2007 Federal Register Publications
|
 |
| File Number | Date Published | Description |
|---|
|
| SR Amex 2007-135 |
12/31/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Section 107D(g) of the Amex Company Guide. |
| SR Amex 2007-138 |
12/31/07 |
Notice of Filing of Proposed Rule Change To Establish a New Class of Off Floor Market Makers in ETFs Called Designated Amex Remote Traders. |
| SR Amex 2007-25 |
12/28/07 |
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Allow Registered Options Traders to Quote Remotely From Off the Amex's Trading Floor on a Limited Basis. |
| SR Amex 2006-31 |
12/28/07 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Annual Shareholder Meeting Requirements. |
| SR Amex 2007-104 |
12/27/07 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of Eleven Funds of the ProShares Trust. |
| SR Amex 2007-79 |
12/27/07 |
Notice of Filing of Proposed Rule Change as Modified by Amendments No. 1 and 2 Relating to Independent Directors and Audit Committee Members. |
| SR Amex 2007-132 |
12/21/07 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Include Volume Executed by Remote Quoting Towards the Earning of Remote Quoting Rights. |
| SR Amex 2007-134 |
12/20/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Commentary .10 to Amex Rule 584 To Delete the Reference to the Weekly Bulletin. |
| SR Amex 2007-53 |
12/20/07 |
Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, and Notice of Amendment No. 3 to the Proposed Rule Change Relating to the Listing and Trading of the GreenHaven Continuous Commodity Index Fund. |
| SR Amex 2007-46 |
12/20/07 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Require Specialists To Yield Orally Agreed Upon Proprietary Trades to Later- Arriving Customer System Orders. |
| SR Amex 2007-133 |
12/13/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce Certain Clearing Fees. |
| SR Amex 2007-122 |
12/12/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Liability for the Actions or Omission of Amex Book Clerks. |
| SR Amex 2007-20 |
12/12/07 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Related To Amending Complex Orders Procedures. |
| SR Amex 2007-124 |
12/11/07 |
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change, as Amended, Relating to Linkage Orders. |
| SR Amex 2007-56 |
12/07/07 |
Order Approving a Proposed Rule Change Relating To Resolving Uncompared Transactions. |
| SR Amex 2006-96 |
12/07/07 |
Order Approving Proposed Rule Chang, as Modified by Amendments Nos. 1,2,3,4,5 and 6 Thereto, Relating to the Listing and Trading of Trust Units of the Nuveen Commodities Income Growth Fund. |
| SR Amex 2007-127 |
12/06/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Conforming Changes to Amex Rules Relating to the Amex Book Clerk Program. |
| SR Amex 2007-125 |
12/06/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Riskless Principal and Other Exceptions to Amex Rules Prohibiting Members’ Proprietary Trading While in Possession of Like or Better-Priced Customer Orders. |
| SR Amex 2007-94 |
12/06/07 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Notes Linked to the Performance of the CBOE S&P 500 PutWrite Index (PUT). |
| SR Amex 2007-123 |
12/04/07 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Send P/A Orders Through Linkage Prior to the Opening of Trading. |
| SR Amex 2007-98 |
11/29/07 |
Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Listing and Trading of Units of the United States 12 Month Oil Fund, LP and the United States 12 Month Natural Gas Fund, LP. |
| SR Amex 2007-116 |
11/27/07 |
Notice of Filing of Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, To Harmonize the Annual Listing Fees for All Exchange Traded Funds. |
| SR Amex 2007-117 |
11/26/07 |
Notice of Filing and order Granting Accelerated Approval to Proposed Rule Changes Relating to the Elimination of Class Gate. |
| SR Amex 2006-107 |
11/26/07 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Eliminate Options Specialist Agency Responsibilities and Establish Amex Book Clerks. |
| SR Amex 2007-118 |
11/26/07 |
Notice and Immediate Effectiveness of a Proposed Rule Change Revising the AEMI Rules To Eliminate the Post-Opening Pair-off of Marketable Orders Held in a Message Queue. |
