1999 Exchange Regulatory Circulars

File number: Rg99-218
Date filed: November 18, 1999
Description:

RG99-218 Goldman Sachs Callable Index Linked Notes

File number: Rg99-217
Date filed: November 18, 1999
Description:

RG99-217 Callable Index Linked Notes

File number: RG99-238
Date filed: December 31, 1999
Description:

RG99-238 Restrictions on Transactions Glenayre Technologies Inc. (GEMS/GQM)

File number: RG99-237
Date filed: December 31, 1999
Description:

RG99-237 December 31, 1999, Closing Rotations in Equity and Narrow-Based Index Options

File number: RG99-236
Date filed: December 28, 1999
Description:

RG99-236 December 31, 1999, Special Closing Rotations

File number: RG99-235
Date filed: December 22, 1999
Description:

RG99-235 December 31, 1999, Early Exercise Advice Cutoff Time

File number: RG99-234
Date filed: December 27, 1999
Description:

RG99-234 Modified Bid/Ask Differentials

File number: RG99-233
Date filed: December 21, 1999
Description:

RG99-233 Special Closing Procedures on December 31, 1999

File number: RG99-232
Date filed: December 22, 1999
Description:

RG99-232 Long-Term Equity Option Series (LEAPS) on Yahoo! Inc. (YHQ)

File number: RG99-231
Date filed: December 17, 1999
Description:

RG99-231 RAES NBBO Step-up Pricing Corrections

File number: RG99-230
Date filed: December 19, 1999
Description:

RG99-230 Modified Bid/Ask Differentials

File number: RG99-229
Date filed: December 7, 1999
Description:

RG99-229 Long-Term Equity Option Series (LEAPS) on Nokia Corporation (NKA)

File number: RG99-228
Date filed: December 7, 1999
Description:

RG99-228 Modified Bid/Ask Differentials

File number: RG99-227
Date filed: December 6, 1999
Description:

RG99-227 Placing the PAR Behind the Book

File number: RG99-226
Date filed: December 6, 1999
Description:

RG99-226 December 31, 1999, Early Exercise Advice Cutoff Time

File number: RG99-225
Date filed: December 7, 1999
Description:

RG99-225 Front-Running of Blocks

File number: RG99-224
Date filed: December 7, 1999
Description:

RG99-224 Frontrunning of blocks

File number: RG99-223
Date filed: December 3, 1999
Description:

RG99-223 Form BD Re-filing Requirement

File number: RG99-222
Date filed: December 9, 1999
Description:

RG99-222 DPM Participation Rights

File number: RG99-221
Date filed: November 22, 1999
Description:

RG99-221 Restrictions on Transactions in Iridium World Communications, Inc. (QAK) Options

File number: RG99-220
Date filed: November 22, 1999
Description:

RG99-220 Automated Book Priority (ABP)

File number: RG99-219
Date filed: November 22, 1999
Description:

RG99-219 RAES NBBO Step-up When Book-Touches-Market, and RAES BTM Rejects for OEX, DJX, and IBM

File number: RG99-216
Date filed: November 18, 1999
Description:

RG99-216 New RAES Series Guidelines for NDX

File number: RG99-215
Date filed: November 23, 1999
Description:

RG99-215 Modified Bid/Ask Differentials

File number: RG99-214
Date filed: November 18, 1999
Description:

RG99-214 New RAES Series Guidelines for S&P 500 Options

File number: RG99-213
Date filed: November 19, 1999
Description:

RG99-213 Modified Bid/Ask Differentials

File number: RG99-212
Date filed: November 16, 1999
Description:

RG99-212 Long-Term Equity Option Series (LEAPS) on Yahoo! Inc. (YHQ)

File number: RG99-211
Date filed: September 29, 1999
Description:

RG99-211 April Expiration Trade Checking and Processing

File number: RG99-210
Date filed: November 11, 1999
Description:

RG99-210 1999 Annual Election Process

File number: RG99-209
Date filed: November 11, 1999
Description:

RG99-209 Campaign Materials

File number: RG99-208
Date filed: November 9, 1999
Description:

RG99-208 Fee for Paper Market Maker Trade Input

File number: RG99-207
Date filed: November 4, 1999
Description:

RG99-207 Group Member Matching - Intraday

File number: RG99-206
Date filed: October 22, 1999
Description:

RG99-206 Exchange Rules 8.3 (Appointment of Market-Makers) and 8.7 (Obligations of Market-Makers) RG95-42 Revised)

