34-63266
Nov. 5, 2010
SR-NYSE-2010-67
Order Execution Sequence Comments Due: Rel. No. 34-62955 Federal Register version (75 FR 69491)
34-63255
Nov. 5, 2010
SR-BX-2010-066
Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, To Enhance the Quotation Standards for Market Makers File Nos.: Comments Due: Rel. No. 34-62945 , Rel. No. 34-62946 , Rel. No. 34-62947 , Rel. No. 34-62948 , Rel. No. 34-62949 , Rel. No. 34-62950 , Rel. No. 34-62951 , Rel. No. 34-62952 , Rel. No. 34-62953 , Rel. No. 34-62954 Federal Register version (75 FR 69484)
34-63255
Nov. 5, 2010
SR-FINRA-2010-049
Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, To Enhance the Quotation Standards for Market Makers File Nos.: Comments Due: Rel. No. 34-62945 , Rel. No. 34-62946 , Rel. No. 34-62947 , Rel. No. 34-62948 , Rel. No. 34-62949 , Rel. No. 34-62950 , Rel. No. 34-62951 , Rel. No. 34-62952 , Rel. No. 34-62953 , Rel. No. 34-62954 Federal Register version (75 FR 69484)
34-63255
Nov. 5, 2010
SR-NSX-2010-12
Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, To Enhance the Quotation Standards for Market Makers File Nos.: Comments Due: Rel. No. 34-62945 , Rel. No. 34-62946 , Rel. No. 34-62947 , Rel. No. 34-62948 , Rel. No. 34-62949 , Rel. No. 34-62950 , Rel. No. 34-62951 , Rel. No. 34-62952 , Rel. No. 34-62953 , Rel. No. 34-62954 Federal Register version (75 FR 69484)
34-63255
Nov. 5, 2010
SR-CHX-2010-22
Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, To Enhance the Quotation Standards for Market Makers File Nos.: Comments Due: Rel. No. 34-62945 , Rel. No. 34-62946 , Rel. No. 34-62947 , Rel. No. 34-62948 , Rel. No. 34-62949 , Rel. No. 34-62950 , Rel. No. 34-62951 , Rel. No. 34-62952 , Rel. No. 34-62953 , Rel. No. 34-62954 Federal Register version (75 FR 69484)
34-63255
Nov. 5, 2010
SR-NYSE-2010-69
Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, To Enhance the Quotation Standards for Market Makers File Nos.: Comments Due: Rel. No. 34-62945 , Rel. No. 34-62946 , Rel. No. 34-62947 , Rel. No. 34-62948 , Rel. No. 34-62949 , Rel. No. 34-62950 , Rel. No. 34-62951 , Rel. No. 34-62952 , Rel. No. 34-62953 , Rel. No. 34-62954 Federal Register version (75 FR 69484)
34-63255
Nov. 5, 2010
SR-NASDAQ-2010-115
Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, To Enhance the Quotation Standards for Market Makers File Nos.: Comments Due: Rel. No. 34-62945 , Rel. No. 34-62946 , Rel. No. 34-62947 , Rel. No. 34-62948 , Rel. No. 34-62949 , Rel. No. 34-62950 , Rel. No. 34-62951 , Rel. No. 34-62952 , Rel. No. 34-62953 , Rel. No. 34-62954 Federal Register version (75 FR 69484)
34-63255
Nov. 5, 2010
SR-CBOE-2010-087
Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, To Enhance the Quotation Standards for Market Makers File Nos.: Comments Due: Rel. No. 34-62945 , Rel. No. 34-62946 , Rel. No. 34-62947 , Rel. No. 34-62948 , Rel. No. 34-62949 , Rel. No. 34-62950 , Rel. No. 34-62951 , Rel. No. 34-62952 , Rel. No. 34-62953 , Rel. No. 34-62954 Federal Register version (75 FR 69484)
34-63255
Nov. 5, 2010
SR-BATS-2010-025
Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, To Enhance the Quotation Standards for Market Makers File Nos.: Comments Due: Rel. No. 34-62945 , Rel. No. 34-62946 , Rel. No. 34-62947 , Rel. No. 34-62948 , Rel. No. 34-62949 , Rel. No. 34-62950 , Rel. No. 34-62951 , Rel. No. 34-62952 , Rel. No. 34-62953 , Rel. No. 34-62954 Federal Register version (75 FR 69484)
34-63255
Nov. 5, 2010
SR-NYSEAmex-2010-96
Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, To Enhance the Quotation Standards for Market Makers File Nos.: Comments Due: Rel. No. 34-62945 , Rel. No. 34-62946 , Rel. No. 34-62947 , Rel. No. 34-62948 , Rel. No. 34-62949 , Rel. No. 34-62950 , Rel. No. 34-62951 , Rel. No. 34-62952 , Rel. No. 34-62953 , Rel. No. 34-62954 Federal Register version (75 FR 69484)
34-63255