| SR Amex 2007-53 |
11/26/07 |
Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the GreenHaven Continuous Commodity Index Fund. |
| SR Amex 2007-114 |
11/15/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Collection of the Activity Assessment Fee. |
| SR Amex 2007-113 |
11/14/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Previously Approved Rules Relating To a New Class of Off-Floor Market Maker Called Designated Amex Remote Traders. |
| SR Amex 2007-65 |
11/14/07 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Definition of a Complex Trade. |
| SR Amex 2007-111 |
11/06/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enable Settlements of Disciplinary Matters To Be Considered for Approval or Rejection by Exchange Hearing Officers Without the Need To Convene a Formal Hearing. |
| SR Amex 2007-74 |
11/01/07 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of Funds of the Rydex ETF Trust. |
| SR Amex 2007-35 |
10/18/07 |
Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Criteria for Securities That Underlie Options Traded on the Exchange. |
| SR Amex 2007-87 |
10/16/07 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Section 107 of the Amex Company Guide To Provide an Exception to the Initial Minimum Public Distribution Listing Requirement. |
| SR Amex 2007-108 |
10/16/07 |
Notice of Filing of Proposed Rule Change to Increase the Annual Listing Fees for Certain Stock Issues of Listed Companies. |
| SR Amex 2007-56 |
10/16/07 |
Notice of Filing of Proposed Rule Change Relating to Resolving Uncompared Transactions. |
| SR Amex 2007-90 |
10/10/07 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Fee on a Listed Company That Changes Its Corporate Name or Ticker Symbol. |
| SR Amex 2007-48 |
10/10/07 |
Order Approving Proposed Rule Change Modifying the Options Listing Criteria for Underlying Securities. |
| SR Amex 2007-60 |
10/09/07 |
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of Shares of Eight Funds of the ProShares Trust Based on International Equity Indexes. |
| SR Amex 2007-65 |
10/04/07 |
Notice of Filing of Proposed Rule Changes Relating to the Definition of a Complex Trade; NYSE Arca, Inc.: Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Definition of a Complex Trade. |
| SR Amex 2007-96 |
10/03/07 |
Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to an Extension and Expansion of the Options Quoting Pilot Program. |
| SR Amex 2007-102 |
10/02/07 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Requirements for Listing Commodity-Linked Securities and Currency-Linked Securities. |
| SR Amex 2007-101 |
10/01/07 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Trade Currency Trust Shares of Seven Currency Trusts Pursuant to Unlisted Trading Privileges. |
| SR Amex 2007-99 |
10/01/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Deletion of Certain Rules That the Amex has Determined Are Obsolete, Outdated, or Unnecessary. |
| SR Amex 2007-97 |
10/01/07 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Changes in the Name and Investment Objective to the PowerShares DB Precious Metals Fund, the PowerShares DB Gold Fund, and the PowerShares DB Silver Fund. |
| SR Amex 2007-105 |
09/28/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require That the AEMI Trading Platform Function To Assure Compliance With the Exchange's Priority and Parity Rules. |
| SR Amex 2007-103 |
09/28/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Quoting Obligations in Long Term Options. |
| SR Amex 2007-54 |
09/25/07 |
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Amendments to Exchange Training and Examination Requirements. |
| SR Amex 2007-24 |
09/25/07 |
Order Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto To Retroactively Amend Transaction Charges for Equities, ETFs, and Nasdaq UTP Securities. |
| SR Amex 2006-96 |
09/25/07 |
Notice of Filing of a Proposed Rule Change, as Modified by Amendments No. 1, 2, 3, 4, 5, and 6 Thereto, Relating to the Listing and Trading of Shares of the Nuveen Commodities Income and Growth Fund. |
| SR Amex 2007-85 |
09/24/07 |
Order Approving a Proposed Rule Change To Establish a New Class of Off-Floor Market Makers in ETFs and Equities Called Designated Amex Remote Traders. |
