 |
| File Number | Date Filed | Description |
|---|
|
|
|
|
Notice of Filing of Proposed Rule Change Related to Section 107D(g) of the Amex Company Guide. |
|
|
|
Proposal to Amend Commentary .10 to Amex Rule 584 to Delete the Reference to the Weekly Bulletin. |
|
|
|
Proposal to reduce Amex clearing charges for orders in equities and ETFs routed to and executed on another market center from 7 cents to 4 cents per hundred shares. |
|
|
|
Proposal to revise the Amex options specialist minimum financial requirements. |
|
|
|
Proposal to make certain non-substantive housekeeping changes to Amex rules, to conform to the recent approval of the Amex Book Clerk ("ABC") program. |
|
|
|
Proposal to amend various Amex rules to recent Securities and Exchange Commission ("SEC" or the "Commission") amendments to Rule 10a-1 under the Securities and Exchange Act of 1934 (the "1934 Act") that will eliminate SEC and self-regulatory organization ("SRO") short sale "tick" and price tests, as well as eliminate the requirement, under rule 200(g) of Regulation SHO, that a broker dealer mark a sell order as "short exempt" if the seller is relying on an exemption from the price test of Rule 10a-1. |
|
|
|
Proposal relating to Amex rules against members proprietary trading while in possession of like or better-priced customer orders. |
|
|
|
Proposal to adopt new Rule 996-ANTE providing for the limited liability of the Exchange in connection with the actions of Amex Book Clerks ("ABCs"). |
|
|
|
Proposal revising the AEMI rules to eliminate the post-opening pair-off of marketable orders held in the message queue. |
|
|
|
Proposal relating to the Collection of Section 31 Fees. |
|
|
|
Proposal to Delete Previously Approved Rules Relating to a New Class of Off Floor Market Makers Called Designated Amex Remote Traders. |
|
|
|
Proposal to enable proposed settlements of disciplinary matters to be considered by Exchange hearing officers without convening a formal hearing. |
|
|
|
Proposal to Require That Its AEMI Trading Platform Function to Assure Compliance With The Exchange’s Priority And Parity Rules. |
|
|
|
Proposal to Limit the Expirations that are Included in a ROT’s, SROT’s, and RROT’s Minimum Quoting Requirements. |
|
|
|
Options Directed Order Participant Transaction Charge Rebate Program. |
|
|
|
Amends the Payment for Order Flow Plan to Apply the Current Marketing Fee to Orders Sent to Directed Order Participants. |
|
|
|
Proposal to amend the Amex Company Guide to clarify that the Amex may delist or deny initial listing to an issuer for misrepresenting material information to the Amex or for failing to provide the Amex with requested information within a reasonable period of time. |
|
|
|
Proposal To Extend The Pilot Program That Increases Position And Exercise Limits For Equity Options And Options On The Nasdaq–100 Tracking Stock. |
|
|
|
Proposal to amend Commentary .02 to Rule 950-ANTE (d) to permit the member firm guarantee to apply to certain specified solicited orders. |
|
|
|
Refiling of the proposal to revise the Amex Floor Fee Schedule. |
|
|
|
Proposal to clarify the reporting requirements of Rule 520 (Options and Selling Agreements). |
|
|
|
Proposal To Eliminate The Prohibition On The Entering Of Certain Limit Orders In Exchange Traded Fund Shares And Other Equity Derivative Products Into The Exchanges Trading Systems. |
|
|
|
Proposal to Extend the Penny Quoting Pilot Program thru September 27, 2007. |
|
|
|
Proposal Relating Fees Charged to Member Organizations for Transactions in Equity Securities. |
|
|
|
Proposal Relating to Fees Charged to Member Organizations for Transactions in ETFs. |
|
|
|
Proposal To Amend AEMI Rules To Prohibit Specialist Firms From Charging Commissions On Transactions In Exchange Traded Fund Shares. |
|
|
|
One-Year Extension of the Pilot Program to List and Trade Quarterly Options Series. |
|
|
|
Proposal to revise the options order cancellation fee. |
|
|
|
Proposal to extend the period for Short Term Options Series pilot program thru 7/12/08. |
|
|
|
Proposal to Clarify the Method by Which Specialists Execute Odd-Lot Market Orders in Rule 205 AEMI. |
|
|
|
Proposal to Establish a Process for the Waiver, Deferral, or Rebate of Initial Listing Fees for Certain Securities That Transfer from Another National Securities Exchange. |
|
|
|
Proposal to Extend the Pilot Period Applicable to the Listing and Trading of Options on the iShares MSCI Emerging Markets Index thru December 31, 2007. |
|
|
|
Proposes to establish fee rebates applicable to supplemental registered options traders (“SROTs”). |
|
|
|
Floor Broker Zone Requirements in AEMI. |
|
|
|
Proposal to establish Backup Trading Arrangements. |
|
|
|
Proposal to Change the Method By Which Specialists on the Exchange Execute Odd-Lot Market Orders Under Rule 205—AEMI. |
|
|
| 05/01/07 |
| 06/14/07 |
| 05/21/07 |
|
Proposal to amend Section 107D(g) of the Amex Company Guide to expand the permissible component foreign securities and ADRs that may be components of an underlying index in connection with index-linked securities. |
|
|
|
One-Year Extension of the $1 Strike Price Pilot Program. |
|
|
|
Proposal to Add Additional Exceptions to Rule 126A—AEMI Relating to the Generation of Intermarket Sweep Orders. |
|
|
|
Proposal to modify its Member Fee Schedule to provide for an application processing fee for inter-firm changes or dual registration of firm additions. |
|
|
|
Proposal relating to the extension of the allocation and performance evaluation procedures for securities admitted to dealings on an unlisted basis. |
|
|
|
Proposal to shorten the minimum required time periods required between Tape Indications and Openings or Reopenings. |
|
|
|
Proposal to revise the equities, Exchange Traded Funds and Trust Issued Receipts (“ETFs”) and Nasdaq UTP Fee Schedules (collectively, the “Fee Schedule”) to eliminate the five percent discount applied to each firm’s total charges for customer orders in equities, ETFs and Nasdaq UTP securities. |
|
|
|
Proposal Revising the AEMI and AEMI-One Rules Relating to the Publishing of Manual Quotations and Re-Enabling Auto-Ex. |
|
|
|
Proposal relating to transactions charges for Equities, ETFs, and Nasdaq UTP securities. |
|
|
|
Proposed Rule Change Relating to Buy-In Rules. |
|
|
|
Modifying Listing Fees for Transferring and Dual Listing Issuers and Reverse Mergers. |
|
|
|
Proposal to modify its Options Fee Schedule. |
|
|
|
Extension of the Pilot Period Applicable to the Listing and Trading of Options on the iShares MSCI Emerging Markets Index. |
|