Nov. 5, 2010
SR-NYSEArca-2010-83
Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, To Enhance the Quotation Standards for Market Makers File Nos.: Comments Due: Rel. No. 34-62945 , Rel. No. 34-62946 , Rel. No. 34-62947 , Rel. No. 34-62948 , Rel. No. 34-62949 , Rel. No. 34-62950 , Rel. No. 34-62951 , Rel. No. 34-62952 , Rel. No. 34-62953 , Rel. No. 34-62954 Federal Register version (75 FR 69484)
34-63245
Nov. 4, 2010
SR-DTC-2010-12
Order Approving Proposed Rule Change To Automate the Approval Process in Providing Trustee Access to the Security Position Report Service Comments Due: Rel. No. 34-62990 Federal Register version (75 FR 69150)
34-63217
Nov. 1, 2010
SR-OCC-2010-14
Order Approving Proposed Rule Change To Revise Its Rules To Expand the Forms of Collateral Eligible for Incorporation in the System for Theoretical Analysis and Numerical Simulations Risk Management Methodology Comments Due: Rel. No. 34-62854 , Rel. No. 34-62854 Federal Register version (75 FR 68392)
34-63202
Oct. 28, 2010
SR-CBOE-2010-080
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Trade Options on Leveraged Exchange-Traded Notes and To Broaden the Definition of "Futures-Linked Securities" Comments Due: Rel. No. 34-62880 Federal Register version (75 FR 67794)
34-63196
Oct. 27, 2010
SR-FINRA-2010-046
Order Approving Proposed Rule Change To Remove the Exemption From the Trading Activity Fee for Transactions in Exchange Listed Options Effected by a Member When FINRA Is Not the Designated Options Examining Authority for That Member Rel. No. 34-62927 Federal Register version (75 FR 67421)
34-63132
Oct. 19, 2010
SR-Phlx-2010-118
Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Expand the $.50 Strike Price Program Comments Due: Rel. No. 34-62799 Federal Register version (75 FR 65541)
34-63121
Oct. 18, 2010
SR-Phlx-2010-119
Order Approving Proposed Rule Change To Amend Exchange Rule 652 ("Limitation of Exchange Liability and Reimbursement of Certain Expenses") To Require Member Organizations on the Exchange's Trading Floor To Procure and Maintain Liability Insurance Comments Due: Rel. No. 34-62892 Federal Register version (75 FR 65392)
34-63125
Oct. 18, 2010
SR-ODD-2010-02
Canadian Derivatives Clearing Corporation; Order Approving Accelerated Distribution of an Amended Options Disclosure Document Federal Register version (75 FR 65537)
34-63110
Oct. 14, 2010
SR-NASDAQ-2010-107
Order Granting Approval to a Proposed Rule Change To Modify the Eligibility Criteria for the Second Compliance Period for a Bid Price Deficiency on the Nasdaq Capital Market Comments Due: Rel. No. 34-62782 Federal Register version (75 FR 65044)
34-63104
Oct. 14, 2010
SR-ISE-2010-91
Order Approving Proposed Rule Change To Adopt a Pilot Program To List Additional Expiration Months for Each Class of Options Opened for Trading on the Exchange Comments Due: Rel. No. 34-62772 Federal Register version (75 FR 64773)
34-63098
Oct. 13, 2010
SR-NASDAQ-2010-074
Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 4753(c) as a Six Month Pilot in 100 NASDAQ-Listed Securities Comments Due: View Received Comments Rel. No. 34-64071 , Rel. No. 34-63685 , Rel. No. 34-62740 , Rel. No. 34-62468 Federal Register version (75 FR 64384)
34-63086
Oct. 13, 2010
SR-MSRB-2010-03
Order Approving Proposed Rule Change Relating to Amendments to the Continuing Disclosure Service of the MSRB's Electronic Municipal Market Access System (EMMA) Comments Due: View Received Comments Federal Register version (75 FR 63884)
34-63096
Oct. 13, 2010
SR-CBOE-2010-077
Order Granting Approval of Proposed Rule Change To List Series With Up to 12 Expiration Months for Broad-Based Security Index Options Upon Which the Exchange Calculates a Volatility Index Comments Due: Rel. No. 34-62847 Federal Register version (75 FR 64371)
34-63076
Oct. 12, 2010