| SR Amex 2007-80 |
09/18/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Member Floor Fees. |
| SR Amex 2007-84 |
09/14/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Commentary .02 to Amex Rule 950–ANTE(d). |
| SR Amex 2007-40 |
09/12/07 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Options Quote Size Mitigation. |
| SR Amex 2007-81 |
09/11/07 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Eliminate Position and Exercise Limits for Options on the Russell 2000 Index, and To Specify That Certain Reduced-Value Options on Broad-Based Security Indexes Have No Position and Exercise Limits Pursuant to Section. |
| SR Amex 2007-95 |
09/07/07 |
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Execution of NDX and RUT Combination Orders. |
| SR Amex 2007-35 |
09/06/07 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to the Criteria for Securities That Underlie Options Traded on the Exchange. |
| SR Amex 2007-93 |
09/05/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Directed Order Participant Transaction Charge Rebate Program. |
| SR Amex 2007-92 |
09/05/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Payment for Order Flow Plan To Apply the Current Marketing Fee to Orders Sent to Directed Order Participants. |
| SR Amex 2007-59 |
08/31/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Process for the Waiver, Deferral, or Rebate of Initial Listing Fees for Certain Securities That Transfer From Another National Securities Exchange. |
| SR Amex 2007-90 |
08/31/07 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Fee on a Listed Company That Changes Its Corporate Name or Ticker Symbol. |
| SR Amex 2007-48 |
08/31/07 |
Notice of Filing of Proposed Rule Change Modifying the Options Listing Criteria for Underlying Securities. |
| SR Amex 2007-96 |
08/29/07 |
Notice of Filing of Proposed Rule Change Relating to an Extension of the Options Penny Quoting Pilot Program. |
| SR Amex 2007-72 |
08/24/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Elimination of the Short Sale ‘‘tick’’ and Price Tests. |
| SR Amex 2007-91 |
08/22/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add an Additional Exemption to Rule 24-AEMI Relating to Intermarket Sweep Orders. |
| SR Amex 2007-86 |
08/22/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program That Increases Position and Exercise Limits for Equity Options and Options on the Nasdaq-100 Tracking Stock. |
| SR Amex 2007-75 |
08/22/07 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Establish a Directed Order Program. |
| SR Amex 2007-77 |
08/21/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain Exchange Rules Prohibiting the Entering of Limit Orders on Both Sides of the Market on a Regular and Continuous Basis. |
| SR Amex 2004-27 |
08/20/07 |
Notice of Filing of Amendment No. 4 to a Proposed Rule Change and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 2, 3, and 4 Thereto, Relating to the Listing and Trading of Fixed Return Options. |
| SR Amex 2007-24 |
08/17/07 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Retroactively Amend Transaction Charges for Equities, ETFs, and Nasdaq UTP Securities. |
| SR Amex 2007-85 |
08/16/07 |
Notice of Filing of Proposed Rule Change To Establish a New Class of Off-Floor Market Makers in ETFs and Equities Called Designated Amex Remote Traders. |
| SR Amex 2007-78 |
08/15/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 520 in Order To Clarify Reporting Requirements. |
| SR Amex 2007-60 |
08/15/07 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Shares of Eight Funds of the ProShares Trust Based on International Equity Indexes. |
| SR Amex 2007-74 |
08/14/07 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Shares of Funds of the Rydex ETF Trust. |
| SR Amex 2007-58 |
08/13/07 |
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change Modifying an Aspect of the Definition of Independent Director. |
| SR Amex 2007-38 |
08/09/07 |
Order Approving Proposed Rule Change Amending Preferred Stock Voting Rights. |
| SR Amex 2007-63 |
08/01/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Order Cancellation Fee. |
| SR Amex 2007-73 |
