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Regulatory Bulletins
Regulatory Bulletins are sorted chronologically starting with the most recent bulletin.

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2002 Rule Adoption Notices (RAN)

Bulletin

Date

Subject

RAN-02-38

Dec 31

ArcaEx Midpoint Pricing Order Types
(File No. SR-PCX-2002-53)

RAN-02-37

Dec 4

Clearly Erroneous Policy
(File No. SR-PCX-2002-63)

RAN-02-36

Dec 2

PCX/PCXE Arbitration Rules
(File No. SR-PCX-2002-71)

RAN-02-35

Oct 17

Changes to PCX Joint Account Rule
(File No. SR-PCX-2002-60)

RAN-02-34

Oct 10

ArcaEx Primary Only Order
(File No. SR-PCX-2002-58)

RAN-02-33

Oct 7

Anti-Money Laundering Compliance Program
(File No. SR-PCX-2002-44)

RAN-02-32

Sep 30

New Rule on Automatic Execution of Broker-Dealer Orders in Designated Option Issues
(File No. SR-PCX-2002-50)

RAN-02-31

Sep 17

Designation of Arbitrators
(File No. SR-PCX-2002-33)

RAN-02-30

Aug 29

New Rule on Adding Strike Prices
(File No. SR-PCX-2002-51)

RAN-02-29

Aug 5

Modification to PCX Marketing Fee Program
(File No. SR-PCX-2002-52)

RAN-02-28

Aug 2

Automatic Execution of Broker-Dealer Orders
(File No. SR-PCX-2002-50)

RAN-02-27

Aug 2

LMM Guaranteed Participation
(File No. SR-PCX-2002-49)

RAN-02-26

Aug 2

Facilitation Crossing Rule - Change to Order Size Parameter
(File No. SR-PCX-2002-46)

RAN-02-25

Aug 2

Rule Changes Creating Alternative Initial Listing Criteria
(File No. SR-PCX-2002-41)

RAN-02-24

Jul 18

Auto-Ex Incentive Program
(File No. SR-PCX-2002-34)

RAN-02-23

Jul 18

ArcaEx Housekeeping Amendments
(File No. SR-PCX-2002-35)

RAN-02-21

Jul 10

ArcaEx New Order Modifier
(File No. SR-PCX-2002-27)

RAN-02-20

Jun 27

Seat Concentration Limit
(File No. SR-PCX-02-11)

RAN-02-19

Jun 18

Books and Records - PCX Equities
(File No. SR-PCX-02-12)

RAN-02-18

Jun 13

Automatic Opening Rotation System Pilot Program - One-Year Extension
(File No. SR-PCX-02-31)

RAN-02-17

Jun 13

Auto-Ex Book Sweep Function Pilot Program - One-Year Extension
(File No. SR-PCX-02-29)

RAN-02-16

Jun 12

Technical Change to Firm Quote Rule
(File No. SR-PCX-01-36)

RAN-02-15

Jun 10

Bid-Ask Spread Differentials
(File No. SR-PCX-02-22)

RAN-02-14

Jun 4

Firm Quote Size for Customer Orders
(File No. SR-PCX-2002-30)

RAN-02-13

May 30

Auto-Ex Procedures for Unusual Market Activity
(File No. SR-PCX-2001-13)

RAN-02-12

May 24

Options Rules on Priority and Allocation of Orders
(File No. SR-PCX-2002-13)

RAN-02-11

May 1

Delisting Appeal Fee
(File No. SR-PCX-2002-05)

RAN-02-10

Apr 29

Market Maker Auto-Ex Log On Requirements
(File No. SR-PCX-2002-23)

RAN-02-09

Apr 18

Hedge Exemptions
(File No. SR-PCX-2000-45)

RAN-02-08

Mar 27

Collective Actions of Market Makers
(File No. SR-PCX-01-50)

RAN-02-07

Mar 27

Rule Change - Increase in Order Size Parameters for Automatic Execution from 100 Contracts to 250 Contracts
(File No. SR-PCX-01-48)

RAN-02-06

Mar 26

Rule Relating to Adoption of New Sanctioning Guidelines for Enforcing Compliance With the Exchange's Options Order Handling Rules
(File No. SR-PCX-2001-23)

RAN-02-05

Feb 19

Designation of Computer Generated Orders

RAN-02-04

Feb 19

Transfer of Positions

RAN-02-03

Feb 18

Extension of Interim Linkage Pilot

RAN-02-02

Jan 28

Composition of the PCX Board of Governors

RAN-02-01

Jan 18

New QQQ Position and Exercise Limits



2002 Regulatory Bulletins (RB)

Bulletin

Date

Subject

RB-02-08

Dec 11

Disciplinary Sanctions Imposed And Arbitration Awards Rendered

RB-02-07

Dec 6

PCX Invoicing of the 2003 SIPC Assessment

RB-02-06

May 31

Disciplinary Sanctions Imposed And Arbitration Awards Rendered
January 1, 2002 Through March 31, 2002

RB-02-05

May 31

Disciplinary Sanctions Imposed And Arbitration Awards Rendered

RB-02-03

Apr 26

Series 7 Requirement

RB-02-04

Apr 17

REMINDER - Anti-Money Laundering Programs

RB-02-02

Mar 8

Anti-Money Laundering Programs

RB-02-01

Jan 4

FOCUS Reports and Annual Compliance Forms



2002 Regulatory Bulletins - Equities (RBE)

Bulletin

Date

Subject

RBE-02-09

Oct 14

Primary Only Order
(File No. SR-PCX-2002-58)