SR-NYSEArca-2010-79
Order Granting Approval of a Proposed Rule Change To List and Trade Shares of Cambria Global Tactical ETF Comments Due: Rel. No. 34-62788 Federal Register version (75 FR 63874)
34-63073
Oct. 12, 2010
SR-MSRB-2010-07
Order Granting Approval of Proposed Rule Change Relating to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business Comments Due: Rel. No. 34-62830 Federal Register version (75 FR 63873)
34-63066
Oct. 8, 2010
SR-OCC-2010-13
Order Approving Proposed Rule Change To Allow for Adjustments to the Settlement Price of Exchange-Designated Security Futures for All Cash Dividends or Distributions Paid by the Issuer of the Underlying Security Comments Due: Rel. No. 34-62801 , Rel. No. 34-62801 Federal Register version (75 FR 63228)
34-63067
Oct. 8, 2010
SR-NYSEArca-2010-78
Order Granting Approval of Proposed Rule Change Relating to Listing and Trading Shares of Jefferies Commodity Real Return ETF Comments Due: Rel. No. 34-62768 Federal Register version (75 FR 63530)
34-63038
Oct. 5, 2010
SR-FICC-2010-04
Order Approving Proposed Rule Change to Provide Clarity With Respect to the Close Out Netting of the Government Securities Division in the Event of the Fixed Income Clearing Corporation's Default or Insolvency Comments Due: Rel. No. 34-62767 Federal Register version (75 FR 62899)
34-63032
Oct. 4, 2010
SR-FINRA-2010-043
Order Approving a Proposed Rule Change To Reinstitute Short Exempt Marking for Trade Reporting and OATS Rel. No. 34-62748 Federal Register version (75 FR 62439)
34-63027
Oct. 1, 2010
SR-Phlx-2010-108
Order Granting Approval to a Proposed Rule Change Relating to a Proposed Price Improvement System, Price Improvement XL Comments Due: View Received Comments Rel. No. 34-62678 Federal Register version (75 FR 62160)
34-63028
Oct. 1, 2010
SR-NASDAQ-2010-099
Order Approving a Proposed Rule Change To Adopt a Definition of Professional and Require That All Professional Orders Be Appropriately Marked Comments Due: Rel. No. 34-62724 Federal Register version (75 FR 62443)
34-63016
Sept. 29, 2010
SR-FINRA-2010-021
Order Approving Proposed Rule Change to Amend FINRA Rule 8210 to Require Information Provided via Portable Media Device be Encrypted Rel. No. 34-62318 Federal Register version (75 FR 61793)
34-63002
Sept. 28, 2010
SR-ISE-2010-81
Order Granting Approval of Proposed Rule Change Relating to Trading Options on a Reduced Value of the DAX Index, Including Long-Term Options Comments Due: Rel. No. 34-62703 Federal Register version (75 FR 61533)
34-62993
Sept. 24, 2010
SR-MSRB-2010-06
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Establish a Subscription To the Information Collected by the MSRB's Short-Term Obligation Rate Transparency ("SHORT") System Comments Due: Rel. No. 34-62734 Federal Register version (75 FR 60488)
34-62970
Sept. 22, 2010
SR-FINRA-2010-037
Order Approving the Proposed Rule Change To Amend FINRA Rule 5190 (Notification Requirements for Offering Participants) Rel. No. 34-62664 Federal Register version (75 FR 59771)
34-62961
Sept. 21, 2010
SR-NYSEAmex-2010-80
Order Approving a Proposed Rule Change Amending Its Price List To Reflect Fees Charged for Co-Location Services Comments Due: Rel. No. 34-62731 Federal Register version (75 FR 59299)
34-62960
Sept. 21, 2010
SR-NYSE-2010-56
Order Approving a Proposed Rule Change Amending Its Price List To Reflect Fees Charged for Co-Location Services Comments Due: Rel. No. 34-62732 Federal Register version (75 FR 59310)
34-62956
Sept. 20, 2010
SR-OCC-2010-09
Order Granting Approval of Proposed Rule Change Relating to Sprott Physical Gold Shares Comments Due: Rel. No. 34-62329 , Rel. No. 34-62329 Federal Register version (75 FR 59303)
34-62929
Sept. 17, 2010
Order Approving a Proposed Rule Change Relating to a Revenue Sharing Program With Correlix, Inc. Rel. No. 34-62682 Federal Register version (75 FR 58003)
