34-64688
June 16, 2011
SR-Phlx-2011-56
Order for Execution on the Floor of the Exchange Comments Due: View Received Comments Rel. No. 34-64415 Federal Register version (76 FR 36606)
34-64689
June 16, 2011
SR-NYSEArca-2011-18
Order Granting Approval of Proposed Rule Change To List and Trade the Meidell Tactical Advantage ETF Comments Due: Rel. No. 34-64357 Federal Register version (76 FR 36608)
34-64690
June 16, 2011
SR-NYSEArca-2011-17
Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Madrona Forward Domestic ETF, Madrona Forward International ETF, and Madrona Forward Global Bond ETF Comments Due: Rel. No. 34-64342 Federal Register version (76 FR 36600)
34-64653
June 13, 2011
SR-CBOE-2011-041
Order Granting Approval of Proposed Rule Change Establishing Qualified Contingent Cross Orders Comments Due: View Received Comments Rel. No. 34-64354
34-64643
June 10, 2011
SR-NYSEArca-2011-21
Order Granting Approval of Proposed Rule Change To List and Trade the WisdomTree Global Real Return Fund Comments Due: Rel. No. 34-64411 Federal Register version (76 FR 35062)
34-64605
June 6, 2011
SR-DTC-2011-05
Order Granting Approval of a Proposed Rule Change To Amend Rules Relating to the Memo Segregation Function Comments Due: Rel. No. 34-64360 Federal Register version (76 FR 34118)
34-64599
June 3, 2011
SR-C2-2011-008
Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Allow the Listing and Trading of a P.M.-Settled S&P 500 Index Option Product Comments Due: View Received Comments Rel. No. 34-65256 , Rel. No. 34-64266 , Rel. No. 34-64011 Federal Register version (76 FR 33798)
34-64590
June 2, 2011
SR-FINRA-2011-020
Order Granting Approval of a Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities Rel. No. 34-64353 Federal Register version (76 FR 33388)
34-64561
May 27, 2011
SR-NYSE-2011-15
Order Granting Approval of Proposed Rule Change To Modify the Initial Trading Market Value for Debt Securities Comments Due: Rel. No. 34-64287 Federal Register version (76 FR 32248)
34-64549
May 26, 2011
SR-Phlx-2011-46
Order Granting Approval of Proposed Rule Change To Expand the Number of Components in the PHLX Gold/Silver SectorSM Comments Due: Rel. No. 34-64244 Federal Register version (76 FR 32004)
34-64550
May 26, 2011
SR-NYSEArca-2011-11
Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Guggenheim Enhanced Core Bond ETF and Guggenheim Enhanced Ultra-Short Bond ETF Comments Due: Rel. No. 34-64224 Federal Register version (76 FR 32005)
34-64551
May 26, 2011
SR-CBOE-2011-026
Order Granting Accelerated Approval to Amendment No. 1 Thereto To Trade Options on Certain Individual Stock Based Volatility Indexes and Exchange-Traded Fund Based Volatility Indexes Comments Due: Rel. No. 34-64245 Federal Register version (76 FR 32000)
34-64512
May 18, 2011
SR-FINRA-2011-017
Order Granting Accelerated Approval of a Proposed Rule Change To Amend FINRA Rule 5131 (New Issue Allocations and Distributions) Rel. No. 34-64341 Federal Register version (76 FR 29808)
34-64478
May 12, 2011
SR-Phlx-2011-28
Order Approving Proposed Rule Change To Expand the Number of Components in the PHLX Oil Service SectorSM Comments Due: Rel. No. 34-64282 , Release No. 34-64075 Federal Register version (76 FR 28840)
34-64463
May 11, 2011
SR-NASDAQ-2011-037
Order Approving Proposed Rule Change To Modify Chapter V, Section 4 and Chapter VI, Section 8 of the Exchange's Rules Relating to Opening and Halt Crosses on the NASDAQ Options Market Comments Due: Rel. No. 34-64143 Federal Register version (76 FR 28257)