File number: RG99-205
Date filed: October 22, 1999
Description:

RG99-205 November 26, 1999, Early Exercise Advice Cutoff Time

File number: RG99-204
Date filed: October 20, 1999
Description:

RG99-204 Abbreviated Processing Schedule

File number: RG99-203
Date filed: October 20, 1999
Description:

RG99-203 Long Term Equity Option Series (LEAPS) on Yahoo, Inc. (YHQ) (RG99-185 Revised)

File number: RG99-202
Date filed: October 20, 1999
Description:

RG99-202 Modified Bid/Ask Differentials (Replaces RG99-184)

File number: RG99-201
Date filed: October 14, 1999
Description:

RG99-201 Change in Minimum Contract Size for Variable RAES

File number: RG99-200
Date filed: October 12, 1999
Description:

RG99-200 Equity Telephone Policy Proposed Changes

File number: RG99-199
Date filed: October 11, 1999
Description:

RG99-199 Suspension of Fee for Delayed Submission of Trade Information

File number: RG99-198
Date filed: October 5, 1999
Description:

RG99-198 Salomon Smith Barney Holdings Inc.

File number: RG99-197
Date filed: October 1, 1999
Description:

RG99-197 Inter-Exchange Procedures in Volatile Markets for Fourth Quarter 1999 (RG99-149)

File number: RG99-196
Date filed: September 30, 1999
Description:

RG99-196 Blanket Appointments in Dell Computer Corporation (DLQ) and Microsoft Corp. (MSQ)

File number: RG99-195
Date filed: September 30, 1999
Description:

RG99-195 Offer of Options Disclosure Document in Communications to Customers

File number: RG99-194
Date filed: September 30, 1999
Description:

RG99-194 Quarterly Closing Rotation on September 30, 1999

File number: RG99-191
Date filed: September 29, 1999
Description:

RG99-191 Disciplinary Action By Other Organizations

File number: RG99-190
Date filed: September 27, 1999
Description:

RG99-190 Morning Trade Checking Schedule

File number: RG99-189
Date filed: September 24, 1999
Description:

RG99-189 Option Trading Permit Lease Pool Procedures (RG99-172 Revised)

File number: RG99-188
Date filed: September 22, 1999
Description:

RG99-188 Y2K Weekend Plans

File number: RG99-187
Date filed: September 23, 1999
Description:

RG99-187 DPM RAES Obligation

File number: RG99-186
Date filed: September 22, 1999
Description:

RG99-186 Abbreviated Processing Schedule

File number: RG99-185
Date filed: September 20, 1999
Description:

RG99-185 Long-Term Equity Option Series (LEAPS) on Yahoo! Inc. (YHQ)

File number: RG99-184
Date filed: September 20, 1999
Description:

RG99-184 Modified Bid/Ask Differentials

File number: RG99-183
Date filed: September 16, 1999
Description:

RG99-183 Re-Balance of the GSTI Composite Index (GTC) and GSTI Sub-Indexes (Hardware (GHA), Internet (GIN), Semiconductor (GSM), Services (GSV), Software (GSO) and Multimedia Networking (GIP))

File number: RG99-182
Date filed: September 16, 1999
Description:

RG99-182 Impact of Hurricane Floyd on Options Trading and Exercise

File number: RG99-181
Date filed: September 15, 1999
Description:

RG99-181 Gratuities Policy ? Rule 4.4

File number: RG99-180
Date filed: September 15, 1999
Description:

RG99-180 Implementation of Variable RAES

File number: RG99-179
Date filed: September 10, 1999
Description:

RG99-179 RAES NBBO 1 Tick Step-Up

File number: RG99-178
Date filed: September 10, 1999
Description:

RG99-178 Displaying the True Size and Prices of Bids and Offers in the Book

File number: RG99-177
Date filed: September 8, 1999
Description:

RG99-177 TARGETS TRUST IV

File number: RG99-176
Date filed: September 3, 1999
Description:

RG99-176 ?D? Book Parameters, RAES Classes to 50 Up, NBBO 2 Tick Step-Up

File number: RG99-175
Date filed: September 2, 1999
Description:

RG99-175 RAES Variable Market Maker Volume - Final Approval

File number: RG99-174
Date filed: September 1, 1999
Description:

RG99-174 RAES Variable Market Maker Volume - Approval

File number: RG99-173
Date filed: August 31, 1999
Description:

RG99-173 Prearranged Trading

File number: RG99-172
Date filed: August 30, 1999
Description:

RG99-172 Option Trading Permit Lease Pool Procedures

File number: RG99-171
Date filed: August 27, 1999
Description:

RG99-171 Firm Quote Requirement Change for DJX, NDX and OEX

File number: RG99-170
Date filed: August 23, 1999
Description:

RG99-170 RAES Variable Market Maker Volume - DLQ, F, IBM, JNJ, KO

File number: RG99-169
Date filed: August 30, 1999
Description:

RG99-169 CORRECTION to RG99-164 RAES Volume Limit and Firm Quote Requirement Change for SPX (Revised)

File number: RG99-168
Date filed: August 20, 1999
Description:

RG99-168 Long-Term Equity Option Series (LEAPS) on Qualcomm Inc. (QAQ)

File number: RG99-167
Date filed: August 20, 1999
Description:

RG99-167 Long-Term Equity Option Series (LEAPS) on Yahoo! Inc. (YHQ)

File number: RG99-166
Date filed: August 20, 1999
Description:

RG99-166 Modified Bid/Ask Differentials

File number: RG99-165
Date filed: August 19, 1999
Description:

RG99-165 RAES Change for S&P 100 Options on Expiration Fridays

File number: RG99-164
Date filed: August 20, 1999
Description:

RG99-164 RAES Volume Limit and Firm Quote Requirement Change for SPX

File number: RG99-163
Date filed: August 20, 1999
Description:

RG99-163 Firm Quote Requirement to Equal RAES Contract Limit

File number: RG99-162
Date filed: August 19, 1999
Description:

RG99-162 Iridium World Communications, Inc. (IRIDQ/QAK)

File number: RG99-161
Date filed: August 18, 1999
Description:

RG99-161 Y2K Financial Services Coordination and Communication Center ("FSCCC")

File number: RG99-160
Date filed: August 13, 1999
Description:

RG99-160 Securities and Exchange Commission Approval of Expanded Margin Rules (Rule 12.3)

File number: RG99-159
Date filed: July 28, 1999
Description:

RG99-159 RAES Eligibility in SPX, OEX and DJX

File number: RG99-158
Date filed: July 26, 1999
Description:

RG99-158 DPM Participation Rights

File number: RG99-157
Date filed: July 16, 1999
Description:

RG99-157 Long-Term Equity Option Series (LEAPS) on Qualcomm Inc. (QAQ)

File number: RG99-156
Date filed: July 16, 1999
Description:

RG99-156 Long-Term Equity Option Series (LEAPS) on Yahoo! Inc. (YHQ)

File number: RG99-155
Date filed: July 16, 1999
Description:

RG99-155 Modified Bid/Ask Differentials

File number: RG99-151
Date filed: July 16, 1999
Description:

RG99-151 Position and Exercise Limits

File number: RG99-150
Date filed: July 8, 1999
Description:

RG99-150 Rule 2.30, Fee for Delayed Submission of Trade Information

File number: RG99-148
Date filed: July 2, 1999
Description:

RG99-148 Transfer of Positions

File number: RG99-147
Date filed: July 9, 1999
Description:

RG99-147 1999 Paperback Constitution and Rules

File number: RG99-146
Date filed: June 28, 1999
Description:

RG99-146 Trade Match Input Cutoff Changes

File number: RG99-145
Date filed: June 23, 1999
Description:

RG99-145 Options on Broadcast.com, Inc. (QBC)

File number: RG99-144
Date filed: June 21, 1999
Description:

RG99-144 Long-Term Equity Option Series (LEAPS) on Qualcomm Inc. (QAQ)

File number: RG99-143
Date filed: June 21, 1999
Description:

RG99-143 Modified Bid/Ask Differentials on Long-Term Equity Options Series (LEAPS) on Airtouch Communications, Inc. (ATI)

File number: RG99-142
Date filed: June 21, 1999
Description:

RG99-142 Long-Term Equity Option Series (LEAPS) on Yahoo! Inc. (YHQ)

File number: RG99-141
Date filed: June 21, 1999
Description:

RG99-141 Modified Bid/Ask Differentials

File number: RG99-140
Date filed: June 15, 1999
Description:

RG99-140 Disciplinary Sanctions for Trading by or with Clerks

File number: RG99-139
Date filed: June 14, 1999
Description:

RG99-139 Targets Trust III

File number: RG99-138
Date filed: June 11, 1999
Description:

RG99-138 Option Trading Permit Lease Pool Procedures (RG98-139 Revised)

File number: RG99-137
Date filed: June 9, 1999
Description:

RG99-137 OCC Position Limit Data

File number: RG99-136
Date filed: June 9, 1999
Description:

RG99-136 Market-Maker Terminal Electronic Trade Notifications

File number: RG99-135
Date filed: June 4, 1999
Description:

RG99-135 DPM Concentration Guidelines

File number: RG99-134
Date filed: June 3, 1999
Description:

RG99-134 Web CRD and proposed Form BD Re-Filing Requirement

File number: RG99-133
Date filed: June 11, 1999
Description:

RG99-133 Exercises on the Day Prior to Expiration for Position Limit Purposes

File number: RG99-132
Date filed: May 28, 1999
Description:

RG99-132 Relocation of the NYSE Composite Index (NYA)

File number: RG99-131
Date filed: May 27, 1999
Description:

RG99-131 Long Term Equity Option Series (LEAPS) on Qualcomm Inc. (QAQ)

File number: RG99-130
Date filed: May 27, 1999
Description:

RG99-130 Options on Custom Tracks Corp. (HQU)

File number: RG99-129
Date filed: June 4, 1999
Description:

RG99-129 Pre-Arranged Trading

File number: RG99-128
Date filed: May 20, 1999
Description:

RG99-128 Modified Bid/Ask Differentials on Long-Term Equity Options Series (LEAPS) on Sociedad Anomina (YPF) and Airtouch Communications, Inc. (ATI)

File number: RG99-127
Date filed: May 20, 1999
Description:

RG99-127 Long-Term Equity Option Series (LEAPS) on Yahoo! Inc. (YHQ)

File number: RG99-126
Date filed: May 20, 1999
Description:

RG99-126 Modified Bid/Ask Differentials

File number: RG99-125
Date filed: May 20, 1999
Description:

RG99-125 Options on the NASDAQ 100 Index (NDX)

File number: RG99-124
Date filed: May 18, 1999
Description:

RG99-124 Delisting Option Classes, Listing and Delisting Series of Option Classes

File number: RG99-123
Date filed: May 17, 1999
Description:

RG99-123 Borrowing of Trading Capital

File number: RG99-122
Date filed: May 14, 1999
Description:

RG99-122 Change to the RAES Login Screen

File number: RG99-121
Date filed: May 11, 1999
Description:

RG99-121 Membership Application and Other Membership Fees

File number: RG99-120
Date filed: May 6, 1999
Description:

RG99-120 Options on Netscape Communications Corp. (NWY)

File number: RG99-118
Date filed: May 4, 1999
Description:

RG99-118 Options on Knight/Trimark Group, Inc. (QTN)

File number: RG99-117
Date filed: May 4, 1999
Description:

RG99-117 Options on E*Trade Group, Inc. (QGR)

File number: RG99-116
Date filed: April 30, 1999
Description:

RG99-116 DPM clerk administrative and operational policies

File number: RG99-115
Date filed: April 28, 1999
Description:

RG99-115 Guidelines Concerning Discretionary Accounts

File number: RG99-114
Date filed: April 27, 1999
Description:

RG99-114 Options on [email protected], Inc. (NQA)

File number: RG99-113
Date filed: April 27, 1999
Description:

RG99-113 Options on Gemstar International Group Ltd. (QLF)

File number: RG99-112
Date filed: April 27, 1999
Description:

RG99-112 Options on SoftNet Systems, Inc. (SUC)

File number: RG99-111
Date filed: April 27, 1999
Description:

RG99-111 Long-Term Equity Option Series (LEAPS) on The Charles Schwab Corporation (SCH)

File number: RG99-110
Date filed: April 27, 1999
Description:

RG99-110 Options on Safeguard Scientifics, Inc. (SFE)

File number: RG99-109
Date filed: April 26, 1999
Description:

RG99-109 Guidelines Concerning Uncovered (short) Option Accounts

File number: RG99-108
Date filed: April 16, 1999
Description:

RG99-108 North Face, Inc. (TNFI/QFI)

File number: RG99-107
Date filed: April 16, 1999
Description:

RG99-107 Margin and Capital Requirements for Options on the Dow Jones Equity Real Estate Investment Trust Index (?DJR?)