34-62928
Sept. 17, 2010
SR-EDGA-2010-09
Order Approving a Proposed Rule Change Relating to a Revenue Sharing Program With Correlix, Inc. Comments Due: Rel. No. 34-62683 Federal Register version (75 FR 58002)
34-62925
Sept. 16, 2010
SR-NASDAQ-2010-096
Order Granting Approval to a Proposed Rule Change Relating to the National Quotation Dissemination Service Comments Due: Rel. No. 34-62629 Federal Register version (75 FR 57822)
34-62923
Sept. 15, 2010
SR-NYSE-2010-20
Order Approving Proposed Rule Changes Amending Rule 123C to Allow Exchange Systems to Provide Order Imbalance Information With Respect to Market At-The-Close and Marketable Limit At-The-Close Interest to Floor Brokers Beginning Two Hours and Until Fifteen Minutes Prior to the Scheduled Close of Trading on Every Trading Day File Nos.: Comments Due: View Received Comments Rel. No. 34-62312 , Rel. No. 34-62311 Federal Register version (75 FR 57541)
34-62923
Sept. 15, 2010
SR-NYSEAmex-2010-25
Order Approving Proposed Rule Changes Amending Rule 123C to Allow Exchange Systems to Provide Order Imbalance Information With Respect to Market At-The-Close and Marketable Limit At-The-Close Interest to Floor Brokers Beginning Two Hours and Until Fifteen Minutes Prior to the Scheduled Close of Trading on Every Trading Day File Nos.: Comments Due: Rel. No. 34-62312 , Rel. No. 34-62311 Federal Register version (75 FR 57541)
34-62911
Sept. 14, 2010
SR-CBOE-2009-075
Order Approving Notice of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Establish a Pilot Program To List P.M.-Settled End of Week and End of Month Expirations for Options on Broad-Based Indexes Comments Due: Rel. No. 34-62658 Federal Register version (75 FR 57539)
34-62883
Sept. 10, 2010
SR-FINRA-2010-033
Order Approving Proposed Rule Change Relating To Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000 Index and Specified Exchange Traded Products Rel. No. 34-62763 , Rel. No. 34-62688A , Rel. No. 34-62416 Federal Register version (75 FR 56608)
34-62885
Sept. 10, 2010
SR-FINRA-2010-032
Order Granting Approval of Proposed Rule Change Relating to Clearly Erroneous Transactions Rel. No. 34-62798 , Rel. No. 34-62729 , Rel. No. 34-62341 Federal Register version (75 FR 56641)
34-62884
Sept. 10, 2010
SR-BATS-2010-18
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000 Index and Specified Exchange Traded Products File Nos.: Comments Due: View Received Comments Rel. No. 34-62409 Federal Register version (75 FR 56618)
34-62884
Sept. 10, 2010
SR-NSX-2010-08
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000 Index and Specified Exchange Traded Products File Nos.: Comments Due: View Received Comments Rel. No. 34-62409 Federal Register version (75 FR 56618)
34-62884
Sept. 10, 2010
SR-CHX-2010-14
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000 Index and Specified Exchange Traded Products File Nos.: Comments Due: View Received Comments Rel. No. 34-62409 Federal Register version (75 FR 56618)
34-62884
Sept. 10, 2010
SR-NYSE-2010-49
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000 Index and Specified Exchange Traded Products File Nos.: Comments Due: View Received Comments Rel. No. 34-62409 Federal Register version (75 FR 56618)
34-62884
Sept. 10, 2010
SR-NASDAQ-2010-079
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000 Index and Specified Exchange Traded Products File Nos.: Comments Due: View Received Comments Rel. No. 34-62409 Federal Register version (75 FR 56618)
34-62884
Sept. 10, 2010
SR-CBOE-2010-065
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000 Index and Specified Exchange Traded Products File Nos.: Comments Due: View Received Comments Rel. No. 34-62409 Federal Register version (75 FR 56618)
34-62884
Sept. 10, 2010
SR-EDGX-2010-05