34-64437
May 6, 2011
SR-BX-2010-059
Order Granting Accelerated Approval to Amendment No. 2 Thereto To Create a Listing Market on the Exchange Comments Due: View Received Comments Rel. No. 34-64028 , Rel. No. 34-63597 , Rel. No. 34-63448 , Rel. No. 34-63105 , Rel. No. 34-62818 Federal Register version (76 FR 27710)
34-64363
April 28, 2011
SR-FINRA-2011-011
Order Approving Proposed Rule Change To Amend the By-Laws of FINRA Regulation, Inc. With Regard to District Committees Rel. No. 34-64002 Federal Register version (76 FR 25397)
34-64364
April 28, 2011
SR-FINRA-2011-012
Order Granting Approval of a Proposed Rule Change Relating to TRACE Reporting of Asset-Backed Securities Rel. No. 34-64084 , Rel. No. 34-64283 Federal Register version (76 FR 25385)
34-64338
April 25, 2011
SR-Phlx-2011-13
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to NASDAQ OMX PHLX LLC's Limited Liability Company Agreement, By-Laws, Rules, Advices and Regulations Comments Due: Release No. 34-63981 , Release No. 34-64276 Federal Register version (76 FR 24069)
34-64321
April 21, 2011
SR-NYSEAmex-2011-11
Order Approving a Proposed Rule Change Amending Rule 103B-NYSE Amex Equities To Modify the Application of the Exchange's Designated Market Maker Allocation Policy in the Event of a Merger Involving One or More Listed Companies Comments Due: Rel. No. 34-64040 , Rel. No. 34-64274 Federal Register version (76 FR 23637)
34-64322
April 21, 2011
SR-NYSE-2011-09
Order Approving a Proposed Rule Change Amending Exchange Rule 103B To Modify the Application of the Exchange's Designated Market Maker Allocation Policy in the Event of a Merger Involving One or More Listed Companies Comments Due: Rel. No. 34-64039 , Rel. No. 34-64273 Federal Register version (76 FR 23637)
34-64285
April 8, 2011
SR-NASDAQ-2011-025
Order Approving Proposed Rule Change To Amend The NASDAQ OMX Group, Inc. By-Laws Comments Due: Rel. No. 34-63925 Federal Register version (76 FR 21085)
34-64225
April 7, 2011
SR-FINRA-2011-006
Order Granting Approval of a Proposed Rule Change Relating To Motions in Arbitration Rel. No. 34-63910 Federal Register version (76 FR 20757)
34-64226
April 7, 2011
SR-FINRA-2011-005
Order Granting Approval of a Proposed Rule Change Relating to Promissory Note Proceedings Rel. No. 34-64226A , Rel. No. 34-63909 Federal Register version (76 FR 20741)
34-64196
April 6, 2011
SR-NSCC-2010-15
Order Approving Proposed Rule Change Relating to Establishing an Automated Service for the Processing of Transfers, Replacements, and Exchanges of Insurance and Retirement Products Comments Due: Rel. No. 34-63368 Federal Register version (76 FR 20425)
34-64201
April 6, 2011
SR-MSRB-2011-04
Order Granting Approval of Proposed Rule Change To Amend the MSRB Short-Term Obligation Rate Transparency (SHORT) Subscription Service Comments Due: Rel. No. 34-63950 Federal Register version (76 FR 20783)
34-64181
April 5, 2011
SR-OCC-2010-19
Order Approving a Proposed Rule Change Relating to Stock Loan Programs Comments Due: Rel. No. 34-63623 , Rel. No. 34-63623 Federal Register version (76 FR 20063)
34-64191
April 5, 2011
SR-DTC-2010-15
Order Granting Approval of a Proposed Rule Change To Amend Rules Relating to the Requirement To Maintain a Balance Certificate in the Fast Automated Securities Transfer Program Comments Due: View Received Comments Rel. No. 34-63320 Federal Register version (76 FR 20061)
34-64189
April 5, 2011
