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

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2003 Rule Adoption Notices (RAN)

Bulletin

Date

Subject

RAN-03-36

Dec 29

Minor Rule Plan
(File No. SR-PCX-2003-32)

RAN-03-35

Dec 10

Corporate Governance for Listed Companies
(File No. SR-PCX-2003-35)

RAN-03-34

Dec 2

Arbitration Pilot Rule Extension
(File No. SR-PCX-2003-61)

RAN-03-33

Dec 1

Auto-Ex of Linkage Orders in a Locked Market
(File No. SR-PCX-2003-65)

RAN-03-32

Nov 12

Listed Companies Shareholder Approval Policy for Equity Compensation Plans
(File No. SR-PCX-2003-50)

RAN-03-31

Nov 7

Contrary Exercise Advices
(File No. SR-PCX-2003-47)

RAN-03-30

Nov 6

PCX Plus Housekeeping Changes to Options Trading Rules
(File No. SR-PCX-2003-31)

RAN-03-29

Oct 24

ArcaEx Fixed Income Exchange Traded Funds
(File No. SR-PCX-2003-41)

RAN-03-28

Oct 15

PCX Plus Electronic Book Executions
(File No. SR-PCX-2003-56)

RAN-03-27

Oct 2

Options Linkage Limitation of Liability
(File No. SR-PCX-2003-20)

RAN-03-26

Oct 1

Posting Period for ETP Applications
(File No. SR-PCX-2003-43)

RAN-03-25

Oct 1

Posting Period for Membership Applications
(File No. SR-PCX-2003-44)

RAN-03-24

Sep 30

Obvious Error
(File No. SR-PCX-2002-01)

RAN-03-23

Sep 18

Arbitration Program
(File No. SR-PCX-2003-34)

RAN-03-22

Sep 17

Archipelago Exchange - Primary Only Order Processing
(File No. SR-PCX-2003-45)

RAN-03-21

Sep 2

Late Trade Reporting Minor Rule Plan Violation
(File No. SR-PCX-2003-17)

RAN-03-20

Aug 25

Automatic Opening Rotation Pilot Extension
(File No. SR-PCX-2003-37)

RAN-03-19

Jun 23

$1 Strike Prices Pilot Program
(File No. SR-PCX-2003-28)

RAN-03-18

Jun 23

Auto-Ex Book Pilot Extension
(File No. SR-PCX-2003-15)

RAN-03-17

Jun 23

Concentration of Issues
(File No. SR-PCX-2002-25)

RAN-03-16

Jun 18

Auto-Ex Incentive Pilot Program Extension
(File No. SR-PCX-2003-16)

RAN-03-15

May 16

One Tick Step Up Requirement for Auto-Ex in Certain Option Issues
(File No. SR-PCX-2002-54)

RAN-03-14

May 16

Market Maker Firm Quotation Size
(File No. SR-PCX-2003-12)

RAN-03-13

May 15

PCX Plus
(File No. SR-PCX-2002-36)

RAN-03-12

May 1

Arbitration Program

RAN-03-11

Mar 14

Archipelago Exchange Timed Order Modifications

RAN-03-10

Mar 12

Archipelago Exchange New Order Types

RAN-03-09

Mar 10

Options Floor Trading Committee Jurisdiction over Auto-Ex

RAN-03-06

Mar 10

Pricing Criteria for Initial Listings

RAN-03-08

Mar 3

Changing Calculation Period For Defining Top 120 and 250 Issues

RAN-03-07

Feb 27

Stay of Committee Action

RAN-03-05

Feb 26

Maintenance of Books and Records

RAN-03-04

Feb 7

Options Linkage

RAN-03-03

Jan 30

Market Maker Quoting Obligations

RAN-03-02

Jan 24

ArcaEx IOC/PNP Cross Orders

RAN-03-01

Jan 2

Auto-Ex Pilot Program Extension
(File No. SR-PCX-2002-78)



2003 Regulatory Bulletins (RB)

Bulletin

Date

Subject

RB-03-06

Dec 10

PCX Invoicing of the 2004 SIPC Assessment

RB-03-05

Oct 27

Disciplinary Sanctions Imposed and Arbitration Awards Rendered

RB-03-04

Sep 4

Disciplinary Sanctions Imposed and Arbitration Awards Rendered

RB-03-03

Apr 8

Disciplinary Sanctions Imposed and Arbitration Awards Rendered

RB-03-02

Feb 25

Disciplinary Sanctions Imposed

RB-03-01

Jan 2

FOCUS Reports and Annual Compliance Forms



2003 Regulatory Bulletins - Equities (RBE)

Bulletin

Date

Subject

RBE-03-12

Dec 19

PCXE Member Awareness Session December 17, 2003

RBE-03-11

Dec 1

PCXE Member Awareness Program 2003: December 17 at 1:30 p.m. PST

RBE-03-10

Nov 24

Odd Lot Orders - Prohibitions

RBE-03-09

Nov 4

Temporary Suspension of Fixed Income Exchange Traded Funds

RBE-03-08

Oct 9

Change in Short Sale Exemption Status in Certain HOLDRs

RBE-03-07

May 6

PCXE Member Awareness Program 2003: Demonstrably Erroneous Execution - 5/14, 2003 at 1:30 p.m. PST

RBE-03-06

Apr 2

Identification of Person Entering or Accepting Each Order or Trade

RBE-03-05

Apr 2

PCXE Re-Scheduled Member Awareness Program 2003: Trading Nasdaq Securities on ArcaEx - April 24 at 1:30 p.m. PST

RBE-03-04

Mar 25

Postponement of PCXE Member Awareness Session

RBE-03-03

Mar 20

Vendor Display Rule Requirements and the Upcoming Change to NQDS - attachment

RBE-03-02

Mar 13

PCXE Member Awareness Program 2003: Trading Nasdaq Securities on ArcaEx - March 27 at 1:30 p.m. PST

RBE-03-01

Mar 10

Dually Listed Nasdaq Securities



2003 Regulatory Bulletins - Options (RBO)

Bulletin

Date

Subject

RBO-03-12

Nov 12

Limit Order Book Priority

RBO-03-11

Sep 26

Firm Quote Compliance

RBO-03-10

Sep 8

Limit Order Display Requirements

RBO-03-09

Aug 11

Transfer of Issues Guidelines (TIG)

RBO-03-08

May 23

PCX Options Floor Member Awareness Program: 2003 The Options Intermarket Linkage - Thursday, June 19 at 1:30 p.m.

RBO-03-07

May 5

New Application Form - Bid Sheet - attachment

RBO-03-06

Feb 10

Limit Order Display Surveillance and Enforcement

RBO-03-05

Feb 3

Linkage - Surveillance and Enforcement

RBO-03-04

Jan 30

Effectiveness of Phase I Linkage

RBO-03-03

Jan 21

Marketing Fees

RBO-03-01

Jan 7

Top 120 BD Auto Ex - January Trade Month



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