07/26/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the iShares Russell 2000 Index Fund Option Pilot Program until January 18, 2008. |
| SR Amex 2007-64 |
07/26/07 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to an Extension of the Linkage Fee Pilot Program. |
| SR Amex 2007-66 |
07/13/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Quarterly Options Series Pilot Program. |
| SR Amex 2007-55 |
07/10/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Options SROT Fee Rebate Program. |
| SR Amex 2007-69 |
07/06/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees Charged to Member Organizations for Transactions in Equity Securities. |
| SR Amex 2007-68 |
07/06/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees Charged to Member Organizations for Transactions in Exchange-Traded Funds and To Implement a Revenue Sharing Program for Specialists in Exchange-Traded Funds. |
| SR Amex 2007-61 |
07/02/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Method by Which Specialists Execute Odd-Lot Market Orders in Rule 205—AEMI. |
| SR Amex 2007-57 |
07/02/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Extension of the Pilot Period Applicable to the Listing and Trading of Options on the iShares MSCI Emerging Markets Index. |
| SR Amex 2007-38 |
07/02/07 |
Notice of Filing of Proposed Rule Change Amending Preferred Stock Voting Rights. |
| SR Amex 2007-44 |
06/27/07 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Amend Section 107D of the Company Guide. |
| SR Amex 2007-42 |
06/27/07 |
Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 To Lower the Required Number of Letters of Reference an Applicant Must Provide. |
| SR Amex 2007-13 |
06/21/07 |
Order Approving Proposed Rule Change as Modified by Amendment No. 1 Relating to the Codification of Exchange Policy Regarding Specialist Commissions. |
| SR Amex 2007-49 |
06/14/07 |
Notice of Filing of Proposed Rule Change Relating to the Adoption of Market Data Fees for AMEX Real-Time Trade Price Service. |
| SR Amex 2006-17 |
06/13/07 |
Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto, Relating to Procedures for At-Risk Cross Transactions. |
| SR Amex 2007-51 |
06/12/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Backup Trading Arrangements. |
| SR Amex 2004-27 |
06/07/07 |
Notice of Filing of a Proposed Rule Change as Modified by Amendment Nos. 2 and 3 Thereto Relating to the Listing and Trading of Fixed Return Options. |
| SR Amex 2006-99 |
06/06/07 |
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to Reverse Mergers and Shareholder Approval for Change of Control Situations. |
| SR Amex 2007-52 |
06/04/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Floor Broker Zone Requirements in AEMI. |
| SR Amex 2007-29 |
05/23/07 |
Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Notes Linked to the Performance of the Dow Jones-AIG Commodity Index Total Return. |
| SR Amex 2007-47 |
05/21/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Method By Which Specialists on the Exchange Execute Odd-Lot Market Orders Under Rule 205—AEMI. |
| SR Amex 2007-42 |
05/18/07 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Amending the Required Number of Letters of Reference an Applicant Must Provide. |
| SR Amex 2007-34 |
05/16/07 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Amendments to Section 107 of the Company Guide. |
| SR Amex 2006-17 |
05/14/07 |
Notice of Filing of Amendment Nos. 3 and 4 Relating to Procedures for At-Risk Cross Transactions. |
| SR Amex 2007-43 |
05/11/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a One-Year Extension of the $1 Strike Price Pilot Program. |
| SR Amex 2007-41 |
05/08/07 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Continuation of a Quote Assist Feature in the ANTE System on a Pilot Program Basis. |
| SR Amex 2006-114 |
05/03/07 |
Order Granting Approval to a Proposed Rule Change as Modified by Amendment No. 1 Thereto Clarifying the Continued Listing Standards for Units. |
| SR Amex 2007-22 |
05/02/07 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend The Minor Rule Violation Fine Systems. |
| SR Amex 2007-39 |
05/01/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Additional Exceptions to Rule 126A– AEMI Relating to the Generation of Intermarket Sweep Orders. |