SR-CBOE-2011-008
Order Granting Approval of Proposed Rule Change To Permit the Listing of Series With $0.50 and $1 Strike Price Increments on Certain Options Used To Calculate Volatility Indexes Comments Due: Rel. No. 34-63927 Federal Register version (76 FR 20066)
34-64157
March 31, 2011
SR-Phlx-2011-15
Order Granting Approval of Proposed Rule Change To Expand the $2.50 Strike Price Program Comments Due: Rel. No. 34-63914 Federal Register version (76 FR 18817)
34-64154
March 31, 2011
SR-ODD-2011-02
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Variability Index Options and Relative Performance Index Options and Amendment to the Options Disclosure Document Inside Front Cover Federal Register version (76 FR 19173)
34-64127
March 25, 2011
SR-CBOE-2011-010
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Bylaw and Related Rule Changes Comments Due: Rel. No. 34-63844 Federal Register version (76 FR 17974)
34-64128
March 25, 2011
SR-C2-2011-003
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Bylaw and Related Rule Changes Comments Due: Rel. No. 34-63845 Federal Register version (76 FR 17973)
34-64119
March 24, 2011
SR-OCC-2011-02
Order Approving Proposed Rule Change To Accommodate the Clearance of Relative Performance Options Comments Due: Rel. No. 34-63811 , Rel. No. 34-63811 Federal Register version (76 FR 17727)
34-64115
March 23, 2011
SR-ISE-2006-01
Order Approving a Proposed Rule Change To Amend Exchange Rule Governing Directed Orders Comments Due: View Received Comments Rel. No. 34-53103 , Comments Federal Register version (76 FR 17466)
34-64097
March 18, 2011
SR-BX-2010-079
Order Services Comments Due: Rel. No. 34-63539 Federal Register version (76 FR 16650)
34-64090
March 17, 2011
SR-BX-2011-007
Order Approving a Proposed Rule Change Relating to Permanent Approval of the BX and NES Inbound Routing Relationship Comments Due: Rel. No. 34-63859 Federal Register version (76 FR 16462)
34-64091
March 17, 2011
SR-ISE-2011-04
Order Approving a Proposed Rule Change To Establish New Classes of Market Makers for Index Options Comments Due: Rel. No. 34-63761 Federal Register version (76 FR 16464)
34-64043
March 7, 2011
S7-24-89
Order Approving Amendment No. 25 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc. Comments Due: Release No. 34-63756 Federal Register version (76 FR 13442)
34-64041
March 4, 2011
SR-FINRA-2011-004
Order Granting Approval of a Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities Rel. No. 34-63751 Federal Register version (76 FR 13248)
34-63986
Feb. 28, 2011
SR-FICC-2010-09
Order Granting Approval of a Proposed Rule Change To Introduce Cross-Margining of Certain Positions Cleared at the Fixed Income Clearing Corporation and Certain Positions Cleared at New York Portfolio Clearing, LLC Comments Due: View Received Comments Rel. No. 34-63361 Federal Register version (76 FR 12144)
34-63954
Feb. 24, 2011
SR-ISE-2009-35
Order Setting Aside the Order by Delegated Authority Approving SR-ISE-2009-35 and Dismissing CBOE's Petition for Review Comments Due: View Received Comments
34-63955
Feb. 24, 2011
SR-ISE-2010-73
Order Rules Comments Due: Rel. No. 34-62523 Federal Register version (76 FR 11533)
34-63961
Feb. 24, 2011
SR-FINRA-2010-059
Order Approving Proposed Rule Change To Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook Rel. No. 34-63331 Federal Register version (76 FR 11542)
34-63948
Feb. 23, 2011
SR-BATS-2011-002
