Documents

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange, Inc., Relating to Amendments to Rule 127 (Block Positioning) and Rule 72(b) (``Clean'' Agency Crosses)

Federal Register · Uncategorized Document · Jul 8, 1994

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. 78s(b)(1), notice is hereby given that on March 17, 1994, the New York Stock Exchange, Inc. … clean-up price or better before retaining any stock for its proprietary account.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by Pacific Stock Exchange, Inc., Relating to the Execution of Cross Transactions on the PSE Equities Floors

Federal Register · Uncategorized Document · Oct 25, 1994

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. 78s(b)(1), notice is hereby given that on August 18, 1994, the Pacific Stock Exchange, Inc. … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others Written comments on the proposed rule change were neither solicited nor

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the American Stock Exchange, Inc. Relating to Specialist Participation in the After-Hours Trading Facility in Portfolio Depositary Receipts and Investment Trust Securities Based on Stock Indexes

Federal Register · Uncategorized Document · Jul 12, 1994

Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on April 21, 1993, the American Stock Exchange, Inc. … Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No written comments were solicited or received with respect of the proposed

Self-Regulatory Organizations; Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Addition of Rules 72(b) and 410A to the ``List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A'' and Amending Minor Rule Violation Enforcement and Reporting Plan

Federal Register · Uncategorized Document · Feb 8, 1994

Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received from Members, Participants or Others The Exchange has neither solicited nor received written comments on the … Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing.

Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Granting Approval and Notice and Order Granting Accelerated Approval to Amendments No. 1, 2, and 3 to Proposed Rule Change Relating to Various Rule Revisions Recommended by the Market Regulation Review Committee of the New York Stock Exchange

Federal Register · Uncategorized Document · Jun 24, 1994

\7\Both comment letters were supportive of the work done by the Market Regulation Review Committee in developing the changes. … The Rule further provides that when a specialist participates as a dealer in the block at the ``clean-up'' price, the specialist must give all the executable orders that he is holding the ``clean-up''

Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change Relating to Amendments to Rule 127 (Block Positioning) and Rule 72(b) (``Clean'' Agency Crosses)

Federal Register · Uncategorized Document · Dec 21, 1994

\2\17 CFR 240.19b-4 (1993). --------------------------------------------------------------------------- The proposed rule change was published for comment in Securities Exchange Act Release No … No comments were received on the proposal. II.

Self-Regulatory Organizations; Pacific Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change Providing for the Execution of Cross Transactions on the PSE Equities Floor

Federal Register · Uncategorized Document · Dec 27, 1994

(``PSE'' or ``Exchange'') submitted to the Securities and Exchange Commission (``SEC'' or ``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')1 and Rule 19b-4 … No comments were received on the proposal.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to the Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to the Listing of Options on the Phlx Airlines Sector Index

Federal Register · Uncategorized Document · Dec 28, 1994

The Index is composed of the stocks of 12 domestic passenger air carriers which, the Exchange represents, effectively represent the available domestic air transportation industry.\3\ The Exchange also … (C) Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No written comments were solicited or received with respect to the

Self-Regulatory Organizations; Midwest Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to Proposed Rule Change Relating to Agency Crosses Between the Disseminated Exchange Market

Federal Register · Uncategorized Document · Mar 10, 1994

in Securities Exchange Act Release No. 33500 (January 21, 1994), 59 FR 4128 (January 28, 1994). … Finally, the interpretation the MSE proposes to adopt is substantially similar to the rules of several other exchanges that were published in the Federal Register for the full comment period and were approved

Self-Regulatory Organizations; American Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 to Proposed Rule Change Relating to Priority of Agency Orders to Cross Blocks of 25,000 Shares or More Under Rule 126(g), Commentary .01 and .02.

Federal Register · Uncategorized Document · May 26, 1994

The Commission received no comment letters. This order approves the proposed rule change, including Amendment No. 1. II. … \14\See Securities Exchange Act Release No. 31343 (October 21, 1992), 57 FR 48645 (October 27, 1992) (File No. SR-NYSE-90-39) (``NYSE Clean Cross Order'').

Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to Proposed Rule Change Relating to Trades One or Two Points Away From the Last Sale and To Stop Orders

Federal Register · Uncategorized Document · Jun 7, 1994

No comments were received on the proposal. II. … official approval when a specialist elects stop orders through his own bid or offer are intended to address, in part, the situation where a specialist has an accumulation of stop orders and desires to ``clean

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange, Inc. Relating to the Listing of Options on the Amex Airline Index

Federal Register · Uncategorized Document · Dec 19, 1994

Lines Inc., KLM Royal Dutch Air, Alaska Airgroup Inc., Continental Airlines Inc. … (C) Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No written comments were solicited or received with respect to the

Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'')

Federal Register · Uncategorized Document · Dec 16, 1994

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26183] Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'') December 9, 1994. … Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by January 3, 1995, to the Secretary, Securities and Exchange

Filings Under the Public Utility Holding Company Act of 1935 (``Act'')

Federal Register · Uncategorized Document · Jun 17, 1994

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26064] Filings Under the Public Utility Holding Company Act of 1935 (``Act'') June 10, 1994. … Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by July 5, 1994, to the Secretary, Securities and Exchange Commission

Self-Regulatory Organizations; Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Non-member Access to SelectNet

Federal Register · Uncategorized Document · Apr 28, 1994

Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on March 31, 1994 the National Association of Securities Dealers, Inc. … Discussions have fully aired the concerns of members with permitting disclosure to non-members of order information in an NASD-operated order negotiation system.

Request for Comments on Modernization of the Regulation of Public-Utility Holding Companies

Federal Register · Uncategorized Document · Nov 8, 1994

The Federal Aviation Act, for example, establishes percentage limitations on board membership and voting interests in determining whether an air carrier is considered a United States citizen.88 ------- … Administrative Policy During the Period of Reexamination During the pendency of the review of comments elicited by this release, and while awaiting adoption of such legislative or administrative amendments

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Procedures for Large and Complex Arbitration Cases

Federal Register · Uncategorized Document · Nov 29, 1994

Pursuant to section19(b)(1) of the Securities Exchange Act of 1934 (``Act''), 15 U.S.C. 78s(b)(1), notice is hereby given that on November 18, 1994, the National Association of Securities Dealers, Inc. … The Commission requests that, in addition to any general comments concerning whether the proposed rule change is consistent with Section 15A(b)(6) of the Act, commentators address the following: Commenters

Filings Under the Public Utility Holding Company Act of 1935 (``Act'')

Federal Register · Uncategorized Document · Jun 14, 1994

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26063] Filings Under the Public Utility Holding Company Act of 1935 (``Act'') June 7, 1994. … Each offering under the plan consists of an offering period of 26 months.

Filings Under the Public Utility Holding Company Act of 1935 (``Act'')

Federal Register · Uncategorized Document · Mar 18, 1994

Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by April 4, 1994 to the Secretary, Securities and Exchange Commission … EEIC contemplates that it will engage in research relative to new generation technology, new transformer efficiency and design, air quality management, and electric vehicle development.

Filing Under the Public Utility Holding Company Act of 1935 (``Act'')

Federal Register · Uncategorized Document · Aug 26, 1994

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26107] Filing Under the Public Utility Holding Company Act of 1935 (``Act'') August 19, 1994. … Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by September 12, 1994 to the Secretary, Securities and Exchange