NYSE Rulemaking Archive: 2003

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Note: Only selected Self-Regulatory Organization rule proposals were posted to the SEC web site prior to 2004. To obtain copies of releases not appearing on the web site, please refer to How to Request Public Documents.

Chronological List

NYSE File Number List for 2003

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Chronological List

Release No.	Date	Details
SR-NYSE-2003-29
34-48958	Dec. 18, 2003	Notice of Filing of Proposed Rule Change to Amend Rule 412 and its Interpretation Relating to Partial Customer Account Transfers Comments received are available for this notice. See also:  Order: Rel. No. 34-49415
SR-NYSE-2003-34
34-48946	Dec. 17, 2003	Order Approving Proposed Rule Change Relating to the Amendment and Restatement of the Constitution of the Exchange to Reform the Governance and Management Architecture of the Exchange See also:  Notice: Rel. No. 34-48764
SR朜YSE�03�
34�833	Nov. 25, 2003	Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Fees for Closed-End Funds See also:  Order: Rel. No. 34-49414 Comments received are available for this notice.
SR-NYSE-2003-34
34-48764	Nov. 7, 2003	Notice of Filing of Proposed Rule Change Relating to the Amendment and Restatement of the Constitution of the Exchange to Reform the Governance and Management Architecture of the Exchange See also:  Order: Rel. No. 34-48946 Comments received are available for this notice.
SR-NYSE-2002-33
34-48745	Nov. 4, 2003	New York Stock Exchange, Inc. and National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Changes (SR-NYSE-2002-33 and SR-NASD-2002-141) and Amendments No. 1 thereto; Order Approving Proposed Rule Changes (SR-NASD-2002-77, SR-NASD-2002-80, SR-NASD-2002-138 and SR-NASD-2002-139) and Amendments No. 1 to SR-NASD-2002-80 and SR-NASD-2002-139; and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to SR-NYSE-2002-33, Amendment Nos. 2, 3, 4 and 5 to SR-NASD-2002-141, Amendment Nos. 2 and 3 to SR-NASD-2002-80, Amendment Nos. 1, 2, and 3 to SR-NASD-2002-138, and Amendment No. 2 to SR-NASD-2002-139, Relating to Corporate Governance File Nos.:  SR-NASD-2002-77, SR-NASD-2002-80, SR-NASD-2002-138, SR-NASD-2002-139, and SR-NASD-2002-141 See also:  Notice: Rel. No. 34-47672 Comments received for SR-NYSE-2002-33are available for this notice. Comments received for SR-NASD-2002-77 are available for this notice. Comments received for SR-NASD-2002-80 are available for this notice. Comments received for SR-NASD-2002-138 are available for this notice. Comments received for SR-NASD-2002-139 are available for this notice. Comments received for SR-NASD-2002-141 are available for this notice.
SR-NYSE-2003-23
34-48720	Oct. 30, 2003	Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Repealing Exchange Rule 500 and Amending Section 806 of the Listed Company Manual See also:  Notice: Rel. No. 34-48435
SR-NYSE-2002-35
34-48502	Sep. 17, 2003	Notice of Filing of Amendment No. 4 to a Proposed Rule Change Relating to Business Continuity and Contingency Planning See also:  Order: Rel. No. 34-49537; Notice: Rel. No. 34-46443
SR-NYSE-2003-23
34-48435	Sep. 3, 2003	Notice of Filing of Proposed Rule Change Repealing Exchange Rule 500 and Amending Section 806 of the Listed Company Manual See also:  Order: Rel. No. 34-48720 Comments received are available for this notice.
SR-NYSE-2002-49
34-48252	Jul. 29, 2003	Order Approving Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications with the Public") and by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3 to the Proposed Rule Change by the New York Stock Exchange, Inc and Amendment No. 3 to the Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest File No.:  SR-NASD-2002-154 See also:  Notices: Rel. Nos. 34-47912 and 34-47110 Additional Materials: NYSE Amendment No. 3 (includes response to comments) NASD Amendment No. 3 NASD Response to Comments
SR-NYSE-2002-46
34-48108	Jun. 30, 2003	Order Approving NYSE and Nasdaq Proposed Rule Changes and Nasdaq Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to NYSE Amendments No. 1 and 2 and Nasdaq Amendments No. 2 and 3 Thereto Relating to Equity Compensation Plans File No.:  SR-NASD-2002-140 See also:  Notices: Rel. Nos. 34-46620A, 34-46620
SR-NYSE-2002-49
34-47912	May 22, 2003	Notice of Filing of Amendment No. 2 to Proposed Rule Changes Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications with the Public") and by the National Association of Securities Dealers, Inc. Relating to NASD Rule 2711 ("Research Analysts and Research Reports") File No.:  SR-NASD-2002-154 See also:  Order: Rel. No. 34-48252; Notice: Rel. No. 34-47110
SR-NYSE-99-51
34-47689	Apr. 17, 2003	Order Approving Proposed Rule Change Relating to Order Tracking
SR-NYSE-2002-33
34-47672	Apr. 11, 2003	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Corporate Governance See also:  Order: Rel. No. 34-48745 Comments received are available for this notice.
SR-NYSE-2002-55
34-47614	Apr. 2, 2003	Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding the Dissemination of Liquidity Quotations See also:  Notice: Rel. No. 34-47091 and Order Granting Interim Stay Comments received are available for this notice.