Order Granting Accelerated Approval of a Proposed Rule Change To Amend BATS Rules in Connection With the Implementation of Amendments to Regulation SHO Rel. No. 34-63766 Federal Register version (76 FR 11303)
34-63947
Feb. 23, 2011
SR-BYX-2011-002
Order Granting Accelerated Approval of a Proposed Rule Change To Amend BYX Rules in Connection With the Implementation of Amendments to Regulation SHO Rel. No. 34-63767 Federal Register version (76 FR 11301)
34-63930
Feb. 18, 2011
SR-EDGX-2010-17
Order Instituting Proceedings To Determine Whether To Disapprove a Proposed Rule Change as Modified by Amendment No. 2 to Amend EDGX Rules 11.9 and 11.5 Regarding Step-up Orders Comments Due: View Received Comments Rel. No. 34-63574 , Rel. No. 34-63336 Federal Register version (76 FR 10414)
34-63929
Feb. 18, 2011
SR-EDGA-2010-18
Order Instituting Proceedings To Determine Whether To Disapprove a Proposed Rule Change as Modified by Amendment No. 2 to Amend EDGA Rules 11.9 and 11.5 Regarding Step-up Orders Comments Due: View Received Comments Rel. No. 34-63572 , Rel. No. 34-63335 Federal Register version (76 FR 10416)
34-63933
Feb. 18, 2011
SR-FINRA-2010-056
Order Approving a Proposed Rule Change To Adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and To Amend the FINRA Rule 9520 Series (Eligibility Proceedings) Federal Register version (76 FR 10629)
34-63919
Feb. 16, 2011
SR-NYSEArca-2010-116
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the WisdomTree Asia Local Debt Fund Comments Due: Rel. No. 34-63609 Federal Register version (76 FR 10073)
34-63915
Feb. 15, 2011
SR-NYSEArca-2010-121
Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of FactorShares Funds Comments Due: Rel. No. 34-63636 Federal Register version (76 FR 9843)
34-63885
Feb. 10, 2011
SR-FINRA-2010-055
Order Disapproving Proposed Rule Change To Amend FINRA Rule 6140 (Other Trading Practices) Rel. No. 34-63582 , Rel. No. 34-63256 Federal Register version (76 FR 9062)
34-63875
Feb. 9, 2011
SR-Phlx-2010-183
Order Granting Approval of Proposed Rule Change Expanding Its Short Term Option Program Comments Due: Rel. No. 34-63594 Federal Register version (76 FR 8793)
34-63881
Feb. 9, 2011
SR-NYSEArca-2010-120
Order Approving a Proposed Rule Change To List and Trade Shares of the SPDR Nuveen S&P High Yield Municipal Bond ETF Comments Due: Rel. No. 34-63624 Federal Register version (76 FR 9065)
34-63869
Feb. 8, 2011
SR-NYSEArca-2010-119
Order Approving a Proposed Rule Change To List and Trade Shares of the Teucrium WTI Crude Oil Fund Comments Due: Rel. No. 34-63625 Federal Register version (76 FR 8799)
34-63860
Feb. 7, 2011
SR-Phlx-2010-176
Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Alpha Index Options Comments Due: Rel. No. 34-63575 Federal Register version (76 FR 7888)
34-63843
Feb. 4, 2011
SR-ISE-2010-115
Order Approving Proposed Rule Change Regarding Registration, Qualification, and Continuing Education Requirements for Members and Associated Persons Comments Due: View Received Comments Rel. No. 34-63554 Federal Register version (76 FR 7884)
34-63819
Feb. 2, 2011
SR-CBOE-2010-106
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Margin Requirements for Credit Options Comments Due: Rel. No. 34-63546 Federal Register version (76 FR 6838)
34-63802
Jan. 31, 2011
SR-NYSEArca-2010-118
Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the SiM Dynamic Allocation Diversified Income ETF and SiM Dynamic Allocation Growth Income ETF Comments Due: Rel. No. 34-63587 Federal Register version (76 FR 6503)
