34-62188
May 27, 2010
SR-NYSEArca-2010-23
Order Approving Proposed Rule Change To Modify the Fees for NYSE Arca Trades, To Establish the NYSE Arca BBO Service and Related Fees, and To Provide an Alternative Unit-of-Count Methodology for Those Services Comments Due: Rel. No. 34-61937 Federal Register version (75 FR 31484)
34-62190
May 27, 2010
SR-CBOE-2010-021
Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Correlated Instrument Delta Hedge Exemption Comments Due: Rel. No. 34-61785 Federal Register version (75 FR 31826)
34-62181
May 26, 2010
SR-NYSE-2010-30
Order Approving Proposed Rule Change To Establish the NYSE BBO Service Comments Due: Rel. No. 34-61914 Federal Register version (75 FR 31488)
34-62182
May 26, 2010
SR-MSRB-2009-09
Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Rule G-32, on Disclosures in Connection with Primary Offerings, Form G-32, and the Primary Market Disclosure and Primary Market Subscription Services of the MSRB's Electronic Municipal Market Access System (EMMA) Comments Due: View Received Comments Rel. No. 34-60314 , Rel. No. 34-61238 Federal Register version (75 FR 30893)
34-62161
May 24, 2010
SR-ODD-2010-01
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Options on Conventional Index-Linked Securities and Amendment to the Options Disclosure Document Inside Front Cover Federal Register version (75 FR 38589)
34-62157
May 24, 2010
SR-NYSEArca-2010-28
Order Approving Proposed Rule Amending Its Schedule of Fees Comments Due: Rel. No. 34-61895 Federal Register version (75 FR 30095)
34-62156
May 24, 2010
SR-FINRA-2010-007
Order Approving Proposed Rule Change To Amend the By-Laws of NASD Dispute Resolution Rel. No. 34-61575 Federal Register version (75 FR 30453)
34-62147
May 21, 2010
SR-Phlx-2010-43
Order Approving a Proposed Rule Change Relating to Quote Spread Parameters and Batching of Violations Comments Due: Rel. No. 34-61862 Federal Register version (75 FR 29792)
34-62141
May 20, 2010
SR-CBOE-2010-036
Order Granting Accelerated Approval of Proposed Rule Change To Permit $1 Strikes for Options on Trust Issued Receipts Comments Due: Rel. No. 34-61935 Federal Register version (75 FR 29787)
34-62139
May 19, 2010
SR-CBOE-2010-018
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade CBOE Gold ETF Volatility Index Options Comments Due: Rel. No. 34-61859 Federal Register version (75 FR 29597)
34-62038
May 5, 2010
SR-NYSE-2010-22
Order Approving Proposed Rule Change To Make Permanent a Unit-of-Count Metric Alternative for NYSE OpenBook Products Comments Due: View Received Comments Rel. No. 34-61779 Federal Register version (75 FR 26825)
34-62014
May 3, 2010
SR-NYSEAMEX-2010-26
Order Approving a Proposed Rule Change Deleting Rule 446-NYSE Amex Equities and Adopting New Rule 4370-NYSE Amex Equities To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc. Comments Due: Rel. No. 34-61744 Federal Register version (75 FR 25901)
34-62015
May 3, 2010
SR-NYSE-2010-23
Order Approving Proposed Rule Change Deleting NYSE Rule 446 and Adopting New Rule 4370 To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc. Comments Due: Rel. No. 34-61743 Federal Register version (75 FR 25902)
34-62019
April 30, 2010
SR-NYSEArca-2010-16
Order Granting Approval of Proposed Rule Change Amending Rule 6.37A and Rule 6.64 Comments Due: Rel. No. 34-61759 Federal Register version (75 FR 25889)
34-61999
April 29, 2010
SR-NYSEArca-2010-15
Order Approving a Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services Comments Due: Rel. No. 34-61748 Federal Register version (75 FR 25007)
34-62000
April 29, 2010
4-596
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the Financial Industry Re Release No. 34-61853 Federal Register version (75 FR 25004)
34-61983
April 26, 2010
SR-ISE-2010-19
Order Granting Approval of Proposed Rule Change To List and Trade Options on the ETFS Palladium Trust and the ETFS Platinum Trust Comments Due: Rel. No. 34-61742 Federal Register version (75 FR 23314)
34-61979
April 23, 2010
SR-FINRA-2010-003
Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities Rel. No. 34-61510 Federal Register version (75 FR 23316)
34-61958
April 22, 2010
SR-OCC-2010-03
Order Granting Approval of a Proposed Rule Change Relating to ETFS Palladium Shares and ETFS Platinum Shares Comments Due: Rel. No. 34-61692 , Rel. No. 34-61692 Federal Register version (75 FR 22673)
34-61943
April 20, 2010
SR-Phlx-2010-40
Order Granting Accelerated Approval of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities Comments Due: Rel. No. 34-61695 Federal Register version (75 FR 21689)
34-61947
April 20, 2010
SR-NYSE-2010-18
Order Approving Proposed Rule Change To Amend the Bylaws of NYSE Euronext To Adopt a Majority Voting Standard in Uncontested Elections of Directors Comments Due: Rel. No. 34-61694 Federal Register version (75 FR 22169)
34-61944
April 20, 2010
SR-NASDAQ-2010-035
Order Granting Accelerated Approval of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities Comments Due: Rel. No. 34-61766 Federal Register version (75 FR 21688)
34-61912
April 15, 2010
SR-NYSE-2010-15
Order Approving Proposed Rule Change Making Permanent the Exchange's Pilot Program With Respect to Its Continued Listing Standards Comments Due: Rel. No. 34-61657 Federal Register version (75 FR 21094)
34-61892
April 13, 2010
SR-CBOE-2010-015
Order Granting Approval of Proposed Rule Change To Enable the Listing and Trading of Options on the ETFS Palladium Trust and the ETFS Platinum Trust Comments Due: Rel. No. 34-61663 Federal Register version (75 FR 20649)
34-61885
April 9, 2010
SR-BATS-2010-002
Order Approving a Proposed Rule Change, As Amended, To Offer Certain BATS Exchange Data Products Rel. No. 34-61592 Federal Register version (75 FR 20018)
34-61881
April 9, 2010
SR-NYSEArca-2010-14
Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing of the United States Brent Oil Fund, LP Comments Due: Rel. No. 34-61721 Federal Register version (75 FR 20028)
34-61876
April 8, 2010
SR-NASDAQ-2010-025
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Amend the By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Rel. No. 34-61582 Federal Register version (75 FR 19436)
34-61843
April 5, 2010
SR-NYSEArca-2010-12
Order Granting Accelerated Approval of a Proposed Rule Change Relating to Listing of the One Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-61689 Federal Register version (75 FR 18558)
34-61807
March 31, 2010
SR-NYSEAmex-2010-09
Order Granting Approval of Proposed Rule Change Amending Its Trust Unit Rules and Proposing the Listing of the Nuveen Diversified Commodity Fund Comments Due: Rel. No. 34-61571 Federal Register version (75 FR 17818)
34-61808
March 31, 2010
SR-FINRA-2010-005
Order Approving Proposed Rule Change To Repeal Incorporated NYSE Rule 405(4) (Common Sales Accounts) Rel. No. 34-61543 Federal Register version (75 FR 17456)
34-61800
March 30, 2010
SR-DTC-2010-03
Order Granting Approval of a Proposed Rule Change To Eliminate the Option To Receive a Physical Certificate From DTC for Unsponsored American Depositary Receipts That Are Part of the Fast Automated Transfer Program Comments Due: Rel. No. 34-61507 Federal Register version (75 FR 17196)
34-61796
March 29, 2010
SR-Phlx-2010-20
Order Granting Approval of Proposed Rule Change To Expand the Number of Components in the PHLX Semiconductor SectorSM Comments Due: Rel. No. 34-61539 Federal Register version (75 FR 16887)
34-61797
March 29, 2010
SR-BX-2010-009
Order Process on the Boston Options Exchange Facility Comments Due: Rel. No. 34-61531 Federal Register version (75 FR 16891)
34-61787
March 26, 2010
SR-NASDAQ-2010-015
Order Approving Proposed Rule Change To Apply Retroactively a Correction of a Drafting Error in Rule 7018 Comments Due: Rel. No. 34-61524 Federal Register version (75 FR 16533)
34-61735
March 18, 2010
SR-NASDAQ-2010-007
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Elimination of a Market Maker Requirement for Each Option Series Comments Due: View Received Comments Rel. No. 34-61443 Federal Register version (75 FR 14227)
34-61716
March 16, 2010
SR-CBOE-2010-008