NYSE File Number List for 2003

Release No.	Date	Details
SR-NYSE-2003-43
34-49154	Jan. 29, 2004	Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto and Order Granting Accelerated Approval of the Proposed Rule Change To Establish a Pilot Program To Amend the Minimum Numerical Standards Comments due:  21 days after publication in the Federal Register Comments received are available for this notice.
SR-NYSE-2003-42
34-49391	Mar. 10, 2004	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend its Rules 13, 72, 76 and 91 to Establish a Six-Month Pilot Program in Selected Stocks to Provide That Institutional XPress� Orders Be Executed Immediately Against an Institutional XPress� Eligible NYSE LiquidityQuoteSM Bid or Offer and Not Be Exposed for Price Improvement Comments due:  21 days after publication in the Federal Register Comments received are available for this notice.  Click to submit comments on SR-NYSE-2003-42
SR-NYSE-2003-37
34-49745	May 20, 2004	Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend NYSE Rule 124 to Change the Way Odd-Lot Orders are Priced and Executed Systemically
34-49536	Apr. 7, 2004	Notice of Filing of Proposed Rule Change to Amend NYSE Rule 124 to Change the Way Odd-Lot Orders are Priced and Executed Systemically Comments due:  May 5, 2004
SR-NYSE-2003-36
34-49063	Jan. 13, 2004	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Interpretation of Rule 15A Comments due:  21 days after publication in the Federal Register Comments received are available for this notice.
SR-NYSE-2003-34
34-48946	Dec. 17, 2003	Order Approving Proposed Rule Change Relating to the Amendment and Restatement of the Constitution of the Exchange to Reform the Governance and Management Architecture of the Exchange
34-48764	Nov. 7, 2003	Notice of Filing of Proposed Rule Change Relating to the Amendment and Restatement of the Constitution of the Exchange to Reform the Governance and Management Architecture of the Exchange Comments received are available for this notice.
SR朜YSE�03�
34�414	Mar. 12, 2004	Order Granting Approval to a Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Thereto Relating to Exchange Fees for Closed-End Funds
34�833	Nov. 25, 2003	Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Fees for Closed-End Funds Comments received are available for this notice.
SR-NYSE-2003-29
34-49415	Mar. 12, 2004	Order Granting Approval of a Proposed Rule Change Relating Partial Transfers and Other Non-Standard Customer Account Transfers
34-48958	Dec. 18, 2003	Notice of Filing of Proposed Rule Change to Amend Rule 412 and its Interpretation Relating to Partial Customer Account Transfers Comments received are available for this notice.
SR-NYSE-2003-23
34-48720	Oct. 30, 2003	Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Repealing Exchange Rule 500 and Amending Section 806 of the Listed Company Manual
34-48435	Sep. 3, 2003	Notice of Filing of Proposed Rule Change Repealing Exchange Rule 500 and Amending Section 806 of the Listed Company Manual Comments received are available for this notice.

http://www.sec.gov/rules/sro/nyse/nysearchive/nysearchive2003.shtml