34-63804
Jan. 31, 2011
SR-NASDAQ-2010-134
Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Change To Adopt Additional Criteria for Listing Commodity Stockpiling Companies That Have Indicated Their Business Plan Is To Buy and Hold Commodities Comments Due: View Received Comments Rel. No. 34-64700 , Rel. No. 34-64259 , Rel. No. 34-63508 , Rel. No. 34-63207 Federal Register version (76 FR 6506)
34-63792
Jan. 28, 2011
SR-NYSE-2010-77
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, in Connection With the Proposal of NYSE Euronext To Eliminate the Requirement of an 80% Supermajority Vote To Amend or Repeal Section 3.1 of its Bylaws Comments Due: Rel. No. 34-63532 Federal Register version (76 FR 6167)
34-63796
Jan. 28, 2011
SR-NASDAQ-2011-010
Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Link Market Data Fees and Transaction Execution Fees Comments Due: View Received Comments Rel. No. 34-65362 , Rel. No. 34-64916 , 34-63745 Federal Register version (76 FR 6165)
34-63784
Jan. 27, 2011
SR-FINRA-2010-052
Order Approving a Proposed Rule Change Adopting FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook Rel. No. 34-63181 Federal Register version (76 FR 5850)
34-63777
Jan. 26, 2011
SR-Phlx-2010-157
Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Complex Orders Comments Due: Rel. No. 34-63509 Federal Register version (76 FR 5630)
34-63773
Jan. 25, 2011
SR-NYSEAmex-2010-109
Order Granting Approval of Proposed Rule Change Regarding the Listing of Options Series With $1 Strike Prices Comments Due: Rel. No. 34-63463 Federal Register version (76 FR 5646)
34-63770
Jan. 25, 2011
SR-NYSEArca-2010-106
Order Granting Approval of Proposed Rule Change Regarding the Listing of Options Series with $1 Strike Prices Comments Due: Rel. No. 34-63462 Federal Register version (76 FR 5627)
34-63764
Jan. 25, 2011
SR-MSRB-2010-17
Order Granting Approval of Proposed Rule Change Consisting of Amendments to Rule A-3, on Membership on the Board Comments Due: View Received Comments Rel. No. 34-63533 Federal Register version (76 FR 5417)
34-63762
Jan. 25, 2011
SR-CBOE-2010-109
Order Approving Notice of Proposed Rule Change Regarding Rule 4.20-Anti-Money Laundering Compliance Program Comments Due: Rel. No. 34-63559 Federal Register version (76 FR 5415)
34-63753
Jan. 21, 2011
SR-NYSEArca-2010-110
Order Approving a Proposed Rule Change To List and Trade Shares of the Teucrium Natural Gas Fund Comments Due: 34-63493 Federal Register version (76 FR 4963)
34-63737
Jan. 19, 2011
SR-NYSEArca-2010-103
Order Granting Approval of Proposed Rule Change Relating to Listing and Trading Shares of the AdvisorShares Active Bear ETF Comments Due: Rel. No. 34-63349 , Rel. No. 34-63635 Federal Register version (76 FR 4968)
34-63736
Jan. 19, 2011
SR-NYSE-2010-74
Order Approving a Proposed Rule Change To Create a Bond Trading License for Member Organizations and Establish Bonds Liquidity Providers as a New Market Class on NYSE Under a Pilot Program Comments Due: Rel. No. 34-63444 Federal Register version (76 FR 4959)
34-63731
Jan. 19, 2011
SR-BX-2010-083
Order Approving a Proposed Rule Change Relating to the Price Improvement Period To Permit an Initiating Participant To Designate a PIP Surrender Quantity Comments Due: Rel. No. 34-63416 Federal Register version (76 FR 4400)
34-63722
Jan. 14, 2011
SR-NSCC-2010-16
