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

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2001 Rule Adoption Notices (RAN)

Bulletin

Date

Subject

RAN-01-46

Nov 30

Rules Relating to Synchronization of Member Organization Business Clocks.
(File No. SR-PCX-01-24)

RAN-01-45

Nov 28

New Rules Relating to Full Implementation of Decimal Pricing
(File No. SR-PCX-01-39)

RAN-01-44

Nov 19

New Rules Relating to Maintenance Requirements
(File No. SR-PCX-01-43)

RAN-01-43

Nov 13

Archipelago Exchange
(File No. SR-PCX-00-25)

RAN-01-42

Nov 7

Automatic Execution of Broker-Dealer Orders
(File No. SR-PCX-00-05)

RAN-01-41

Oct 29

Auto-Ex Split Price Executions
(File No. SR-PCX-2001-35)

RAN-01-40

Oct 2

Auto-Ex Incentive Program for Market Makers

RAN-01-39

Sep 27

Composition of the PCX Nominating Committee
(File No. SR-PCX-2001-28)

RAN-01-38

Sep 27

Accepting Orders From Professional Customers
(File No. SR-PCX-01-26)

RAN-01-35

Aug 23

New Rules Relating to Order Service Firms
(File No. SR-PCX-01-32)

RAN-01-34

Aug 23

New Options Floor Member Qualification Examinations
(File No. SR-PCX-01-29)

RAN-01-37

Aug 22

Withdrawal from the JEOP
(File No. SR-PCX-2001-27)

RAN-01-36

Aug 22

One Year Extension of the AOR
(File No. SR-PCX-2001-31)

RAN-01-33

Aug 7

Minor Rule Plan for Equities
(File No. SR-PCX-01-19)

RAN-01-32

Jul 20

PCX Equities Rules Relating to Exchange-Traded Fund Shares ("ETFs")

RAN-01-31

Jul 5

Auto-Ex Book Function

RAN-01-30

Jul 5

Procedures for Members to Submit Proposals to List Options

RAN-01-29

Jun 29

PCX Equities Board of Directors Composition

RAN-01-28

Jun 25

Housekeeping Amendments to Rules Governing Floor Brokers

RAN-01-27

Jun 14

Housekeeping Changes to Options Trading Rules

RAN-01-25

Jun 6

Options Firm Quote Rule

RAN-01-26

Jun 4

Financial Arrangements of Options Floor Members

RAN-01-24

Apr 27

Options on Exchange-Traded Fund Shares

RAN-01-23

Apr 24

PCX Equities Rules Relating to Trading of Standardized Trust Issued Receipts

RAN-01-22

Apr 9

Rules Relating to Trading of Standardized Equity Options on Trust Issued Receipts

RAN-01-21

Apr 9

Rules Relating to Solicited Options Transactions

RAN-01-20

Apr 9

Rules Relating to Prohibition of Harassment

RAN-01-19

Mar 28

Options Firm Quote Rule

RAN-01-18

Mar 26

Rebate of Marketing Charges to Market Makers

RAN-01-17

Mar 12

Options on Exchange-Traded Fund Shares

RAN-01-16

Mar 9

Increase in Fines for Violations of Exchange Rules Under the Minor Rule Plan (File No. SR-PCX-00-37)

RAN-01-15

Feb 22

Rule Changes Relating to Option Trade Reporting

RAN-01-14

Feb 21

Use of the Automatic Execution System for Options

RAN-01-13

Feb 15

Dissemination of Options Market Size via OPRA

RAN-01-12

Feb 15

Interim Intermarket Options Linkage

RAN-01-11

Feb 14

Rules Relating to Prohibition of Harassment

RAN-01-10

Feb 12

Requirements for Audit Committees of Listed Companies

RAN-01-09

Feb 9

Rule Changes Relating to Internet Electronic Mail Accounts

RAN-01-08

Feb 9

Rule Changes Relating to Internet Electronic Mail Accounts

RAN-01-07

Jan 26

Automatic Execution System, 100-Up

RAN-01-06

Jan 23

Rule Changes Modifying Options-Related Transaction Charges and Firm Transaction Fees

