94 |
| 34-50523 |
Oct. 13, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Delay of the Operative Period for Priority and Order Allocation Procedures for PCX Plus
Comments due: November 9, 2004
|
SR-PCX-2004-92 |
| 34-50527 |
Oct. 13, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Floor Access Fee and the Remote Market Maker Access Fee
Comments due: November 9, 2004
|
SR-PCX-2004-86 |
| 34-50508 |
Oct. 8, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Financial/Operations Principals of PCX OTP Firms to Successfully Complete the Series 27 Examination
Comments due: November 8, 2004
|
| Third Quarter |
SR-PCX-2003-64 |
| 34-50473 |
Sep. 29, 2004 |
Order Granting Approval of Proposed Rule Change and Amendments No. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 3, 4, and 5 Thereto Regarding Facilitation Crossing Procedures
See also: Notice: Rel. No. 34-50064
|
SR-PCX-2004-88 |
| 34-50470 |
Sep. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Charges for Exchange Services by Increasing its Broker Dealer Surcharge
Comments due: 21 days after publication in the Federal Register
|
SR-PCX-2004-77 |
| 34-50460 |
Sep. 28, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Clarify Routing Away Practices
Comments due: October 25, 2004
|
SR-PCX-2004-43 |
| 34-50448 |
Sep. 24, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Proposed Listing Fee Schedule for Structured Products
See also: Order: Rel. No. 34-51094
|
SR-PCX-2003-71 |
| 34-50441 |
Sep. 24, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Trading Securities Valued at Less Than $1.00 in Subpenny Increments
Comments due: October 21, 2004
|
SR-PCX-2004-78 |
| 34-50430 |
Sep. 23, 2004 |
Order Approving a Proposed Rule Change Relating to Priority and Order Allocation Procedures for PCX Plus
See also: Notice: Rel. No. 34-50191
|
SR-PCX-2004-54 |
| 34-50413 |
Sep. 20, 2004 |
Order Granting Approval to Proposed Rule Change and Amendment No. 1 to Amend the PCX Sanctioning Guidelines to Enforce Compliance with the Exchange's FOCUS Reports Filing Requirements
See also: Notice: Rel. No. 34-49948
|
SR-PCX-2004-60 |
| 34-50410 |
Sep. 17, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing Standards for Income Deposit Securities (“IDS”)
Comments due: October 18, 2004
|
SR-PCX-2004-81 |
| 34-50390 |
Sep. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rules Relating to the PCX Schedule of Fees and Charges
Comments due: October 18, 2004
|
SR-PCX-2004-63 |
| 34-50374 |
Sep. 13, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to a Proposed Listing Fee Schedule for Exchange Traded Funds and Closed-End Funds
See also: Order: Rel. No. 34-50593
|
SR-PCX-2004-29 |
| 34-50356 |
Sep. 13, 2004 |
Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend the PCXE Minor Rule Plan and Recommended Fine Schedule to Add a Provision for Failure to Maintain Continuous, Two-Sided Q Orders in Those Securities in Which a PCXE Market Maker Is Registered to Trade |
SR-PCX-2004-84 |
| 34-50346 |
Sep. 10, 2004 |
Notice of Filing of Proposed Rule Change Relating to the Definition of Firm Customer Quote Size and Firm Principal Quote Size Pursuant to the Intermarket Options Linkage Plan
See also: Order: Rel. No. 34-50562
|
SR-PCX-2004-75 |
| 34-50319 |
Sep. 7, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Minimum Terms for Equity Linked Notes (“ELNs”)
Comments due: October 4, 2004.
|
SR-PCX-2004-71 |
| 34-50312 |
Sep. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rules Relating to Examinations for Floor Brokers and Market Makers and Waiver of the Examinations
Comments due: October 5, 2004.
|
SR-PCX-2004-49 |
| 34-50296 |
Aug. 31, 2004 |
Order Approving a Proposed Rule Change to Amend Rules Governing the Archipelago Exchange by Adding a New Order Modifier Entitled "Don’t Arb Me"
See also: Notice: Rel. No. 34-50054
|
SR-PCX-2004-70 |
| 34-50231 |
Aug. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change filed with the Commission Relating to the PCX Equities, Inc.’s Ability to Waive an Examination Requirement for an ETP Applicant
Comments due: September 21, 2004. |
SR-PCX-2004-67 |
| 34-50230 |
Aug. 23, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Amending PCXE Rule 7.55 Relating to the Processing of Incoming ITS Commitments
Comments due: September 20, 2004. |
SR-PCX-2004-79 |
| 34-50210 |
Aug. 18, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to the Corporate Restructuring and Initial Public Offering of Archipelago Holdings, Inc.
Comments due: September 15, 2004. |
SR-PCX-2004-78 |
| 34-50191 |
Aug. 13, 2004 |
Notice of Filing of Proposed Rule Change Relating to Priority and Order Allocation Procedures for PCX Plus
See also: Order: Rel. No. 34-50430
|
SR-PCX-2004-76 |
| 34-50171 |
Aug. 9, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Impose Additional Obligations on the Exchange Should an Affiliate or Entity that Operates and/or Owns a Trading System or Facility of the Exchange List a Security on the Exchange.