Order Granting Approval of a Proposed Rule Change To Amend Procedure II of the NSCC Rules & Procedures To Modify the Money Tolerance Comparison Provisions for Fixed Income Securities Comments Due: Rel. No. 34-63404 Federal Register version (76 FR 4405)
34-63719
Jan. 14, 2011
4-518
Order Approving Amendment To Add the BATS Y-Exchange, Inc. as Participant to National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS Release No. 34-62896 Federal Register version (76 FR 4399)
34-63711
Jan. 12, 2011
SR-ODD-2011-01
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Credit Default Options in, and Making Certain Technical Amendments to, the June 2007 Supplement to the Options Disclosure Document Federal Register version (76 FR 3684)
34-63692
Jan. 11, 2011
SR-Phlx-2010-163
Order Granting Approval of Proposed Rule Change Relating to Obvious Errors Respecting Complex Trades Comments Due: View Received Comments Rel. No. 34-63367 Federal Register version (76 FR 2940)
34-63654
Jan. 6, 2011
SR-Phlx-2010-158
Order Granting Approval of Proposed Rule Change Establishing a $5 Strike Price Program Comments Due: Federal Register version (76 FR 2182)
34-63668
Jan. 6, 2011
SR-NSCC-2010-09
Order Approving Proposed Rule Change Regarding the Creation of a Universal Trade Capture Application and Automated Special Representative Facility Comments Due: Rel. No. 34-62882 Federal Register version (76 FR 2737)
34-63647
Jan. 5, 2011
SR-Phlx-2010-148
Order Granting Approval of a Proposed Rule Change Relating to Certain Membership Rules Including Affiliations and Lapse of Membership Applications Comments Due: Federal Register version (76 FR 2180)
34-63635
Jan. 3, 2011
SR-NYSEArca-2010-103
Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Jefferies S&P 500 VIX Short-Term Futures ETF Comments Due: Rel. No. 34-63349 , 34-63737 Federal Register version (76 FR 1489)
34-63627
Dec. 30, 2010
SR-Phlx-2010-153
Order Approving a Proposed Rule Change To Update and Streamline the Process for Specialist Evaluations and Clarify the Time Within Which SQTs and RSQTs Must Begin To Electronically Quote After Assignment Comments Due: Rel. No. 34-63305 Federal Register version (76 FR 814)
34-63621
Dec. 29, 2010
SR-MSRB-2010-10
Order Granting Approval of Proposed Rule Change Consisting of Amendments to Rule A-13 To Increase Transaction Assessments for Certain Municipal Securities Transactions Reported to the Board and to Institute a New Technology Fee on Reported Sales Transactions Comments Due: View Received Comments Rel. No. 34-63095 Federal Register version (76 FR 604)
34-63611
Dec. 28, 2010
SR-FICC-2010-08
Order Approving Proposed Rule Change To Eliminate Certain Cash Adjustments Currently Processed by the MBSD Comments Due: Rel. No. 34-63301 Federal Register version (76 FR 408)
34-63610
Dec. 27, 2010
SR-NYSEArca-2010-101
Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the ProShares VIX Short-Term Futures ETF and the ProShares VIX Mid-Term Futures ETF Comments Due: Rel. No. 34-63317 Federal Register version (76 FR 199)
34-63607
Dec. 23, 2010
SR-NASDAQ-2010-137
Order Approving Proposed Rule Change To Amend IM-5101-2 To Provide Special Purpose Acquisition Companies the Option To Hold a Tender Offer in Lieu of a Shareholder Vote on a Proposed Acquisition and Other Changes to the SPAC Listing Standards Comments Due: View Received Comments Release No. 34-63239 Federal Register version (75 FR 82420)
34-63598
Dec. 22, 2010
SR-NYSEArca-2010-98
Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Managed Futures Strategy Fund Comments Due: Rel. No. 34-63292 Federal Register version (75 FR 82106)