RBE-02-08

Oct 14

De Minimis Exemption for Certain Exchange Traded Funds from
ITS Trade-Through Provisions

RBE-02-07

Oct 2

Satisfaction of an Intermarket Trading System ("ITS") Trade-Through

RBE-02-06

Oct 3

Discrimination and Harassment Policy

RBE-02-05

Sep 27

Rescission of Temporary Suspension for Odd Lot Dealer Securities Registration

RBE-02-04

Sep 27

Access to Archipelago Exchange

RBE-02-03

Sep 26

Temporary Suspension of Odd Lot Dealer Securities Registration

RBE-02-02

Apr 25

Supervision Obligations of ETP Holders

RBE-02-01

Apr 12

Market Maker Requirement to Maintain Q Orders in ArcaEx



2002 Regulatory Bulletins - Options (RBO)

Bulletin

Date

Subject

RBO-02-53

Dec 17

Top 120 BD Auto Ex - December Trade Month

RBO-02-52

Nov 26

Guidelines for Nullification or Adjustment of Auto-Ex Trades

RBO-02-51

Nov 25

PCX Approved Marketing Charges
Attachment: Marketing Fees

RBO-02-50

Nov 5

Suggested Marketing Fees

RBO-02-49

Oct 30

Marketing Fees

RBO-02-48

Oct 28

Top 120 BD Auto Ex - November trade month

RBO-02-47

Oct 24

Censures in Formal Disciplinary Actions

RBO-02-46

Oct 21

REMINDER - October 28 Conference Call

  • RBO-02-33
    Synchronization of Member Organization Business Clocks
  • RBO-02-03
    Quote Width Exemptions (attachment)

RBO-02-45

Oct 14

USA PATRIOT Act Presentation

RBO-02-44

Oct 3

Discrimination and Harassment Policy

RBO-02-43

Sep 27

Top 120 BD Auto Ex - October trade month

RBO-02-42

Sep 27

Sexually Explicit Material Is Prohibited on the Options Trading Floor

RBO-02-41

Sep 27

Quarterly Conference Calls

RBO-02-39

Sep 19

Top 120 Allocation Review

RBO-02-38

Sep 12

PCX Options Floor Member Awareness Program: 2002
What Do The Anti-Money Laundering Laws Mean For You?
Thursday, September 26, 2002 at 1:30 p.m.

RBO-02-37

Aug 30

Use of Telephones on the Options Floor

RBO-02-36

Aug 28

PCX Approved Marketing Charges

RBO-02-34

Aug 26

Top 120 issues - BD Automatic Execution

RBO-02-33

Aug 22

Synchronization of Member Organization Business Clocks

RBO-02-32

Aug 20

Ammendments to Suggested Marketing Fees

RBO-02-31B

Aug 15

Automatic Execution System Settings

RBO-02-31

Aug 12

Options Trade Reporting

RBO-02-30

Aug 9

Suggested Marketing Fees / Additional Requests

RBO-02-29

Aug 2

Suggested Marketing Fees

RBO-02-28

Jul 24

Marketing Fees

RBO-02-26

Jul 22

Large Options Position Report ("LOPR")/Reject Report

RBO-02-27

Jul 16

Follow-up to May 2002 Member Awareness Session

RBO-02-25

Jun 27

PCX Options Floor Member Awareness Program: 2002
Order Handling Rules - Thursday, July 25 at 1:30 pm

RBO-02-24

May 31

Supervision Q&A

RBO-02-23

May 29

Limit Order Display Surveillance and Enforcement

RBO-02-21

May 17

Transfer of Issues Guidelines (TIG)
Market Maker/Crowd Participation Form
Application for Transfer of LMM Issues

RBO-02-20

May 17

New Application Form - Bid Sheet

RBO-02-19

May 15

Suggested Marketing Fees

RBO-02-18

May 8

Marketing Fees

RBO-02-17

Apr 29

PCX Options Floor Member Awareness Program: 2002
Taking the Mystery Out of the Surveillance and
Enforcement Process - Monday, May 20 at 1:30 p.m.

RBO-02-16

Apr 24

Dual Representation of Members

RBO-02-15

Apr 24

Allocation Commitment & Performance Guidelines

RBO-02-14

Apr 10

Automatic Execution of Broker-Dealer Orders

RBO-02-13

Mar 11

Alerting Customers to Adjustments to Option Contracts

RBO-02-12

Mar 11

Primary Appointments
Request for Primary Appointment Form

RBO-02-11

Mar 7

Firm Quote Rule Compliance - Sanctioning Guidelines

RBO-02-10

Feb 27

PCX Approved Marketing Charges

RBO-02-09

Feb 15

Suggested Marketing Fees

RBO-02-08

Feb 13

Books and Records Maintenance Requirements - Market Makers and Floor Brokers

RBO-02-07

Feb 12

PCX Options Floor Member Awareness Program: 2002 Supervision Obligations
Supervision Obligations - February 27 at 1:30 p.m.

RBO-02-06

Feb 12

Supervision Obligations of Members and Member Organizations

RBO-02-05

Feb 7

Marketing Fees

RBO-02-04

Jan 28

Prearranged Trading

RBO-02-03

Jan 24

Quote Width Exemptions
Request to Widen Markets - Exemption Report

RBO-02-02

Jan 8

Options Trade Reporting

RBO-02-01

Jan 7

Use of Trading Acronyms



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