Comments due: September 7, 2004. |
SR-PCX-2004-56 |
| 34-50170 |
Aug. 9, 2004 |
Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change Relating to the Certificate of Incorporation and Bylaws of Archipelago Holdings, Inc.
See also: Notice: Rel. No. 34-49946
|
SR-PCX-2004-73 |
| 34-50153 |
Aug. 5, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Handling of Orders Pursuant to Intermarket Option Linkage
Comments due: September 2, 2004. |
SR-PCX-2004-61 |
| 34-50152 |
Aug. 5, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Extend Until June 5, 2005, a Pilot Program under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals
Comments due: September 2, 2004 |
SR-PCX-2004-47 |
| 34-50143 |
Aug. 4, 2004 |
Order Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto to Eliminate the Ability of Floor Brokers and Market Makers to Manually Trade with Orders and Quotes with Size in the Consolidated Book
See also: Notice: Rel. No. 34-49912
|
SR-PCX-2004-62 |
| 34-50139 |
Aug. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Schedule of Fees and Charges
Comments due: August 30, 2004. |
SR-PCX-2004-29 |
| 34-50131 |
Jul. 30, 2004 |
Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 to Add a Provision in the Minor Rule Plan and Recommended Fine Schedule for Failure to Maintain Continuous, Two-Sided Q Orders in Those Securities in Which the Market Maker is Registered to Trade
See also: Order: Rel. No. 34-50356
|
SR-PCX-2004-45 |
| 34-50126 |
Jul. 30, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 to Amend the PCX Sanctioning Guidelines to Enforce Compliance with the Exchange’s FOCUS Reports Filing Requirements
Comments due: August 26, 2004 |
SR-PCX-2004-66 |
| 34-50108 |
Jul. 28, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Price Collars on the Archipelago Exchange Facility during the Closing Auction
Comments due: August 25, 2004. |
SR-PCX-2004-51 |
| 34-50101 |
Jul. 28, 2004 |
Order Granting Approval to a Proposed Rule Change Amending the Designated Options Examination Authority Fee on a Retroactive Basis
See also: Notice: Rel. No. 34-49828
|
SR-PCX-2004-68 |
| 34-50082 |
Jul. 26, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Extension of a Linkage Fee Pilot Program
Comments due: August 20, 2004. |
SR-PCX-2004-69 |
| 34-50066 |
Jul. 22, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PCX Plus Priority and Order Allocation Procedures
Comments due: August 19, 2004. |
SR-PCX-2003-64 |
| 34-50064 |
Jul. 22, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Facilitation Crosses
See also: Order: Rel. No. 34-50473
|
SR-PCX-2004-49 |
| 34-50054 |
Jul. 21, 2004 |
Notice of Filing of a Proposed Rule Change to Amend its Rules Governing the Archipelago Exchange by Adding a New Order Modifier Entitled “Don’t Arb Me”
See also: Order: Rel. No. 34-50296
|
SR-PCX-2004-53 |
| 34-50004 |
Jul. 12, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to Changes to the Schedule of Fees and Charges for Exchange Services
Comments due: August 9, 2004 |
SR-PCX-2004-34 |
| 34-49967 |
Jul. 2, 2004 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Handling of Satisfaction Orders Pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
Comments due: August 2, 2004 |
| Second Quarter |
SR-PCX-2004-55 |
| 34-49949 |
Jun. 30, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Twelve-Month Extension of the Automatic Execution System Book Function Pilot Program
Comments due: July 28, 2004 |
SR-PCX-2004-54 |
| 34-49948 |
Jun. 30, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Twelve-Month Extension of the Automatic Execution System Incentive Pilot Program
See also: Order: Rel. No. 34-50413
|
SR-PCX-2004-56 |
| 34-49946 |
Jun. 30, 2004 |
Notice of Filing of Proposed Rule Change Relating to the Certificate of Incorporation and Bylaws of Archipelago Holdings, Inc.
See: Order: Rel. No. 34-50170
See also:Text of proposed
Certificate of Incorporation of Archipelago Holdings and
Bylaws of Archipelago Holdings
|
SR-PCX-2004-12 |
| 34-49942 |
Jun. 29, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto to Create an Additional Processing Capability for PNP Orders called "PNP Plus"
See also: Notice: Rel. No. 34-49713
|
SR-PCX-2004-57 |
| 34-49933 |
Jun. 28, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the System Phase-In of PCX Plus
Comments due: July 27, 2004 |
SR-PCX-2003-51 |
| 34-49922 |
Jun. 28, 2004 |
Order Approving Proposed Rule Change, and Amendments No. 1, 2, and 3 thereto, by the Pacific Exchange, Inc. Relating to Conditions of PCX Membership.