34-63599
Dec. 22, 2010
SR-MSRB-2010-16
Order Granting Approval of Amendments to Rule G-5, on Disciplinary Actions by Appropriate Regulatory Agencies, Remedial Notices by Registered Securities Associations; and Rule G-17, on Conduct of Municipal Securities Activities Comments Due: View Received Comments Rel. No. 34-63309 Federal Register version (75 FR 82119)
34-63588
Dec. 21, 2010
SR-NSCC-2010-11
Order Granting Approval of a Proposed Rule Change to Enhance the Reconfirmation and Pricing Service, Including the Creation of the Obligation Warehouse Comments Due: Rel. No. 34-63126 Federal Register version (75 FR 82112)
34-63558
Dec. 16, 2010
SR-NYSEAmex-2010-100
Order Approving a Proposed Rule Change Relating to Complex Orders Comments Due: Rel. No. 34-63187 Federal Register version (75 FR 80553)
34-63567
Dec. 16, 2010
SR-DTC-2010-14
Order Granting Approval of a Proposed Rule Change To Authorize Additional Shares of Preferred Stock and Designate Shares as Series A Preferred Stock Comments Due: Rel. No. 34-63254 Federal Register version (75 FR 80878)
34-63464
Dec. 8, 2010
SR-NYSEArca-2010-95
Order Granting Accelerated Approval of a Proposed Rule Change To List and Trade Shares of the ETFS Asian Gold Trust Comments Due: Rel. No. 34-63267 Federal Register version (75 FR 77926)
34-63448
Dec. 7, 2010
SR-BX-2010-059
Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Change, as Modified by Amendment No. 1, To Create a Listing Market on the Exchange Comments Due: View Received Comments Rel. No. 34-64437 , Rel. No. 34-64028 , Rel. No. 34-63597 , Rel. No. 34-63105 , Rel. No. 34-62818 Federal Register version (75 FR 77036)
34-63430
Dec. 3, 2010
4-618
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to Regulation NMS Rules Comments Due: View Received Comments Release No. 34-63230 Federal Register version (75 FR 76758)
34-63352
Nov. 19, 2010
SR-CBOE-2010-046
Order Granting Approval of Proposed Rule Change To Amend Certain Rules Pertaining to Credit Options Comments Due: Rel. No. 34-63026 Federal Register version (75 FR 73155)
34-63340
Nov. 18, 2010
SR-MSRB-2010-09
Order Granting Approval of Proposed Rule Change Consisting of Fee Changes to Its Real-Time Transaction Price Service and Comprehensive Transaction Price Service, and Termination of its T+1 Transaction Price Service Comments Due: Rel. No. 34-63089 Federal Register version (75 FR 72850)
34-63329
Nov. 17, 2010
SR-NYSEArca-2010-86
Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the Peritus High Yield ETF Comments Due: Rel. No. 34-63041 Federal Register version (75 FR 71760)
34-63311
Nov. 12, 2010
SR-FINRA-2010-044
Order Audit Trail System to All NMS Stocks Rel. No. 34-62739 Federal Register version (75 FR 70757)
34-63314
Nov. 12, 2010
SR-CBOE-2010-084
Order Approving Proposed Rule Change Regarding Registration and Qualification Requirements for Associated Persons Comments Due: View Received Comments Rel. No. 34-62977 Federal Register version (75 FR 70957)
34-63293
Nov. 9, 2010
SR-OCC-2010-16
Order Approving Proposed Rule Change Relating to Weekly Options And Monthly Options Comments Due: Rel. No. 34-62942 , Rel. No. 34-62942 Federal Register version (75 FR 70055)
34-63278
Nov. 8, 2010
SR-OCC-2010-05
Order Granting Approval of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options With One-Cent Exercise Prices Comments Due: Rel. No. 34-61820 , Rel. No. 34-61820 Federal Register version (75 FR 70060)