| SR Amex 2007-29 |
05/01/07 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Notes Linked to the Performance of the Dow Jones-AIG Commodity Index Total Return. |
| SR Amex 2007-09 |
04/26/07 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to the Listing and Trading of Options on Vanguard Emerging Markets ETF. |
| SR Amex 2007-04 |
04/24/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Buy-In Rules. |
| SR Amex 2007-32 |
04/20/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Shorten the Minimum Required Time Periods Required Between Tape Indications and Openings or Reopenings. |
| SR Amex 2006-112 |
04/20/07 |
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Units of the United States Natural Gas Fund, LP. |
| SR Amex 2007-31 |
04/18/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Transaction Charges for Equities, ETFs, and Nasdaq UTP Securities. |
| SR Amex 2007-33 |
04/13/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Allocation and Performance Evaluation Procedures for Securities Admitted to Dealings on an Unlisted Basis. |
| SR Amex 2006-107 |
04/13/07 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amex Book Clerks. |
| SR Amex 2006-110 |
04/04/07 |
Order Granting Approval of Proposed Rule Change Relating to Options Based on Commodity Pool ETFs. |
| SR Amex 2007-07 |
04/03/07 |
Approving a Proposed Rule Change Revising Existing Rules for Portfolio Depositary Receipts and Index Fund Shares. |
| SR Amex 2007-21 |
04/02/07 |
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes; Boston Stock Exchange, Inc.; International Securities Exchange, LLC; NYSE Arca, Inc.; and Philadelphia Stock Exchange, Inc.: Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to Linkage Orders. |
| SR Amex 2007-13 |
04/02/07 |
Notice of Filing of Proposed Rule Change Relating to Exchange Rules Regarding Specialist Commissions. |
| SR Amex 2007-27 |
03/27/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to an Amendment to the Options Marketing Fee. |
| SR Amex 2007-22 |
03/27/07 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Its Minor Rule Violation Fine Systems. |
| SR Amex 2006-114 |
03/22/07 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Clarifying the Continued Listing Standards for Units. |
| SR Amex 2006-99 |
03/22/07 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Reverse Mergers. |
| SR Amex 2007-23 |
03/21/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Transaction Charges for Equities, ETFs, and Nasdaq UTP Securities. |
| SR Amex 2007-30 |
03/20/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Transaction Charges for Equities and ETFs. |
| SR Amex 2007-28 |
03/20/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Transaction Charges for Equities, ETFs, and Nasdaq UTP Securities. |
| SR Amex 2007-08 |
03/20/07 |
Order Granting Approval of a Proposed Rule Change to Establish a Passive Price Improvement Order for Specialists and Registered Traders. |
| SR Amex 2006-118 |
03/15/07 |
Notice of Filing of Amendment Nos. 2 and 3 to Proposed Rule Change Relating to Generic Listing Standards for Series of Portfolio Depositary Receipts and Index Fund Shares Based on Fixed Income Indexes and Accelerated Approval of Proposed Rule Change as Amended. |
| SR Amex 2007-17 |
03/09/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Revising the AEMI and AEMI–One Rules Relating to Portfolio Depositary Receipts and Index Fund Shares. |
| SR Amex 2007-26 |
03/07/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the AEMI and AEMI–One Rules Relating to the Publishing of Manual Quotations and Re-Enabling Auto-Ex. |
| SR Amex 2006-112 |
03/07/07 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to the Listing and Trading of Units of the United States Natural Gas Fund, LP. |
| SR Amex 2007-18 |
03/05/07 |
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto To Provide for an Optional Exchange-Provided Fingerprinting Service and To Amend Its Member Fees To Include a Processing Fee for the Fingerprinting Service. |
| SR Amex 2007-16 |
02/28/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to an Amendment to the Options Marketing Fee. |
| SR Amex 2007-14 |
02/28/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Fee Schedule. |