See also: Notice: Rel. No. 34-49681
|
SR-PCX-2004-47 |
| 34-49912 |
Jun. 24, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Eliminate the Ability to Manually Trade with Orders and Quotes with Size in the Consolidated Book
See also: Order: Rel. No. 34-50143
|
SR-PCX-2004-33 |
| 34-49890 |
Jun. 17, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to How Members Handle Principal Acting as Agent Orders pursuant to Intermarket Linkage
Comments due: July 19, 2004 |
SR-PCX-2004-38 |
| 34-49865 |
Jun. 15, 2004 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Pacific Exchange, Inc. for the Extension of a Pilot Program Limiting Liability for Trade-Throughs at the End of the Trading Day
Comments due: July 14, 2004 |
SR-PCX-2004-50 |
| 34-49843 |
Jun. 10, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Temporary Waiver of Fees for Market Makers that Utilize More Than One Seat
Comments due: July 9, 2004 |
SR-PCX-2004-52 |
| 34-49835 |
Jun. 8, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Preventing Locks and Crosses in PNP Orders for ITS Trade-Through Exempt Securities by Amending PCXE Rule 7.31
Comments due: July 9, 2004
Comments received are available for this notice.
|
SR-PCX-2004-51 |
| 34-49828 |
Jun. 8, 2004 |
Notice of Filing of Proposed Rule Change Amending the Designated Options Examination Authority Fee on a Retroactive Basis
See also: Order: Rel. No. 34-50101
|
SR-PCX-2004-39 |
| 34-49818 |
Jun. 7, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc., to Extend a Pilot Program under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals until August 4, 2004
Comments due: July 6, 2004 |
SR-PCX-2004-35 |
| 34-49810 |
Jun. 4, 2004 |
Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 3 and 4 Thereto Relating to Corporate Governance of Listed Issuers
See also: Notice: Rel. No. 34-49631
|
SR-PCX-2004-31 |
| 34-49802 |
Jun. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Fees and Charges
Comments due: June 30, 2004 |
SR-PCX-2004-40 |
| 34-49786 |
May 28, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 thereto, Relating to Post-Trade Anonymity to its ETP Holders by the Pacific Exchange, Inc.
Comments due: June 29, 2004 |
SR-PCX-2004-46 |
| 34-49773 |
May 26, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, Relating to Modifying the Market Imbalance Calculation on the Archipelago Exchange.
Comments due: June 24, 2004
See also: Order: Rel. No. 34-53052
|
SR-PCX-2004-25 |
| 34-49758 |
May 24, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Arbitration
Comments due: June 18, 2004 |
SR-PCX-2004-28 |
| 34-49757 |
May 21, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and bthe Pacific Exchange, Inc. to Amend Rules Relating to FOCUS Report Filings
Comments due: June 22, 2004 |
SR-PCX-2004-27 |
| 34-49756 |
May 21, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and by the Pacific Exchange, Inc. to Amend Rules Relating to FOCUS Report Filings
Comments due: June 22, 2004 |
SR-PCX-2004-36 |
| 34-49737 |
May 19, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
Comments due: June 16, 2004 |
SR-PCX-2004-08 |
| 34-49718 |
May 17, 2004 |
Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Thereto Relating to the Demutualization of the Pacific Exchange, Inc.
Comments due: June 14, 2004
Attachments:
- Exhibit A, Rule 1, Text of the Proposed Rule Changes
- Exhibit A, Rule 2
- Exhibit A, Rule 3
- Exhibit A, Rule 4
- Exhibit A, Rule 5
- Exhibit A, Rule 6
- Exhibit A, Rule 7
- Exhibit A, Rule 8
- Exhibit A, Rule 9
- Exhibit A, Rule 10
- Exhibit A, Rule 11
- Exhibit A, Rule 12
- Exhibit A, Rule 13
- Exhibit A, Rule 14
- Exhibit B, Certificate of Incorporation for PCX Holdings
- Exhibit C, Bylaws of PCX Holdings
- Exhibit D, Certificate of Incorporation for the Reorganized PCX
- Exhibit E, Bylaws of the Reorganized PCX
Comments due: April 19, 2004
Comments received are available for this notice. |
SR-PCX-2004-12 |
| 34-49713 |
May 17, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 thereto Creating an Additional Processing Capability for PNP Orders called "PNP Plus"
See also: Order: Rel. No. 34-49942
|
SR-PCX-2003-51 |
| 34-49681 |
May 11, 2004 |
Notice of Filing and Amendments No. 1, 2, and 3 thereto of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Conditions of PCX Membership
See also: Order: Rel. No. 34-49922
|
SR-PCX-2004-32 |
| 34-49671 |
May 7, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Designated Options Examination Authority Fee
Comments due: June 7, 2004 |
SR-PCX-2004-22 |
| 34-49664 |
May 6, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. and Notice Filing and Order Granting Accelerated Approval to Amendment No. 2 Creating a New Order Type Entitled “Auto Q Order”
See also: Notice: Rel. No. 34-45906
|
SR-PCX-2004-41 |
| 34-49656 |
May 5, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the Pacific Exchange, Inc. Relating to Exchange Fees and Charges
Comments due: June 1, 2004 |
SR-PCX-2004-35 |
| 34-49631 |
Apr. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Maker Fees Portion of its Schedule of Fees and Charges in Order to Extend a Temporary Waiver of the Market Maker Fees for those Market Makers that Utilize More than One Seat
See also: Order: Rel. No. 34-49810
|
SR-PCX-2004-26 |
| 34-49569 |
Apr. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Clarify the PCX General Membership Fees Portion of the PCX Schedule of Fees and Charges
Comments due: May 13, 2004 |
SR-PCX-2004-23 |
| 34-49560 |
Apr. 13, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Schedule of Fees and Charges.
Comments due: May 11, 2004 |
SR-PCX-2004-25 |
| 34-49550 |
Apr. 9, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
See also: Order: Rel. No. 34-49758
|
SR-PCX-2004-01 |
| 34-49532 |
Apr. 7, 2004 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Listing and Trading of Index-Linked Exchangeable Notes.