Order Approving a Proposed Rule Change Relating to Co-location Service Fees Comments Due: Rel. No. 34-61489 Federal Register version (75 FR 15757)
34-61713
March 15, 2010
SR-NASDAQ-2010-006
Order Granting Approval of Proposed Rule Change To Modify the Press Release Requirements for Listed Companies Comments Due: Rel. No. 34-61461 Federal Register version (75 FR 13629)
34-61710
March 15, 2010
SR-ISE-2010-02
Order Approving Proposed Rule Change To Amend Exchange Rules Related to Cut-Off Time for Contrary Exercise Advice Submissions Comments Due: Rel. No. 34-61458 Federal Register version (75 FR 13636)
34-61697
March 12, 2010
SR-NYSEArca-2010-04
Order Granting Accelerated Approval of Proposed Rule Change Relating to the WisdomTree Real Return Fund Comments Due: Rel. No. 34-61519 Federal Register version (75 FR 13616)
34-61696
March 12, 2010
SR-CBOE-2010-005
Order Approving Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities Comments Due: Rel. No. 34-61466 Federal Register version (75 FR 13174)
34-61680
March 10, 2010
SR-CHX-2009-18
Order Approving a Proposed Rule Change To Amend Its Co-Location Fees Comments Due: Rel. No. 34-61304 Federal Register version (75 FR 12590)
34-61669
March 5, 2010
SR-NASDAQ-2009-081
Order Granting Approval of Proposed Rule Change To Modify the Fees for Listing on the Nasdaq Stock Market and the Fee for Written Interpretations of Nasdaq Listing Rules Comments Due: View Received Comments Rel. No. 34-60899 Federal Register version (75 FR 11958)
34-61658
March 5, 2010
SR-FINRA-2010-001
Order Approving Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data Rel. No. 34-61361 Federal Register version (75 FR 11972)
34-61646
March 4, 2010
SR-NYSE-2010-03
Order Approving Proposed Rule Change Amending the Rule Governing the Issuance of Trading Licenses Comments Due: Rel. No. 34-61424 Federal Register version (75 FR 11604)
34-61618
March 1, 2010
SR-NSCC-2010-01
Order Approving Proposed Rule Change To Eliminate Guarantee of Payment in Connection With the Envelope Settlement Service Comments Due: Rel. No. 34-61415 Federal Register version (75 FR 10542)
34-61590
Feb. 25, 2010
SR-Phlx-2009-113
Order Granting Approval of Proposed Rule Change Relating to Index Option Position Limits Comments Due: Rel. No. 34-61326 Federal Register version (75 FR 9988)
34-61591
Feb. 25, 2010
SR-OCC-2009-20
Order Approving Proposed Rule Change Relating to ETFS Physical Swiss Gold Shares and ETFS Physical Silver Shares Comments Due: Rel. No. 34-61254 , Rel. No. 34-61254 Federal Register version (75 FR 9981)
34-61593
Feb. 25, 2010
SR-DTC-2009-17
Order Approving Proposed Rule Change To Allow The Depository Trust Company To Provide Settlement Services to European Central Counterparty Limited for U.S. Securities Traded on European Trading Venues Comments Due: Rel. No. 34-61249 Federal Register version (75 FR 9987)
34-61545
Feb. 19, 2010
SR-BATS-2009-032
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend BATS Fee Schedule To Impose Fees for Physical Ports Used To Connect to BATS Exchange Rel. No. 34-61260 Federal Register version (75 FR 8769)
34-61547
Feb. 19, 2010
SR-Phlx-2010-14
Order of Summary Abrogation of Three Proposed Rule Changes File Nos.: Comments Due: Rel. No. 34-61337 , Rel. No. 34-61398 , Rel. No. 34-61480
34-61547
Feb. 19, 2010
SR-Phlx-2009-104
Order of Summary Abrogation of Three Proposed Rule Changes File Nos.: Comments Due: Rel. No. 34-61337 , Rel. No. 34-61398 , Rel. No. 34-61480
34-61547
Feb. 19, 2010
SR-Phlx-2009-116
Order of Summary Abrogation of Three Proposed Rule Changes File Nos.: Comments Due: Rel. No. 34-61337 , Rel. No. 34-61398 , Rel. No. 34-61480
34-61537
Feb. 18, 2010
SR-FINRA-2009-095
Order Approving Proposed Rule Change To Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook Rel. No. 34-61302 Federal Register version (75 FR 8772)
34-61540
Feb. 18, 2010
SR-FINRA-2009-081
Order Approving Proposed Rule Change To Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook Rel. No. 34-61253 Federal Register version (75 FR 8771)
34-61542
Feb. 18, 2010
SR-FINRA-2009-093