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000 Index and Specified Exchange Traded Products File Nos.: Comments Due: View Received Comments Rel. No. 34-62409 Federal Register version (75 FR 56618)
34-62884
Sept. 10, 2010
SR-EDGA-2010-05
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000 Index and Specified Exchange Traded Products File Nos.: Comments Due: View Received Comments Rel. No. 34-62409 Federal Register version (75 FR 56618)
34-62884
Sept. 10, 2010
SR-NYSEAmex-2010-63
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000 Index and Specified Exchange Traded Products File Nos.: Comments Due: View Received Comments Rel. No. 34-62409 Federal Register version (75 FR 56618)
34-62884
Sept. 10, 2010
SR-NYSEArca-2010-61
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000 Index and Specified Exchange Traded Products File Nos.: Comments Due: View Received Comments Rel. No. 34-62409 Federal Register version (75 FR 56618)
34-62884
Sept. 10, 2010
SR-BX-2010-044
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000 Index and Specified Exchange Traded Products File Nos.: Comments Due: View Received Comments Rel. No. 34-62409 Federal Register version (75 FR 56618)
34-62884
Sept. 10, 2010
SR-ISE-2010-66
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000 Index and Specified Exchange Traded Products File Nos.: Comments Due: View Received Comments Rel. No. 34-62409 Federal Register version (75 FR 56618)
34-62886
Sept. 10, 2010
SR-EDGA-2010-03
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions File Nos.: Comments Due: View Received Comments Rel. No. 34-62337 , Rel. No. 34-62340 Federal Register version (75 FR 56613)
34-62886
Sept. 10, 2010
SR-NYSEAmex-2010-60
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions File Nos.: Comments Due: View Received Comments Rel. No. 34-62337 , Rel. No. 34-62340 Federal Register version (75 FR 56613)
34-62886
Sept. 10, 2010
SR-NYSEArca-2010-58
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions File Nos.: Comments Due: View Received Comments Rel. No. 34-62337 , Rel. No. 34-62340 Federal Register version (75 FR 56613)
34-62886
Sept. 10, 2010
SR-BX-2010-040
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions File Nos.: Comments Due: View Received Comments Rel. No. 34-62337 , Rel. No. 34-62340 Federal Register version (75 FR 56613)
34-62886
Sept. 10, 2010
SR-ISE-2010-62
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions File Nos.: Comments Due: View Received Comments Rel. No. 34-62337 , Rel. No. 34-62340 Federal Register version (75 FR 56613)
34-62886
Sept. 10, 2010
SR-BATS-2010-016
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions File Nos.: Comments Due: View Received Comments Rel. No. 34-62337 , Rel. No. 34-62340 Federal Register version (75 FR 56613)
34-62886
Sept. 10, 2010
SR-NSX-2010-07
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions File Nos.: Comments Due: View Received Comments Rel. No. 34-62337 , Rel. No. 34-62340 Federal Register version (75 FR 56613)
34-62886
Sept. 10, 2010
SR-CHX-2010-13
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions File Nos.: Comments Due: View Received Comments Rel. No. 34-62337 , Rel. No. 34-62340 Federal Register version (75 FR 56613)
34-62886
Sept. 10, 2010
SR-NYSE-2010-47
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions File Nos.: Comments Due: View Received Comments Rel. No. 34-62337 , Rel. No. 34-62340 Federal Register version (75 FR 56613)
34-62886
Sept. 10, 2010
SR-NASDAQ-2010-076
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions File Nos.: Comments Due: View Received Comments Rel. No. 34-62337 , Rel. No. 34-62340 Federal Register version (75 FR 56613)
34-62886
Sept. 10, 2010
SR-CBOE-2010-056
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions File Nos.: Comments Due: View Received Comments Rel. No. 34-62337 , Rel. No. 34-62340 Federal Register version (75 FR 56613)