Comments due: May 4, 2004 |
| First Quarter |
SR-PCX-2004-22 |
| 34-45906 |
Mar. 30, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Amending PCXE Rule 7.31 to Create a New Order Type Entitled "Auto Q Order"
See also: Order: Rel. No. 34-49664
|
SR-PCX-2004-16 |
| 34-49495 |
Mar. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Trading Hours for Options on Exchange-Traded Funds
Comments due: April 23, 2004
|
SR-PCX-2004-05 |
| 34-49487 |
Mar. 26, 2004 |
Order Approving Proposed Rule Change Imposing a Connectivity Fee Applicable to Non-members that Maintain a Connectivity Line with the Exchange
Comments due: 21 days after publication in the Federal Register
|
SR-PCX-2004-21 |
| 34-49466 |
Mar. 24, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
Comments due: April 21, 2004 |
SR-PCX-2004-07 |
| 34-49417A |
Mar. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Amend PCX Rule 1.26 to Clarify and Update Its Registration Rule for Employees of Member Organizations [Correction]
Comments due: April 13, 2004
See also: Notice: Rel. No. 34-49417
|
SR-PCX-2003-60 |
| 34-49455 |
Mar. 22, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1, 2, and 3 by Relating to Rules for Trading Index Options
Comments due: April 19, 2004 |
SR-PCX-2004-18 |
| 34-49418 |
Mar. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Bid-Ask Differentials
Comments due: April 13, 2004 |
SR-PCX-2004-07 |
| 34-49417 |
Mar. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Amend PCX Rule 1.26 to Clarify and Update Its Registration Rule for Employees of Member Organizations
Comments due: April 13, 2004
See also: Notice: Rel. No. 34-49417A
|
SR–PCX–2003–70 |
| 34–49276 |
Feb. 19, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. To Amend PCXE Rule 7.40 To Provide for the Dissemination of a Closing Price and Closing Volume
Comments received are available for this notice.
|
| PCX File Number List for 2004 |
| Release No. |
Date |
Details |
SR-PCX-2004-132 |
| 34-51067 |
Jan. 21, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Trading, Either by Listing or Pursuant to Unlisted Trading Privileges, Commodity-Based Trust Shares and Trading, Pursuant to Unlisted Trading Privileges, iShares® COMEX Gold Trust
Comments due: February 17, 2005
|
SR-PCX-2004-131 |
| 34-51242 |
Feb. 23, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to FOCD Forms Due Date
Comments due: March 23, 2005
|
SR-PCX-2004-130 |
| 34-51243 |
Feb. 23, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Fees for Late FOCD Forms
Comments due: March 22, 2005
|
SR-PCX-2004-129 |
| 34-51184 |
Feb. 10, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Minimum Price Improvement Standards
Comments due: March 10, 2005
|
SR-PCX-2004-128 |
| 34-50948 |
Dec. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Phase-In of PCX Plus
Comments due: January 28, 2005
|
SR-PCX-2004-125 |
| 34-51076 |
Jan. 25, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. Relating to Exchange Fees and Charges
Comments due: February 22, 2005
|
SR-PCX-2004-124 |
| 34-51512 |
Apr. 8, 2005 |
Order Approving Order Approving Proposed Rule Change and Amendments Nos. 1, 2, and 3 by the Pacific Exchange, Inc. Relating to Adjournments of a Hearing Within Three Business Days of a Scheduled Hearing Session
|
| 34-51296 |
Mar. 2, 2005 |
Notice of Filing of Proposed Rule Change and Amendments Nos. 1, 2, and 3 Relating to Adjournments of a Hearing Within Three Business Days of a Scheduled Hearing Session
Comments due: March 29, 2005
|
SR-PCX-2004-122 |
| 34-50998 |
Jan. 7, 2005 |
Order Granting Accelerated Approval of Proposed Rule Change Relating to the Implementation of a New Order Audit Trail System
|
| 34-50854 |
Dec. 14, 2004 |
Notice of Filing of Proposed Rule Change by the Pacific
Exchange, Inc. Relating to the Implementation of a New Order Audit Trail System
Comments due: January 6, 2005
|
SR-PCX-2004-118 |
| 34-51102 |
Jan. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Arbitration Fees
Comments due: February 25, 2005
|
SR-PCX-2004-117 |
| 34-51245 |
Feb. 23, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. to Trade the streetTRACKS® Gold Shares Pursuant to Unlisted Trading Privileges
Comments due: March 25, 2005
|
SR-PCX-2004-108 |
| 34-50677 |
Nov. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Amend the Corporate Governance Requirements for PCX Listed Companies
Comments due: December 14, 2004
|
SR-PCX-2004-105 |
| 34-50817 |
Dec. 7, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Make Clarifying Changes to the PCX Schedule of Fees and Charges with Respect to the Options Orientation Fee to Include the Cost of the Series 44 or 45 Examination and to Adopt a New Fee Associated With the Series 46 Examination
Comments due: January 4, 2005
|
SR-PCX-2004-104 |
| 34-50731 |
Nov. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend for an Additional Six-Month Period a Pilot Rule Relating to Waiver of California Arbitrator Disclosure Standards
Comments due: December 21, 2004
|
SR-PCX-2004-103 |
