1998 Exchange Regulatory Circulars

File number: RG98-67
Date filed: June 19, 1998
Description:

RG98-067 Quarterly Closing Rotation on June 30, 1998

File number: RG98-66
Date filed: June 14, 1998
Description:

RG98-066 Premier Laser Systems Inc. (PLSIA/JTQ)

File number: RG98-65
Date filed: June 11, 1998
Description:

RG98-065 Member Education Seminars

File number: RG98-64
Date filed: June 10, 1998
Description:

RG98-064 Long Term Options on Chrysler Corporation (LCR)

File number: RG98-63
Date filed: May 5, 1998
Description:

RG98-063 Electronic FOCUS Filing for Net Capital Computing Member Firms

File number: RG98-48
Date filed: February 3, 1998
Description:

RG98-048 Guidelines Pertaining to Transfers of Interests in DPM Appointments Under New Rule 8.89

File number: RG98-44
Date filed: April 30, 1998
Description:

RG98-044 Type of Orders Permitted on the Exchange?s Public Limit Order Book

File number: RG98-149
Date filed: December 30, 1998
Description:

RG98-149 Options on Vanguard Call Systems Inc. (VCQ)

File number: RG98-148
Date filed: December 29, 1998
Description:

RG98-148 Membership Application and Other Membership Fees (RG98-37 Revised)

File number: RG98-147
Date filed: December 29, 1998
Description:

RG98-147 Order Routing of Broker-Dealer and Firm Orders

File number: RG98-146
Date filed: December 29, 1998
Description:

RG98-146 Order Routing of Broker-Dealer and Firm Orders

File number: RG98-145
Date filed: December 29, 1998
Description:

RG98-145 Order Origin Code Requirements

File number: RG98-144
Date filed: December 21, 1998
Description:

RG98-144 Margin and Capital Requirements for Options on the Dow Jones High-Yield Select 10 Index ("MUT")

File number: RG98-143
Date filed: December 16, 1998
Description:

RG98-143 Trade Match Delayed Submission Fee

File number: RG98-142
Date filed: December 16, 1998
Description:

RG98-142 Supplement to the Options Disclosure Document

File number: RG98-141
Date filed: December 10, 1998
Description:

RG98-141 Options on ONSALE, Inc. (QOL) (Revised by RG99-10)

File number: RG98-140
Date filed: December 10, 1998
Description:

RG98-140 Termination of CBOE/CBOT Joint Venture Agreement

File number: RG98-139
Date filed: December 8, 1998
Description:

RG98-139 Option Trading Permit Lease Pool Procedures (RG98-50 Revised)

File number: RG98-138
Date filed: December 10, 1998
Description:

RG98-138 Closing Rotation on 12/31/98

File number: RG98-136
Date filed: December 7, 1998
Description:

RG98-136 PHP Healthcare Corporation (PPH)

File number: RG98-135
Date filed: December 4, 1998
Description:

RG98-135 Options on Amazon.Com, Inc. (ZQN)

File number: RG98-134
Date filed: December 3, 1998
Description:

RG98-134 Re-Balance of Nasdaq-100 Index

File number: RG98-133
Date filed: December 4, 1998
Description:

RG98-133 Prohibition on Clerk Trading

File number: RG98-132
Date filed: December 15, 1998
Description:

RG98-132 Abbreviated Processing Schedule

File number: RG98-131
Date filed: December 1, 1998
Description:

RG98-131 December 24, 1998, Early Exercise Advice Cutoff Time

File number: RG98-130
Date filed: November 30, 1998
Description:

RG98-130 Options on Yahoo! Inc. (YHQ)

File number: RG98-129
Date filed: November 30, 1998
Description:

RG98-129 Options on Goldman Sachs Internet Index (GIN)

File number: RG98-128
Date filed: November 25, 1998
Description:

RG98-128 Gratuities?Rule 4.4

File number: RG98-127
Date filed: November 25, 1998
Description:

RG98-127 Options on Daimler-Benz Aktiengesellschaft ADR (DAI)

File number: RG98-126
Date filed: November 19, 1998
Description:

RG98-126 Firm Quote Not Applicable to Spreads and Straddles in Indexes

File number: RG98-125
Date filed: November 18, 1998
Description:

RG98-125 November 27, 1998, Early Exercise Advice Cutoff Time

File number: RG98-124
Date filed: November 17, 1998
Description:

RG98-124 Abbreviated Processing Schedule

File number: RG98-123
Date filed: November 11, 1998
Description:

RG98-123 Violations of Trading Conduct and Decorum Policies

File number: RG98-122
Date filed: November 9, 1998
Description:

RG98-122 Independent Contractors

File number: RG98-121
Date filed: November 6, 1998
Description:

RG98-121 RAES Expansion in Equities to 20 Contracts

File number: RG98-120
Date filed: November 4, 1998
Description:

RG98-120 Membership Vote on Restructured DPM Rules

File number: RG98-119
Date filed: October 30, 1998
Description:

RG98-119 RAES Series Guidelines in SPX

File number: RG98-118
Date filed: October 26, 1998
Description:

RG98-118 Options on the Russell 2000 Index (RUT & RUZ)

File number: RG98-117
Date filed: October 23, 1998
Description:

RG98-117 RAES Expansion in Equities

File number: RG98-116
Date filed: October 15, 1998
Description:

RG98-116 Market-Maker Letters of Guarantee

File number: RG98-115
Date filed: October 14, 1998
Description:

RG98-115 Responsibility to Make a Market

File number: RG98-114
Date filed: October 16, 1998
Description:

RG98-114 Salomon Smith Barney Holdings Inc. Principal-Protected Equity Linked Notes based upon the FTSE Eurotop 100 Index, due * , 2005

File number: RG98-113
Date filed: October 16, 1998
Description:

RG98-113 Salomon Smith Barney Holdings Inc. Principal-Protected Equity Linked Notes based upon the Russell 2000© Index, due * , 2005

File number: RG98-112
Date filed: October 16, 1998
Description:

RG98-112 Salomon Smith Barney Holdings Inc. Principal-Protected Equity Linked Notes based upon the S&P 500© Index, due * , 2005

File number: RG98-111
Date filed: October 15, 1998
Description:

RG98-111 Salomon Smith Barney Holdings Inc. Principal-Protected Equity Linked Notes based upon the Latin 15? Index, due * , 2005

File number: RG98-110
Date filed: October 15, 1998
Description:

RG98-110 Salomon Smith Barney Holdings Inc. Principal-Protected Equity Linked Notes based upon the Nikkei 225 Index, due * , 2003

File number: RG98-11
Date filed: January 29, 1998
Description:

RG98-011 Circuit Breaker Trading Halt Procedures

File number: RG98-109
Date filed: October 15, 1998
Description:

RG98-109 Salomon Smith Barney Holdings Inc. Principal-Protected Equity Linked Notes based upon the Asia Tiger 100? Index, due * , 2005

File number: RG98-108
Date filed: October 9, 1998
Description:

RG98-108 Options on Daimler-Benz Aktiengesellschaft ADR (DAI)

File number: RG98-107
Date filed: October 9, 1998
Description:

RG98-107 Rule 2.30, Fee for Delayed Submission of Trade Information

File number: RG98-106
Date filed: October 8, 1998
Description:

RG98-106 DPM Participation Rights

File number: RG98-105
Date filed: October 5, 1998
Description:

RG98-105 Limited RAES exemption involving merger between Northern Telecom and Bay Networks, Inc.

File number: RG98-104
Date filed: October 1, 1998
Description:

RG98-104 Inter-Exchange Procedures in Volatile Markets for Fourth Quarter 1998

File number: RG98-103
Date filed: September 30, 1998
Description:

RG98-103 Quarterly Closing Rotation on September 30, 1998

File number: RG98-102
Date filed: September 30, 1998
Description:

RG98-102 Effective October 5, 1998 20 Up on RAES for OEX and NDX

File number: RG98-101
Date filed: September 28, 1998
Description:

RG98-101 Market Maker Terminal - Electronic Trade Notifications

File number: RG98-100
Date filed: September 24, 1998
Description:

RG98-100 Minimum Opening Transaction Size in FLEX Equity Options

File number: RG98-10
Date filed: January 27, 1998
Description:

RG98-010 Operational Changes Due to Electronic Trade Notifications

File number: RG98-099
Date filed: September 18, 1998
Description:

RG98-099 Options on AMP Inc. (AMP)

File number: RG98-098
Date filed: September 23, 1998
Description:

RG98-098 Electronic Re-routing of Live Ammo Orders and BestQuote for Non-AutoQuote Series

File number: RG98-097
Date filed: September 23, 1998
Description:

RG98-097 Electronic Re-routing of Live Ammo Orders and BestQuote for Non-AutoQuote Series

File number: RG98-096
Date filed: September 14, 1998
Description:

RG98-096 Reporting Unusual Activity

File number: RG98-095
Date filed: September 9, 1998
Description:

RG98-095 Joint Account Trading in OEX, SPX and DJX Indexes (RG97-137 Revised)

File number: RG98-094
Date filed: September 9, 1998
Description:

RG98-094 Joint Account Participant Trading in Equity Options (RG96-28 Revised)

File number: RG98-093
Date filed: September 2, 1998
Description:

RG98-093 Member Education Seminars (RG98-85 Reissued)

File number: RG98-091
Date filed: August 28, 1998
Description:

RG98-091 RAES Eligibility in OEX and DJX

File number: RG98-090
Date filed: August 24, 1998
Description:

RG98-090 S&P 100 Index and American-Style Flex Index Option Exercise Procedures (RG96-95 Revised)

File number: RG98-09
Date filed: January 20, 1998
Description:

RG98-009 OEX Telephone Policy

File number: RG98-089
Date filed: August 24, 1998
Description:

RG98-089 Market-Maker Letters of Guarantee (Revised by RG98-116)

File number: RG98-088
Date filed: August 18, 1998
Description:

RG98-088 Option Trading Permit Lease Pool Procedures (RG98-26 Revised, Revised by RG99-62)

File number: RG98-087
Date filed: August 18, 1998
Description:

RG98-087 FPA Medical Management Inc.

File number: RG98-086
Date filed: August 17, 1998
Description:

RG98-086 Exercise Cutoff Time for Expiring Ciena Corporation, Inc. (EUQ) Options

File number: RG98-085
Date filed: August 11, 1998
Description:

RG98-085 Member Education Seminars

File number: RG98-084
Date filed: August 11, 1998
Description:

RG98-084 Exercise During Volatile Market Conditions (RG91-11 Revised)

File number: RG98-083
Date filed: August 4, 1998
Description:

RG98-083 20-Contract Limit for RAES in Multiple-List Classes

File number: RG98-082
Date filed: July 28, 1998
Description:

RG98-082 RAES NBBO Reject Shutoff Without a Fast Market

File number: RG98-081
Date filed: July 28, 1998
Description:

RG98-081 Trade Match Input Cutoff Changes

File number: RG98-080
Date filed: July 22, 1998
Description:

RG98-080 Book Priority on RAES NBBO Step-Ups

File number: RG98-08
Date filed: January 27, 1998
Description:

RG98-008 Electronic Book BUY-SIDE Price Reporting

File number: RG98-079
Date filed: July 13, 1998
Description:

RG98-079 Reverse Rotations

File number: RG98-078
Date filed: July 20, 1998
Description:

RG98-078 Position and Exercise Limits

File number: RG98-077
Date filed: July 7, 1998
Description:

RG98-077 DPM Participation Rights (Revised by RG98-106)

File number: RG98-076
Date filed: July 6, 1998
Description:

RG98-076 Clarification of Stop Orders

File number: RG98-075
Date filed: July 1, 1998
Description:

RG98-075 Inter-Exchange Procedures in Volatile Markets for Third Quarter 1998

File number: RG98-074
Date filed: July 1, 1998
Description:

RG98-074 1998 Ten +SM Index Call Warrants Expiring * , 2000

File number: RG98-073
Date filed: June 29, 1998
Description:

RG98-073 Quarterly Closing Rotation on June 30, 1998

File number: RG98-072
Date filed: June 26, 1998
Description:

RG98-072 Options on Samsonite Corporation (QDS)

File number: RG98-071
Date filed: June 24, 1998
Description:

RG98-071 Trading by Nominees and Persons Who Have Registered Their Memberships for Member Organizations

File number: RG98-070
Date filed: June 23, 1998
Description:

RG98-070 Changes to Rule 9.3 A, Continuing Education for Registered Persons

File number: RG98-07
Date filed: January 20, 1998
Description:

RG98-007 Daily New Series Listing/Delisting Process

File number: RG98-069
Date filed: June 22, 1998
Description:

RG98-069 E-Mail Bulletins

File number: RG98-068
Date filed: June 22, 1998
Description:

RG98-068 CONTRARY EXERCISE ADVICE (CEA) PROCEDURES

File number: RG98-062
Date filed: June 8, 1998
Description:

RG98-062 Index Floor Procedures Committee

File number: RG98-061
Date filed: June 5, 1998
Description:

RG98-061 TARGETS TRUST I

File number: RG98-060
Date filed: June 5, 1998
Description:

RG98-060 RAES Automatic Step-Up to National Best Quote

File number: RG98-06
Date filed: January 13, 1998
Description:

RG98-006 Market-Maker Position Limit Exemptions

File number: RG98-059
Date filed: June 19, 1998
Description:

RG98-059 Revised Monthly ILX Fees for Optional Features/Entitlements (Effective as of 5/01/98)

File number: RG98-058
Date filed: June 4, 1998
Description:

RG98-058 Trade Match Input Cutoff Changes

File number: RG98-057
Date filed: May 27, 1998
Description:

RG98-057 Violations of Trading Conduct and Decorum Policies

File number: RG98-056
Date filed: May 21, 1998
Description:

RG98-056 TARGETS TRUST I Account Approval and Suitability Requirements

File number: RG98-055
Date filed: May 20, 1998
Description:

RG98-055 Implementation of Rule 2.30, Fee for Delayed Submission of Trade Information

File number: RG98-054
Date filed: May 15, 1998
Description:

RG98-054 Options on Samsonite Corporation (QDS)

File number: RG98-053
Date filed: May 20, 1998
Description:

RG98-053 Member Education Seminars

File number: RG98-052
Date filed: May 12, 1998
Description:

RG98-052 DPM Equity Guidelines

File number: RG98-051
Date filed: April 15, 1998
Description:

RG98-051 Inter-Exchange Procedures in Volatile Markets

File number: RG98-050
Date filed: May 7, 1998
Description:

RG98-050 Option Trading Permit Lease Pool Procedures

File number: RG98-05
Date filed: January 20, 1998
Description:

RG98-005 Position and Exercise Limits

File number: RG98-049
Date filed: May 5, 1998
Description:

RG98-049 Policy Concerning Appeals Committee Decisions

File number: RG98-048
Date filed: February 3, 1998
Description:

RG98-048 Guidelines Pertaining to Transfers of Interests in DPM Appointments Under New Rule 8.89

File number: RG98-047
Date filed: May 5, 1998
Description:

RG98-047 Proposed Rules pertaining to the operation and oversight of DPMs and guidelines pertaining to transfers of interests in DPM appointments

File number: RG98-046
Date filed: April 30, 1998
Description:

RG98-046 Blanket Appointments in Dow Jones Indices

File number: RG98-045
Date filed: April 30, 1998
Description:

RG98-045 Statutory Disqualifications

File number: RG98-043
Date filed: April 28, 1998
Description:

RG98-043 Representation of ?Go Along? Orders

File number: RG98-042
Date filed: April 28, 1998
Description:

RG98-042 Clerks in the OEX Pit

File number: RG98-041
Date filed: April 28, 1998
Description:

RG98-041 Closing Rotation After 3:02 p.m. Following Stock Runoff

File number: RG98-040
Date filed: April 21, 1998
Description:

RG98-040 Asia Tiger 100? Index Call Warrants Expiring October * , 2000

File number: RG98-04
Date filed: January 7, 1998
Description:

RG98-004 Insider Trading

File number: RG98-039
Date filed: April 14, 1998
Description:

RG98-039 Circuit Breaker Trading Halt Procedures

File number: RG98-038
Date filed: April 23, 1998
Description:

RG98-038 1998 Paperback Constitution and Rules

File number: RG98-037
Date filed: April 6, 1998
Description:

RG98-037 Membership Application and Other Membership Fees

File number: RG98-036
Date filed: April 6, 1998
Description:

RG98-036 DPM Participation Rights

File number: RG98-035
Date filed: March 31, 1998
Description:

RG98-035 Signing on and off RAES

File number: RG98-034
Date filed: March 31, 1998
Description:

RG98-034 Closing Rotation on March 31, 1998

File number: RG98-032
Date filed: March 19, 1998
Description:

RG98-032 Renewal/Change of Status Applications

File number: RG98-031
Date filed: March 23, 1998
Description:

RG98-031 Rule 2.30, Fee for Delayed Submission of Trade Information (See also RG98-55)

File number: RG98-030
Date filed: March 25, 1998
Description:

RG98-030 Amendments to Regulations T & U

File number: RG98-03
Date filed: January 7, 1998
Description:

RG98-003 DPM Participation Rights

File number: RG98-029
Date filed: March 12, 1998
Description:

RG98-029 Non-Aggregation of Accounts for Position and Exercise Limit Purposes (RG94-55 Reissued)

File number: RG98-028
Date filed: March 5, 1998
Description:

RG98-028 Transfers of Option Trading Permits

File number: RG98-027
Date filed: March 2, 1998
Description:

RG98-027 Irrevocable Exercise and Short Sale Requirements (RG96-19 Revised)

File number: RG98-026
Date filed: February 20, 1998
Description:

RG98-026 Option Trading Permit Lease Pool Procedures (RG97-106 Revised, Revised by RG98-88)

File number: RG98-025
Date filed: February 20, 1998
Description:

RG98-025 Salomon Smith Barney Holding Inc. Equity Linked Notes Based Upon the Dow Jones Industrial Average

File number: RG98-024
Date filed: February 20, 1998
Description:

RG98-024 Current Equity Option Telephone Policy and the Outstanding Proposal to Amend the Policy

File number: RG98-022
Date filed: March 11, 1998
Description:

RG98-022 Exercises on the Day Prior to Expiration for Position Limit Purposes (RG97-01 Reissued)

File number: RG98-021
Date filed: February 12, 1998
Description:

RG98-021 Trading Floor Dress Code on Casual Days (RG97-110 Reissued)

File number: RG98-020
Date filed: February 12, 1998
Description:

RG98-020 American Express Credit Corporation Cash Exchangeable Notes

File number: RG98-02
Date filed: January 6, 1998
Description:

RG98-002 OEX Position and Exercise Limit Increase

File number: RG98-019
Date filed: February 6, 1998
Description:

RG98-019 Market-Maker Margin Requirement (RG95-12 Revised)

File number: RG98-018
Date filed: February 4, 1998
Description:

RG98-018 Supplement to the Options Disclosure Document

File number: RG98-017
Date filed: February 11, 1998
Description:

RG98-017 1997 Regulatory Circulars

File number: RG98-016
Date filed: February 3, 1998
Description:

RG98-016 Broad-Based Index Option Position Limits

File number: RG98-015
Date filed: February 3, 1998
Description:

RG98-015 NASDAQ Display Fees and Level II Displays

File number: RG98-014
Date filed: February 3, 1998
Description:

RG98-014 RAES Participation Requirements Respecting Non-OEX/SPX Options Classes (RG97-134 Revised)

File number: RG98-013
Date filed: February 3, 1998
Description:

RG98-013 Amendment to Rule 24A.4 - Terms of FLEX Options, (a) General (4)(i)

File number: RG98-012
Date filed: February 4, 1998
Description:

RG98-012 Elimination of Internet Access on Wireless Communication Systems

File number: RG98-01
Date filed: January 2, 1998
Description:

RG98-001 FOCUS REPORT (Form X-17A-5)1997 Year-End Filing Due March 2, 1998

File number: RG96-058
Date filed: June 26, 1998
Description:

RG96-058 SPX RAES Eligibility