34-62886
Sept. 10, 2010
SR-EDGX-2010-03
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions File Nos.: Comments Due: View Received Comments Rel. No. 34-62337 , Rel. No. 34-62340 Federal Register version (75 FR 56613)
34-62877
Sept. 9, 2010
SR-Phlx-2010-79
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Establishment of NASDAQ OMX PSX as a Platform for Trading NMS Stocks Comments Due: Rel. No. 34-62519 Federal Register version (75 FR 56633)
34-62875
Sept. 9, 2010
SR-NYSEArca-2010-71
Order Granting Approval of Proposed Rule Change To List and Trade Shares of the ETFS White Metals Basket Trust Comments Due: Rel. No. 34-62620 Federal Register version (75 FR 56156)
34-62866
Sept. 8, 2010
4-274
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Chicago Stock Release No. 34-62657 Federal Register version (75 FR 55833)
34-62856
Sept. 7, 2010
SR-NYSEArca-2010-68
Order Granting Approval of a Proposed Rule Change Relating to Listing and Trading of Shares of the PIMCO Build America Bond Strategy Fund Comments Due: Rel. No. 34-62585 Federal Register version (75 FR 55840)
34-62849
Sept. 3, 2010
SR-NSCC-2010-07
Order Approving Proposed Rule Change To Amend Addendum C of its Rules and Procedures To Implement Risk Enhancements To its Stock Borrow Program Comments Due: Rel. No. 34-62567 Federal Register version (75 FR 55836)
34-62842
Sept. 3, 2010
SR-FINRA-2010-030
Order Granting Approval of a Proposed Rule Change To Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRA Rulebook Rel. No. 34-62454 Federal Register version (75 FR 55842)
34-62828
Sept. 2, 2010
SR-FICC-2010-02
Order Approving Proposed Rule Change To Amend the Rules of the Government Securities Division and the Mortgage-Backed Securities Division To Change the Classification of U.S. Branches or Agencies of Non-U.S. Banks From Foreign to U.S. Members Comments Due: Rel. No. 34-62478 Federal Register version (75 FR 54929)
34-62823
Sept. 1, 2010
4-518
Order Approving Amendment To Add EDGA Exchange, Inc. and EDGX Exchange, Inc. as Participants to National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS Federal Register version (75 FR 55381)
34-62776
Aug. 26, 2010
SR-Phlx-2010-91
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Phlx Rule 604 Relating to Registration and Qualification Requirements for PSX Comments Due: Rel. No. 34-62509 Federal Register version (75 FR 53727)
34-62755
Aug. 20, 2010
SR-MSRB-2010-02
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, To Enhance the Interest Rate and Descriptive Information Currently Collected and Made Transparent by the MSRB on Municipal Auction Rate Securities and Variable Rate Demand Obligations Comments Due: View Received Comments Rel. No. 34-61793 , Rel. No. 34-62550 Federal Register version (75 FR 52793)
34-62742
Aug. 19, 2010
SR-MSRB-2010-05
Order Approving Proposed Rule Change Relating to the Continuing Disclosure Service of the MSRB Electronic Municipal Market Access (EMMA) System Comments Due: View Received Comments Rel. No. 34-62489 Federal Register version (75 FR 52383)
34-62737
Aug. 17, 2010
SR-NYSEArca-2010-64
Order Approving Proposed Rule Change Relating to Listing of the Wilshire Micro-Cap ETF Comments Due: Rel. No. 34-62471 Federal Register version (75 FR 51863)
34-62726
Aug. 16, 2010
SR-NSCC-2010-05
Order Approving Proposed Rule Change To Enhance the Process for Transfers Through the Automated Customer Account Transfer Service Comments Due: Rel. No. 34-62385 Federal Register version (75 FR 51867)
34-62727
Aug. 16, 2010
SR-DTC-2010-09
Order Approving Proposed Rule Change To Revise its Procedures Regarding Securities Delivered to or From Participant Accounts Through the Automated Customer Account Transfer Service of National Securities Clearing Corporation Comments Due: Rel. No. 34-62384 Federal Register version (75 FR 51866)