| 34-50635 |
Nov. 4, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to Schedule of Fees and Charges for Exchange Services
Comments due: December 3, 2004
|
SR-PCX-2004-102 |
| 34-50662 |
Nov. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Notification Requirements for Offerings of Securities Pursuant to Regulation M
Comments due: December 10, 2004
|
SR-PCX-2004-101 |
| 34-50742 |
Nov. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Add a $500 Application Fee for Waivers of Exchange Examination Requirements Pursuant to PCX Rule 2.5(c)(4)
Comments due: December 27, 2004
|
SR-PCX-2004-99 |
| 34-50799 |
Dec. 6, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to List and Trade the iShares® FTSE/Xinhua China 25 Index Fund
Comments due: January 3, 2005
|
SR-PCX-2004-98 |
| 34-50643 |
Nov. 5, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Until 1:15 (Pacific Time) the Core Trading Session and Change the Closing Auction Time for Certain ETFs
Comments due: December 6, 2004
|
SR-PCX-2004-97 |
| 34-50579 |
Oct. 21, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to an Amendment to the Automatic Opening Rotations Pilot Program
Comments due: November 18, 2004
|
SR-PCX-2004-96 |
| 34-51038 |
Jan. 14, 2005 |
Order Granting Approval to Proposed Rule Change To Amend PCXE Rule 4.5 To Require All Financial/Operations Principals of PCXE ETP Firms To Successfully Complete the Series 27 Examination and To Add PCXE Rule 6.18(d) To Require All Compliance Supervisors of PCXE ETP Firms To Successfully Complete the Series 24 Examination
|
| 34-50818 |
Dec. 7, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend PCX Equities, Inc. Rule 4.5 To Require All Financial/Operations Principals of PCXE ETP Firms To Successfully Complete The Series 27 Examination and All Compliance Supervisors Of PCXE ETP Firms To Successfully Complete the Series 24 Examination
Comments due: January 4, 2005
|
SR-PCX-2004-94 |
| 34-50523 |
Oct. 13, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Delay of the Operative Period for Priority and Order Allocation Procedures for PCX Plus
Comments due: November 9, 2004
|
SR-PCX-2004-92 |
| 34-50527 |
Oct. 13, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Floor Access Fee and the Remote Market Maker Access Fee
Comments due: November 9, 2004
|
SR-PCX-2004-90 |
| 34-50668 |
Nov. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Applicability of the Cross-and-Post Functionality on the Archipelago Exchange Facility to PNP Cross Orders
Comments due: December 13, 2004
|
SR-PCX-2004-89 |
| 34-50538 |
Oct. 14, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Allow Market Maker Quotation Spreads in PCX Plus of up to $5
Comments due: November 12, 2004
|
SR-PCX-2004-88 |
| 34-50470 |
Sep. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Charges for Exchange Services by Increasing its Broker Dealer Surcharge
Comments due: October 26, 2004
|
SR-PCX-2004-87 |
| 34-50549 |
Oct. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Change Relating to Trades Resulting from Obvious Error
Comments due: November 12, 2004
|
SR-PCX-2004-86 |
| 34-50508 |
Oct. 8, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Financial/Operations Principals of PCX OTP Firms to Successfully Complete the Series 27 Examination
Comments due: November 8, 2004
|
SR-PCX-2004-84 |
| 34-50562 |
Oct. 19, 2004 |
Order Approving a Proposed Rule Change and Amendment No. 1 by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Inc.; a Proposed Rule Change and Amendments No. 1 and 2 by the International Securities Exchange, Inc.; a Proposed Rule Change by the Pacific Exchange, Inc.; and a Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to Minimum Size Guarantees for Linkage Orders SR-BSE-2004-14; SR-CBOE-2004-41; SR-ISE-2004-01; SR-PCX-2004-84; SR-Phlx-2004-16
|
| 34-50346 |
Sep. 10, 2004 |
Notice of Filing of Proposed Rule Change Relating to the Definition of Firm Customer Quote Size and Firm Principal Quote Size Pursuant to the Intermarket Options Linkage Plan
Comments due: October 7, 2004.
|
SR-PCX-2004-83 |
| 34-51014 |
Jan. 10, 2005 |
Order Approving Proposed Rule Change, and Amendment No. 1 Thereto Relating to Changing the Opening Time and the Commencement of the Opening Auction on the Archipelago Exchange
|
| 34-50756 |
Nov. 30, 2004 |
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Changing the Opening Time and the Commencement of the Opening Auction
Comments due: December 27, 2004
|
SR-PCX-2004-81 |
| 34-50390 |
Sep. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rules Relating to the PCX Schedule of Fees and Charges
Comments due: October 18, 2004
|
SR-PCX-2004-80 |
| 34-50717 |
Nov. 22, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Relating to Arbitrator Classification, Challenges and Disclosure
Comments due: December 20, 2004
|
SR-PCX-2004-79 |
| 34-50210 |
Aug. 18, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to the Corporate Restructuring and Initial Public Offering of Archipelago Holdings, Inc.