File number: RG99-106
Date filed: April 16, 1999
Description:

RG99-106 Options on Goldman Sachs Internet Index (GIN)

File number: RG99-105
Date filed: April 16, 1999
Description:

RG99-105 Options on Qualcomm Inc. (QAQ)

File number: RG99-104
Date filed: April 16, 1999
Description:

RG99-104 Options on Inktomi Corporation (QYK)

File number: RG99-103
Date filed: April 16, 1999
Description:

RG99-103 Options on CMGI, Inc. (QGC)

File number: RG99-102
Date filed: April 16, 1999
Description:

RG99-102 Options on Ameritrade Holding Corporation (TQA)

File number: RG99-092
Date filed: April 14, 1999
Description:

RG99-092 Options on the NASDAQ 100 Index (NDX)

File number: RG99-091
Date filed: April 14, 1999
Description:

RG99-091 ROS Usage and Market Maker Participation

File number: RG99-090
Date filed: April 14, 1999
Description:

RG99-090 Index Classes Eligible for NASD Short Sale Rule Option Market-Maker Exemption

File number: RG99-089
Date filed: April 12, 1999
Description:

RG99-089 DPM Participation Rights

File number: RG99-088
Date filed: April 12, 1999
Description:

RG99-088 Insider Trading

File number: RG99-087
Date filed: April 1, 1999
Description:

RG99-087 Inter-Exchange Procedures in Volatile Markets for Second Quarter 1999

File number: RG99-086
Date filed: April 5, 1999
Description:

RG99-086 TARGETS TRUST II

File number: RG99-085
Date filed: March 31, 1999
Description:

RG99-085 Options on [email protected], Inc. (NQA)

File number: RG99-084
Date filed: April 5, 1999
Description:

RG99-084 Rule 24.18 - Exercise of OEX Options

File number: RG99-083
Date filed: April 5, 1999
Description:

RG99-083 Exercise of American-Style Options - CBOE Rule 24.18

File number: RG99-082
Date filed: March 19, 1999
Description:

RG99-082 Options on Go To Net (GQI)

File number: RG99-081
Date filed: March 19, 1999
Description:

RG99-081 Options on Goldman Sachs Internet Index (GIN)

File number: RG99-080
Date filed: March 19, 1999
Description:

RG99-080 Options on ONSALE, Inc. (QOL)

File number: RG99-079
Date filed: March 19, 1999
Description:

RG99-079 Options on Ameritrade Holding Corporation (TQA)

File number: RG99-078
Date filed: March 19, 1999
Description:

RG99-078 Options on Inktomi Corporation (QYK)

File number: RG99-077
Date filed: March 19, 1999
Description:

RG99-077 Options on CMGI, Inc. (QGC)

File number: RG99-076
Date filed: March 19, 1999
Description:

RG99-076 Options on Amazon.com, Inc. (ZQN)

File number: RG99-075
Date filed: March 19, 1999
Description:

RG99-075 Options on eBay, Inc. (QXB)

File number: RG99-074
Date filed: March 19, 1999
Description:

RG99-074 Options on Network Solutions, Inc. (JNQ)

File number: RG99-073
Date filed: March 19, 1999
Description:

RG99-073 Options on CNET, Inc. (QKW)

File number: RG99-072
Date filed: March 19, 1999
Description:

RG99-072 Options on DoubleClick, Inc. (QTD)

File number: RG99-071
Date filed: March 19, 1999
Description:

RG99-071 Options on Broad.com, Inc. (RCQ) (RG99-50 Revised)

File number: RG99-070
Date filed: March 19, 1999
Description:

RG99-070 Options on Broadcast.com, Inc. (QBC) (RG99-49 Revised)

File number: RG99-069
Date filed: March 19, 1999
Description:

RG99-069 Long-Term Equity Option Series (LEAPS) On Yahoo! Inc. (YHQ) - (RG99-54 Revised)

File number: RG99-068
Date filed: March 17, 1999
Description:

RG99-068 Summary Fine Program for Violations of Exercise and Exercise Advice Rules for American-Style, Cash Settled Index Options

File number: RG99-067
Date filed: March 3, 1999
Description:

RG99-067 Firm Quotes in Options Priced Over $999

File number: RG99-066
Date filed: March 2, 1999
Description:

RG99-066 Agency Subsidy Rule Filing

File number: RG99-065
Date filed: February 26, 1999
Description:

RG99-065 Margin and Capital Requirements for Options on the Dow Jones*Commerce Index ("ECM")

File number: RG99-064
Date filed: March 12, 1999
Description:

RG99-064 Exercises on the Day Prior to Expiration for Position Limit Purposes (RG98-22 Reissued)

File number: RG99-063
Date filed: February 23, 1999
Description:

RG99-063 Contrary Exercise Advice Summary Fine Program

File number: RG99-062
Date filed: February 23, 1999
Description:

RG99-062 Option Trading Permit Lease Pool Procedures (RG98-88 Revised)

File number: RG99-061
Date filed: February 22, 1999
Description:

RG99-061 DJX RAES Expiration Month (RG99-06 Revised)

File number: RG99-060
Date filed: February 22, 1999
Description:

RG99-060 Options on eBay, Inc. (QXB) (RG99-32 Revised)

File number: RG99-059
Date filed: February 22, 1999
Description:

RG99-059 Options on ONSALE, Inc. (QOL) (RG99-10 Revised)

File number: RG99-058
Date filed: February 22, 1999
Description:

RG99-058 Options on Inktomi Corp. (QYK) (RG99-25 Revised)

File number: RG99-057
Date filed: February 22, 1999
Description:

RG99-057 Options on CMGI, Inc. (QGC) (RG99-26 Revised)

File number: RG99-056
Date filed: February 22, 1999
Description:

RG99-056 Options on Ameritrade Holding Corp. (TQA) (RG99-27 Revised)

File number: RG99-055
Date filed: February 22, 1999
Description:

RG99-055 Options on MindSpring Enterprises, Inc. (MQD) (RG99-23 Revised)

File number: RG99-054
Date filed: February 22, 1999
Description:

RG99-054 Options on Yahoo! Inc. (YHQ) (RG99-31 Revised)

File number: RG99-053
Date filed: February 22, 1999
Description:

RG99-053 Options on E*Trade Group, Inc. (QGR) (RG99-24 Revised)

File number: RG99-052
Date filed: February 22, 1999
Description:

RG99-052 Options on Goldman Sachs Internet Index (GIN) (RG99-14 Revised)

File number: RG99-051
Date filed: February 22, 1999
Description:

RG99-051 Options on DoubleClick, Inc. (RG99-11 Revised)

File number: RG99-050
Date filed: February 22, 1999
Description:

RG99-050 Options on Broadcom, Inc. (RCQ)

File number: RG99-049
Date filed: February 22, 1999
Description:

RG99-049 Options on Broadcast.com, Inc. (QBC)

File number: RG99-048
Date filed: February 22, 1999
Description:

RG99-048 Options on Amazon.com, Inc. (ZQN)

File number: RG99-047
Date filed: March 1, 1999
Description:

RG99-047 Trading Floor Dress Code

File number: RG99-046
Date filed: February 18, 1999
Description:

RG99-046 NYSE Rule 80A

File number: RG99-045
Date filed: February 19, 1999
Description:

RG99-045 CBOE Dress Code

File number: RG99-044
Date filed: February 17, 1999
Description:

RG99-044 Restrictions on Exercise of American-Style, Cash-Settled Index Options

File number: RG99-043
Date filed: February 17, 1999
Description:

RG99-043 Options on Network Solutions, Inc. (JNQ)

File number: RG99-042
Date filed: February 12, 1999
Description:

RG99-042 New Equity FLEX hours

File number: RG99-041
Date filed: February 16, 1999
Description:

RG99-041 Salomon Smith Barney Holdings Inc. Callable Principal-Protected Equity Linked Notes based upon the S&P 500© Index, due * , 2006

File number: RG99-040
Date filed: February 16, 1999
Description:

RG99-040 Options on GeoCities, Inc. (QZG)

File number: RG99-039
Date filed: February 12, 1999
Description:

RG99-039 Options on CDW Computer Centers, Inc. (DWQ)

File number: RG99-038
Date filed: February 12, 1999
Description:

RG99-038 Options on CNET, Inc. (QKW)

File number: RG99-037
Date filed: February 12, 1999
Description:

RG99-037 Laser Pointers

File number: RG99-036
Date filed: February 12, 1999
Description:

RG99-036 Options on Broadcast.com, Inc. (QBC)

File number: RG99-035
Date filed: February 10, 1999
Description:

RG99-035 The Rapid Opening System (ROS) - Approval and Implementation

File number: RG99-034
Date filed: February 19, 1999
Description:

RG99-034 1998 Regulatory Circulars

File number: RG99-033
Date filed: February 9, 1999
Description:

RG99-033 Adjustments to Market-Maker Equity in Certain Market Conditions

File number: RG99-032
Date filed: February 1, 1999
Description:

RG99-032 Options on eBAY Inc. (QXB)

File number: RG99-031
Date filed: January 29, 1999
Description:

RG99-031 Options on Yahoo! Inc. (YHQ)

File number: RG99-030
Date filed: January 28, 1999
Description:

RG99-030 Audit Trail Violations

File number: RG99-029
Date filed: January 25, 1999
Description:

RG99-029 DJX, OEX and SPX; Position and Exercise Limits Replaced with Reporting Requirements

File number: RG99-028
Date filed: January 22, 1999
Description:

RG99-028 Options on Nokia.Corporation (NKA)

File number: RG99-027
Date filed: January 22, 1999
Description:

RG99-027 Options on Ameritrade Holding Corporation (TQA)

File number: RG99-026
Date filed: January 22, 1999
Description:

RG99-026 Options on CMGI, Inc. (QGC)

File number: RG99-025
Date filed: January 22, 1999
Description:

RG99-25 Options on Inktomi Corporation (QYK)

File number: RG99-024
Date filed: January 22, 1999
Description:

RG99-024 Options on E*Trade Group, Inc. (QGR)

File number: RG99-023
Date filed: January 22, 1999
Description:

RG99-023 Options on MindSpring Enterprises, Inc. (MQD)

File number: RG99-022
Date filed: January 22, 1999
Description:

RG99-022 Options on Broadcom, Inc. (RCQ)

File number: RG99-021
Date filed: January 22, 1999
Description:

RG99-021 Waiver of Trade Match Delayed Submission Fee, Rule 2.30

File number: RG99-019
Date filed: January 1, 1999
Description:

RG99-019 Inter-Exchange Procedures in Volatile Markets for First Quarter 1999

File number: RG99-018
Date filed: January 20, 1999
Description:

RG99-018 Status Update on the Securities Industry Continuing Education Program for Registered Persons

File number: RG99-017
Date filed: January 20, 1999
Description:

RG99-017 Market-Maker Position Limit Exemptions

File number: RG99-016
Date filed: January 19, 1999
Description:

RG99-016 Waiver of Trade Match Delayed Submission Fee, 01/11/99 through 01/15/99

File number: RG99-015
Date filed: January 14, 1999
Description:

RG99-015 Stock Sliding Tick

File number: RG99-014
Date filed: January 14, 1999
Description:

RG99-014 Options on Goldman Sachs Internet Index (GIN)

File number: RG99-013
Date filed: January 14, 1999
Description:

RG99-013 Options on Amazon.com, Inc. (ZQN)

File number: RG99-012
Date filed: January 14, 1999
Description:

RG99-012 Options on Yahoo! Inc. (YHQ)

File number: RG99-011
Date filed: January 14, 1999
Description:

RG99-011 Options on DoubleClick, Inc. (QTD)

File number: RG99-010
Date filed: January 14, 1999
Description:

RG99-010 Options on ONSALE, Inc. (QOL)

File number: RG99-009
Date filed: January 12, 1999
Description:

RG99-009 Margin Accounts - Writing Index Options on a Covered Basis and Eligibility for Covered Writing Approval Level

File number: RG99-008
Date filed: January 11, 1999
Description:

RG99-008 Waiver of Trade Match Delayed Submission Fee for 1/8/99

File number: RG99-006
Date filed: January 13, 1999
Description:

RG99-006 Redefine DJX RAES Log-On Expiration Month (Revised by RG99-61)

File number: RG99-005
Date filed: January 8, 1999
Description:

RG99-005 DPM Participation Rights

File number: RG99-004
Date filed: January 18, 1999
Description:

RG99-004 Position and Exercise Limits

File number: RG99-003
Date filed: January 8, 1999
Description:

RG99-003 FOCUS Reports (Form X-17A-5)

File number: RG99-002
Date filed: January 6, 1999
Description:

RG99-002 Change in Index FLEX Strike Prices

File number: RG99-001
Date filed: January 4, 1999
Description:

RG99-001 Coordinated Examination Program

File number: RG98-150
Date filed: January 4, 1999
Description:

RG98-150 Equity Option Position Limit and Exercise Limit Increase