34-62702
Aug. 12, 2010
SR-FINRA-2010-026
Order Approving the Proposed Rule Change To Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook Rel. No. 34-62199 Federal Register version (75 FR 51147)
34-62692
Aug. 11, 2010
SR-NYSEArca-2010-56
Order Granting Approval of Proposed Rule Change To List and Trade Shares of the ETFS Precious Metals Basket Trust Comments Due: Rel. No. 34-62402 Federal Register version (75 FR 50789)
34-62680
Aug. 10, 2010
SR-EDGX-2010-06
Order Approving Proposed Rule Change to Amend the EDGX Fee Schedule to Impose Fees for Physical Ports Used To Connect To EDGX Exchange Rel. No. 34-62437 Federal Register version (75 FR 50019)
34-62681
Aug. 10, 2010
SR-EDGA-2010-06
Order Approving Proposed Rule Change To Amend the EDGA Fee Schedule To Impose Fees for Physical Ports Used To Connect to EDGA Exchange Comments Due: Rel. No. 34-62436 Federal Register version (75 FR 50020)
34-62663
Aug. 9, 2010
SR-NASDAQ-2010-077
Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections Comments Due: Rel. No. 34-62392 Federal Register version (75 FR 49543)
34-62639
Aug. 4, 2010
SR-Phlx-2010-89
Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections Comments Due: Rel. No. 34-62394 Federal Register version (75 FR 48391)
34-62638
Aug. 4, 2010
SR-BX-2010-043
Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections Comments Due: Rel. No. 34-62393 Federal Register version (75 FR 48390)
34-62623
Aug. 2, 2010
SR-NYSEArca-2010-51
Order Granting Approval of a Proposed Rule Change Relating to Listing and Trading of WisdomTree Dreyfus Commodity Currency Fund under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-62349 Federal Register version (75 FR 47652)
34-62604
July 30, 2010
SR-NYSEArca-2010-49
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Regarding Listing and Trading of the WisdomTree Emerging Markets Local Debt Fund Comments Due: Rel. No. 34-62350 Federal Register version (75 FR 47323)
34-62605
July 30, 2010
SR-NASDAQ-2010-068
Order Approving a Proposed Rule Change to Establish a Revenue Sharing Program With Correlix, Inc. Comments Due: Rel. No. 34-62326 Federal Register version (75 FR 47651)
34-62598
July 29, 2010
SR-NYSEArca-2010-48
Order Market Makers Comments Due: Rel. No. 34-62328 Federal Register version (75 FR 47052)
34-62578
July 27, 2010
SR-NYSE-2010-43
Order Approving Proposed Rule Changes Amending the Exchanges' Rules To Incorporate the Receipt and Execution of Odd-Lot Interest Into the Round Lot Market and Decommission the Use of the "Odd-Lot System" File Nos.: Comments Due: View Received Comments Rel. No. 34-62302 , Rel. No. 34-62303 Federal Register version (75 FR 45185)
34-62578
July 27, 2010
SR-NYSEAmex-2010-53
Order Approving Proposed Rule Changes Amending the Exchanges' Rules To Incorporate the Receipt and Execution of Odd-Lot Interest Into the Round Lot Market and Decommission the Use of the "Odd-Lot System" File Nos.: Comments Due: View Received Comments Rel. No. 34-62302 , Rel. No. 34-62303 Federal Register version (75 FR 45185)
34-62554
July 22, 2010
SR-NASDAQ-2008-014
Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, To Amend Certain Corporate Governance Disclosure Requirements for Listed Companies Comments Due: Rel. No. 34-62285 Federal Register version (75 FR 44829)
34-62539
July 21, 2010
SR-FINRA-2010-029
Order Approving the Proposed Rule Change To Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the Consolidated FINRA Rulebook Rel. No. 34-62299 Federal Register version (75 FR 44033)
34-62533
July 20, 2010
SR-FINRA-2010-028
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt NASD Rule 3210 (Short Sale Delivery Requirements) as FINRA Rule 4320 in the Consolidated FINRA Rulebook Rel. No. 34-62288 Federal Register version (75 FR 43588)