Comments due: September 15, 2004. |
SR-PCX-2004-78 |
| 34-50430 |
Sep. 23, 2004 |
Order Approving a Proposed Rule Change Relating to Priority and Order Allocation Procedures for PCX Plus
|
| 34-50191 |
Aug. 13, 2004 |
Notice of Filing of Proposed Rule Change Relating to Priority and Order Allocation Procedures for PCX Plus
Comments due: September 9, 2004. |
SR-PCX-2004-77 |
| 34-50460 |
Sep. 28, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Clarify Routing Away Practices
Comments due: October 25, 2004
|
SR-PCX-2004-76 |
| 34-50171 |
Aug. 9, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Impose Additional Obligations on the Exchange Should an Affiliate or Entity that Operates and/or Owns a Trading System or Facility of the Exchange List a Security on the Exchange.
Comments due: September 7, 2004. |
SR-PCX-2004-75 |
| 34-50319 |
Sep. 7, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Minimum Terms for Equity Linked Notes (“ELNs”)
Comments due: October 4, 2004.
|
SR-PCX-2004-73 |
| 34-50153 |
Aug. 5, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Handling of Orders Pursuant to Intermarket Option Linkage
Comments due: September 2, 2004. |
SR-PCX-2004-72 |
| 34-51667 |
May 9, 2005 |
Order Granting Approval to a Proposed Rule Change and Amendments No. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to Clearly Erroneous Executions on the Archipelago Exchange
Comments due: June 3, 2005
|
| 34-51280 |
Mar. 1, 2005 |
Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 thereto Relating to Clearly Erroneous Executions on the Archipelago Exchange
Comments due: 21 days after publication in the Federal Register
|
SR-PCX-2004-71 |
| 34-50312 |
Sep. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rules Relating to Examinations for Floor Brokers and Market Makers and Waiver of the Examinations
Comments due: October 5, 2004.
|
SR-PCX-2004-70 |
| 34-50231 |
Aug. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change filed with the Commission Relating to the PCX Equities, Inc.’s Ability to Waive an Examination Requirement for an ETP Applicant
Comments due: September 21, 2004. |
SR-PCX-2004-69 |
| 34-50066 |
Jul. 22, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PCX Plus Priority and Order Allocation Procedures
Comments due: August 19, 2004. |
SR-PCX-2004-68 |
| 34-50082 |
Jul. 26, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Extension of a Linkage Fee Pilot Program
Comments due: August 20, 2004. |
SR-PCX-2004-67 |
| 34-50230 |
Aug. 23, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Amending PCXE Rule 7.55 Relating to the Processing of Incoming ITS Commitments
Comments due: September 20, 2004. |
SR-PCX-2004-66 |
| 34-50108 |
Jul. 28, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Price Collars on the Archipelago Exchange Facility during the Closing Auction
Comments due: August 25, 2004. |
SR-PCX-2004-65 |
| 34-51637 |
Apr. 29, 2005 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Deletion of Obsolete or Unnecessary Rules
|
| 34-51392 |
Mar. 17, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Deletion of Obsolete or Unnecessary Rules
Comments due: April 14, 2005
|
SR-PCX-2004-63 |
| 34-50593 |
Oct. 26, 2004 |
Order Granting Approval of Proposed Rule Change Relating to a Proposed Listing Fee Schedule for Exchange-Traded Funds and Closed-End Funds
|
| 34-50374 |
Sep. 13, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to a Proposed Listing Fee Schedule for Exchange Traded Funds and Closed-End Funds
Comments due: 21 days after publication in the Federal Register
|
SR-PCX-2004-62 |
| 34-50139 |
Aug. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Schedule of Fees and Charges
Comments due: August 30, 2004. |
SR-PCX-2004-61 |
| 34-50152 |
Aug. 5, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Extend Until June 5, 2005, a Pilot Program under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals
Comments due: September 2, 2004 |
SR-PCX-2004-60 |
| 34-50410 |
Sep. 17, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing Standards for Income Deposit Securities (“IDS”)
Comments due: October 18, 2004
|
SR-PCX-2004-59 |
| 34-50868 |
Dec. 16, 2004 |
Order Approving a Proposed
Rule Change and Amendment Nos. 1 and 2 Thereto Relating to a New Order Modifier
Entitled "Proactive if Locked Reserve"
|
| 34-50645 |
Nov. 5, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to a New Order Modifier Entitled "Proactive if Locked Reserve"
Comments due: December 6, 2004
|
SR-PCX-2004-58 |
| 34-51051 |
Jan. 18, 2005 |
Order Approving Proposed Rule Change and Amendment No. 2 Thereto Relating to the Exchange’s Rules Under its Minor Rule Plan and Recommended Fine Schedule
|
| 34-50830 |
Dec. 9, 2004 |
Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Exchange's Rules Under the Minor Rule Plan and Recommended Fine Schedule
Comments due: 21 days after publication in the Federal Register
|
SR-PCX-2004-57 |
| 34-49933 |
Jun. 28, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the System Phase-In of PCX Plus
Comments due: July 27, 2004 |
SR-PCX-2004-56 |
| 34-50170 |
Aug. 9, 2004 |
Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change Relating to the Certificate of Incorporation and Bylaws of Archipelago Holdings, Inc.
Comments due: September 7, 2004 |
| 34-49946 |
Jun. 30, 2004 |
Notice of Filing of Proposed Rule Change Relating to the Certificate of Incorporation and Bylaws of Archipelago Holdings, Inc.