| SR Amex 2006-86 |
02/26/07 |
Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to the Listing and Trading of Shares of the PowerShares DB U.S. Dollar Index Bullish Fund and the PowerShares DB U.S. Dollar Index Bearish Fund. |
| SR Amex 2007-19 |
02/13/07 |
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the AEMI Rules to Conform to Changes Previously Made to the AEMI-One Rules for the Pilot. |
| SR Amex 2006-77 |
02/20/07 |
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto To Amend Rules 918 and 918–Ante Regarding Trading Rotations, Halts and Suspensions. |
| SR Amex 2006-90 |
02/13/07 |
Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To List and Trade Notes Linked to the Performance of the Hang Seng China Enterprises Index. |
| SR Amex 2007-07 |
02/12/07 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Amending Existing Rules for Portfolio Depositary Receipts and Index Fund Shares. |
| SR Amex 2007-15 |
02/09/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program That Increases Position and Exercise Limits for Equity Options and Options on the Nasdaq-100 Tracking Stock. |
| SR Amex 2007-12 |
02/09/07 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Clarification to the Exchange’s Payment for Order Flow Plan. |
| SR Amex 2006-118 |
02/07/07 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Generic Listing Standards for Series of Portfolio Depositary Receipts and Index Fund Shares Based on Fixed Income Indexes. |
| SR Amex 2006-19 |
02/07/07 |
Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Relating to the Listing and Trading of Options on the Nuveen Municipal Fund Index. |
| SR Amex 2006-117 |
02/06/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Transaction Charges for Equities and ETFs. |
| SR Amex 2006-110 |
02/06/07 |
Notice of Filing of Proposed Rule Change Relating to Options Based on Commodity Pool ETFs. |
| SR Amex 2007-08 |
02/02/07 |
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Establish a Passive Price Improvement Order for Specialists and Registered Traders. |
| SR Amex 2006-106 |
02/01/07 |
Order Granting Approval to Proposed Rule Change as Modified by Amendment No. 1 Thereto, Relating to the Adoption of a Penny Pilot Program. |
| SR Amex 2006-111 |
01/31/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Establishment of a Pilot Program Increasing Position and Exercise Limits for Options on the iShares Russell 2000? Index Fund. |
| SR Amex 2006-116 |
01/25/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Amending Associate Member Fees. |
| SR Amex 2006-101 |
01/25/07 |
Order Granting Accelerated Approval to a Proposed Rule Change as Modified by Amendments No. 1 and 2 Thereto Relating to the Listing and Trading of Shares of Funds of the ProShares Trust. |
| SR Amex 2006-86 |
01/24/07 |
Notice of Filing of a Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Relating to the Listing and Trading of Shares of the PowerShares DB U.S. Dollar Index Bullish Fund and the PowerShares DB U.S. Dollar Index Bearish Fund. |
| SR Amex 2006-17 |
01/17/07 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Procedures for At-Risk Cross Transactions. |
| SR Amex 2007-02 |
01/16/07 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fee Changes. |
| SR Amex 2006-119 |
01/16/07 |
Notice of Filing of a Proposed Rule Change Relating to the Definition of Complex Trade as Applied to Trades Through the Options Intermarket Linkage. |
| SR Amex 2006-109 |
01/09/07 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Listing Standards for Series of Portfolio Depositary Receipts and Index Fund Shares. |
| SR Amex 2006-76 |
01/08/07 |
Order Granting Accelerated Approval to Proposed Rule Change as Modified by Amendments No. 1, 2, 3, and 4 Thereto and Notice of Filing of Amendments No. 3 and 4 Relating to the Listing and Trading of the DB Multi-Sector Commodity Trust. |
| SR Amex 2006-98 |
01/05/07 |
Order Approving Proposed Rule Change Relating to the Codification of Exchange Policy Regarding Specialist Commissions. |
| SR Amex 2006-57 |
01/05/07 |
Order Approving Proposed Rule Change Relating To Stop Orders for Exchange Traded Funds and Trust Issued Receipts. |
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