RAN-01-03

Jan 24

Options Housekeeping Amendments

RAN-01-05

Jan 22

Use of Telephones on Options Floor

RAN-01-04

Jan 19

Dissemination of Options Market Sizes via OPRA

RAN-01-02

Jan 10

Supervisory Procedures

RAN-01-01

Jan 10

Rule Changes Relating to Supervisory Procedures



2001 Regulatory Bulletins (RB)

Bulletin

Date

Subject

RB-01-10

Dec 19

Securities Transactions Effected for Tax Purposes

RB-01-08

Dec 7

PCX Invoicing of the 2002 SIPC Assessment

RB-01-09

Nov 21

Member Discrimination and Harassment Policy

RB-01-07

Oct 23

Examination Program and Books & Records Requirements for Floor Members

RB-01-05

Aug 27

Disciplinary Sanctions Imposed and Arbitration Awards Rendered

RB-01-06

Aug 8

Member Discrimination and Harassment Policy

RB-01-04

May 22

Disciplinary Sanctions Imposed and Arbitration Awards Rendered

RB-01-03

Feb 12

Clock Synchronization

RB-01-02

Jan 31

Furnishing Requested Information to the Pacific Exchange

RB-01-01

Jan 12

FOCUS Reports and Annual Compliance Forms



2001 Regulatory Bulletins - Equities (RBE)

Bulletin

Date

Subject

RBE-01-03

Jan 11

Post Primary Trading Session

RBE-01-02

Jan 4

Supervisory Procedures

RBE-01-01

Jan 4

Supervisory Procedures



2001 Regulatory Bulletins - Options (RBO)

Bulletin

Date

Subject

RBO-01-39

Dec 10

PCX Rules on Entry of Option Orders for Automatic Execution

RBO-01-38

Nov 29

PCX Approved Marketing Charges

RBO-01-37

Nov 16

Suggested Marketing Fees

RBO-01-36

Nov 12

Marketing Fees

RBO-01-35

Oct 25

Auto-Ex Incentive Program for Market Makers
(File No. SR-PCX-01-05)

RBO-01-34

Oct 19

Entry of Computer Generated Option Orders

RBO-01-33

Oct 15

Trading Rotations and Hours of Business

RBO-01-32

Oct 3

Reallocation Guideline - 5% Minimum Market Share

RBO-01-31

Sep 28

Use of Identification Badges on the Trading Floor

RBO-01-30

Aug 15

PCX Approved Marketing Charges

RBO-01-28

Aug 15

Trade Reporting

RBO-01-25

Aug 8

Marketing Fees

RBO-01-08a

Jul 24

Listing Options Policy Statement ("LOPS")

RBO-01-24

Jun 29

Floor Decorum and Conduct

RBO-01-23

Jun 21

Trade Reporting Surveillance and Enforcement

RBO-01-22

Jun 21

Firm Quote and Auto-Ex Size Guarantees

RBO-01-21

Jun 15

Options Trade Reporting

RBO-01-20

May 23

Transfer of Issues Guidelines (TIG)

RBO-01-19

May 21

Anti-Competitive Trading Practices Relating to Floor Broker Errors and/or Proprietary Trades

RBO-01-18

May 16

Requests for Trading Related Modifications

RBO-01-17

Apr 4

Foreign Broker-Dealer Exemption From Firm Quote Rule

RBO-01-16

Mar 30

SEC Firm Quote Rule

RBO-01-15

Mar 21

New Application Form - Bid Sheet

RBO-01-14

Mar 21

Transfer of Issues Guidelines (TIG)

RBO-01-13

Mar 19

Trade Reporting

RBO-01-12

Mar 7

New SEC Firm Quote Rule - Operative on April 1, 2001

RBO-01-08

Feb 20

Trading Hours - Pcx Rules Prohibit Trading After The Close

RBO-01-10

Feb 15

New SEC Options Firm Quote Rule - Becomes Operative on 4/1/01

RBO-01-09

Feb 15

Rule Changes Relating to Solicited Option Transactions

RB0-01-07

Feb 1

Auto-Ex Trades Nullified or Adjusted by Floor Officials

RB0-01-06

Jan 29

Auto-Ex Log-On Requirements, Separate Treatment of LEAPS®

RBO-01-05

Jan 10

Apple Computer, Inc. (AAPL/AAQ)

Ineligibility of Apr 52 ½ Strikes Addition

RBO-01-04

Jan 10

Priceline.Com, Inc. (PCLN/PUZ)

Ineligibility for Addition of Jul 5, Jul 7 ½ and Jul 10 Strikes

RBO-01-03

Jan 5

PCX Procedures on Options Series Added in Error

RBO-01-02

Jan 4

Supervisory Procedures

RBO-01-01

Jan 4

Rule Changes Relating to Supervisory Procedures



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