Comments due: July 28, 2004
(Text of proposed
Certificate of Incorporation of Archipelago Holdings and
Bylaws of Archipelago Holdings also available)
|
SR-PCX-2004-55 |
| 34-49949 |
Jun. 30, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Twelve-Month Extension of the Automatic Execution System Book Function Pilot Program
Comments due: July 28, 2004 |
SR-PCX-2004-54 |
| 34-50413 |
Sep. 20, 2004 |
Order Granting Approval to Proposed Rule Change and Amendment No. 1 to Amend the PCX Sanctioning Guidelines to Enforce Compliance with the Exchange's FOCUS Reports Filing Requirements |
| 34-49948 |
Jun. 30, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Twelve-Month Extension of the Automatic Execution System Incentive Pilot Program
Comments due: July 28, 2004 |
SR-PCX-2004-53 |
| 34-50004 |
Jul. 12, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to Changes to the Schedule of Fees and Charges for Exchange Services
Comments due: August 9, 2004 |
SR-PCX-2004-52 |
| 34-49835 |
Jun. 8, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Preventing Locks and Crosses in PNP Orders for ITS Trade-Through Exempt Securities by Amending PCXE Rule 7.31
Comments due: July 9, 2004
Comments received are available for this notice.
|
SR-PCX-2004-51 |
| 34-50101 |
Jul.28, 2004 |
Order Granting Approval to a Proposed Rule Change Amending the Designated Options Examination Authority Fee on a Retroactive Basis
|
| 34-49828 |
Jun. 8, 2004 |
Notice of Filing of Proposed Rule Change Amending the Designated Options Examination Authority Fee on a Retroactive Basis
Comments due: July 9, 2004 |
SR-PCX-2004-50 |
| 34-49843 |
Jun. 10, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Temporary Waiver of Fees for Market Makers that Utilize More Than One Seat
Comments due: July 9, 2004 |
SR-PCX-2004-49 |
| 34-50296 |
Aug. 31, 2004 |
Order Approving a Proposed Rule Change to Amend Rules Governing the Archipelago Exchange by Adding a New Order Modifier Entitled "Don’t Arb Me"
|
| 34-50054 |
Jul. 21, 2004 |
Notice of Filing of a Proposed Rule Change to Amend its Rules Governing the Archipelago Exchange by Adding a New Order Modifier Entitled “Don’t Arb Me”
Comments due: August 18, 2004 |
SR-PCX-2004-47 |
| 34-50143 |
Aug. 4, 2004 |
Order Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto to Eliminate the Ability of Floor Brokers and Market Makers to Manually Trade with Orders and Quotes with Size in the Consolidated Book |
| 34-49912 |
Jun. 24, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Eliminate the Ability to Manually Trade with Orders and Quotes with Size in the Consolidated Book
Comments due: July 22, 2004 |
SR-PCX-2004-46 |
| 34-53052 |
Jan. 5, 2006 |
Order Approving Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Modifying the Market Imbalance Calculation for the Opening and Market Order Auctions on the Archipelago Exchange
|
| 34-49773 |
May 26, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, Relating to Modifying the Market Imbalance Calculation on the Archipelago Exchange.
Comments due: June 24, 2004 |
SR-PCX-2004-45 |
| 34-50126 |
Jul. 30, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 to Amend the PCX Sanctioning Guidelines to Enforce Compliance with the Exchange’s FOCUS Reports Filing Requirements
Comments due: August 26, 2004 |
SR-PCX-2004-43 |
| 34-51094 |
Jan. 28, 2005 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to a Proposed Listing Fee Schedule for Structured Products
Comments due: February 28, 2005
|
| 34-50448 |
Sep. 24, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Proposed Listing Fee Schedule for Structured Products
Comments due: October 22, 2004
|
SR-PCX-2004-41 |
| 34-49656 |
May 5, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the Pacific Exchange, Inc. Relating to Exchange Fees and Charges
Comments due: June 1, 2004 |
SR-PCX-2004-40 |
| 34-49786 |
May 28, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 thereto, Relating to Post-Trade Anonymity to its ETP Holders by the Pacific Exchange, Inc.
Comments due: June 29, 2004 |
SR-PCX-2004-39 |
| 34-49818 |
Jun. 7, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc., to Extend a Pilot Program under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals until August 4, 2004
Comments due: July 6, 2004 |
SR-PCX-2004-38 |
| 34-49865 |
Jun. 15, 2004 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Pacific Exchange, Inc. for the Extension of a Pilot Program Limiting Liability for Trade-Throughs at the End of the Trading Day
Comments due: July 14, 2004 |
SR-PCX-2004-34 |
| 34-49967 |
Jul. 2, 2004 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Handling of Satisfaction Orders Pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
Comments due: August 2, 2004 |
SR-PCX-2004-36 |
| 34-49737 |
May 19, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
Comments due: June 16, 2004 |
SR-PCX-2004-35 |
| 34-49810 |
Jun. 4, 2004 |
Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 3 and 4 Thereto Relating to Corporate Governance of Listed Issuers
|
| 34-49631 |
Apr. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Maker Fees Portion of its Schedule of Fees and Charges in Order to Extend a Temporary Waiver of the Market Maker Fees for those Market Makers that Utilize More than One Seat
Comments due: July 1, 2004 |
SR-PCX-2004-33 |
| 34-49890 |
Jun. 17, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to How Members Handle Principal Acting as Agent Orders pursuant to Intermarket Linkage
Comments due: July 19, 2004 |
SR-PCX-2004-32 |
| 34-49671 |
May 7, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Designated Options Examination Authority Fee
Comments due: June 7, 2004 |
SR-PCX-2004-31 |
| 34-49802 |
Jun. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Fees and Charges
Comments due: June 30, 2004 |
SR-PCX-2004-29 |
| 34-50356 |
Sep. 13, 2004 |
Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend the PCXE Minor Rule Plan and Recommended Fine Schedule to Add a Provision for Failure to Maintain Continuous, Two-Sided Q Orders in Those Securities in Which a PCXE Market Maker Is Registered to Trade |
| 34-50131 |
Jul. 30, 2004 |
Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 to Add a Provision in the Minor Rule Plan and Recommended Fine Schedule for Failure to Maintain Continuous, Two-Sided Q Orders in Those Securities in Which the Market Maker is Registered to Trade
Comments due: August 30, 2004 |
SR-PCX-2004-28 |
| 34-49757 |
May 21, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and bthe Pacific Exchange, Inc. to Amend Rules Relating to FOCUS Report Filings
Comments due: June 22, 2004 |
SR-PCX-2004-27 |
| 34-49756 |
May 21, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and by the Pacific Exchange, Inc. to Amend Rules Relating to FOCUS Report Filings
Comments due: June 22, 2004 |
SR-PCX-2004-26 |
| 34-49569 |
Apr. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Clarify the PCX General Membership Fees Portion of the PCX Schedule of Fees and Charges
Comments due: May 13, 2004 |
SR-PCX-2004-25 |
| 34-49758 |
May 24, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Arbitration
Comments due: June 18, 2004 |
| 34-49550 |
Apr. 9, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
Comments due: May 6, 2004 |
SR-PCX-2004-23 |
| 34-49560 |
Apr. 13, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Schedule of Fees and Charges.
Comments due: May 11, 2004 |
SR-PCX-2004-22 |
| 34-49664 |
May 6, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. and Notice Filing and Order Granting Accelerated Approval to Amendment No. 2 Creating a New Order Type Entitled “Auto Q Order”
Comments due: June 7, 2004 |
| 34-45906 |
Mar. 30, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Amending PCXE Rule 7.31 to Create a New Order Type Entitled "Auto Q Order"
Comments due: April 27, 2004
|
SR-PCX-2004-21 |
| 34-49466 |
Mar. 24, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
Comments due: April 21, 2004 |
SR-PCX-2004-18 |
| 34-49418 |
Mar. 15, 2004 |
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Bid-Ask Differentials
Comments due: April 13, 2004 |
SR-PCX-2004-16 |
| 34-49495 |
Mar. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Trading Hours for Options on Exchange-Traded Funds
Comments due: April 23, 2004
|
SR-PCX-2004-12 |
| 34-49942 |
Jun. 29, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto to Create an Additional Processing Capability for PNP Orders called "PNP Plus"
|
| 34-49713 |
May 17, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 thereto Creating an Additional Processing Capability for PNP Orders called "PNP Plus"
Comments due: June 14, 2004 |
SR-PCX-2004-08 |
| 34-49718 |
May 17, 2004 |
Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Thereto Relating to the Demutualization of the Pacific Exchange, Inc.
Comments due: June 14, 2004
Attachments:
- Exhibit A, Rule 1, Text of the Proposed Rule Changes
- Exhibit A, Rule 2
- Exhibit A, Rule 3
- Exhibit A, Rule 4
- Exhibit A, Rule 5
- Exhibit A, Rule 6
- Exhibit A, Rule 7
- Exhibit A, Rule 8
- Exhibit A, Rule 9
- Exhibit A, Rule 10
- Exhibit A, Rule 11
- Exhibit A, Rule 12
- Exhibit A, Rule 13
- Exhibit A, Rule 14
- Exhibit B, Certificate of Incorporation for PCX Holdings
- Exhibit C, Bylaws of PCX Holdings
- Exhibit D, Certificate of Incorporation for the Reorganized PCX
- Exhibit E, Bylaws of the Reorganized PCX
Comments due: April 19, 2004
Comments received are available for this notice. |
SR-PCX-2004-07 |
| 34-49417A |
Mar. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Amend PCX Rule 1.26 to Clarify and Update Its Registration Rule for Employees of Member Organizations (Correction)
(See original release, below, for comments due date etc.) |
| 34-49417 |
Mar. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. to Amend PCX Rule 1.26 to Clarify and Update Its Registration Rule for Employees of Member Organizations
Comments due: April 13, 2004 |
SR-PCX-2004-05 |
| 34-49487 |
Mar. 26, 2004 |
Order Approving Proposed Rule Change Imposing a Connectivity Fee Applicable to Non-members that Maintain a Connectivity Line with the Exchange
Comments due: 21 days after publication in the Federal Register
|
SR-PCX-2004-01 |
| 34-49532 |
Apr. 7, 2004 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Listing and Trading of Index-Linked Exchangeable Notes.
Comments due: May 4, 2004 |
http://www.sec.gov/rules/sro/pcx/pcxarchive/pcxarchive2004.shtml
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