Order Approving Proposed Rule Change To Repeal NASD Rule 2450 (Installment or Partial Sales), NASD Interpretive Material 2830-2 ("IM-2830-2") (Maintaining the Public Offering Price) and Incorporated NYSE Rule 413 (Uniform Forms) as Part of the Process of Developing a Consolidated FINRA Rulebook Rel. No. 34-61319 Federal Register version (75 FR 8768)
34-61496
Feb. 4, 2010
SR-NYSEArca-2009-113
Order Granting Approval of a Proposed Rule Change To List and Trade the Sprott Physical Gold Trust Comments Due: Rel. No. 34-61236 Federal Register version (75 FR 6758)
34-61498
Feb. 4, 2010
SR-ISE-2009-90
Order Approving Proposed Rule Change Relating to Changes to the U.S. Exchange Holdings, Inc. Corporate Documents and International Securities Exchange Trust Agreement Comments Due: Rel. No. 34-61005 Federal Register version (75 FR 7299)
34-61497
Feb. 4, 2010
SR-FINRA-2009-073
Order Approving Proposed Rule Change To Amend the Hearing Location Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes Rel. No. 34-61217 Federal Register version (75 FR 6769)
34-61505
Feb. 4, 2010
SR-FINRA-2009-075
Order Approving Proposed Rule Change To Amend the Postponement Fee and Hearing Session Fee Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes Rel. No. 34-61057 Federal Register version (75 FR 7297)
34-61483
Feb. 3, 2010
SR-CBOE-2010-007
Order Granting Approval of Proposed Rule Changes and Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Listing and Trading Options on the ETFS Gold Trust and the ETFS Silver Trust File Nos.: Comments Due: Rel. No. 34-61228 , Rel. No. 34-61222 , Rel. No. 34-61223 Federal Register version (75 FR 6753)
34-61473
Feb. 2, 2010
SR-FINRA-2009-087
Order Approving Proposed Rule Change To Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook Rel. No. 34-61211 Federal Register version (75 FR 6422)
34-61446
Jan. 29, 2010
SR-NASDAQ-2009-077
Order Approving Proposed Rule Change To Modify the Procedures Followed When a Listed Company Falls Below Certain Listing Requirements Comments Due: View Received Comments Rel. No. 34-60611 Federal Register version (75 FR 6072)
34-61439
Jan. 28, 2010
SR-CBOE-2009-087
Order Approving Proposed Rule Change To Establish a Pilot Program To Modify FLEX Option Exercise Settlement Values and Minimum Value Sizes Comments Due: View Received Comments Rel. No. 34-61183 Federal Register version (75 FR 5831)
34-61425
Jan. 26, 2010
SR-OCC-2009-18
Order Approving Proposed Rule Change To Allow Members To Deposit Customer Fully Paid or Excess Margin Securities to the Extent Permitted by No-Action Relief or Interpretive Guidance From the Commission or Interpretive Guidance From a Self-Regulatory Organization Comments Due: Rel. No. 34-61078 , Rel. No. 34-61078 Federal Register version (75 FR 5366)
34-61417
Jan. 25, 2010
SR-FINRA-2009-086
Order Approving Proposed Rule Change To Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook Rel. No. 34-61171 Federal Register version (75 FR 5157)
34-61403
Jan. 22, 2010
SR-NYSEAmex-2009-85
Order Approving Proposed Rule Change To Establish the NYSE Amex Realtime Reference Prices Service Comments Due: Rel. No. 34-61144 Federal Register version (75 FR 4598)
34-61404
Jan. 22, 2010
SR-NYSEArca-2009-108
Order Approving Proposed Rule Change Modifying the NYSE Arca Realtime Reference Prices Service Comments Due: Rel. No. 34-61143 Federal Register version (75 FR 5363)
34-61406
Jan. 22, 2010
SR-NYSE-2009-120
Order Approving Proposed Rule Change Relating to Changes in NYSE Realtime Reference Prices Service Comments Due: Rel. No. 34-61145 Federal Register version (75 FR 4600)
34-61405
Jan. 21, 2010
SR-Phlx-2009-101
Order Approving a Proposed Rule Change Relating to Collection of Exchange Fees Comments Due: Rel. No. 34-61141 Federal Register version (75 FR 4888)
34-61381
Jan. 20, 2010
SR-MSRB-2009-18
Order Approving Proposed Rule Change Consisting of Amendments to Rule G-37 (Political Contributions and Prohibitions on Municipal Securities Business) and Rule G-8 (Books and Records To Be Made by Brokers, Dealers and Municipal Securities Dealers) Comments Due: View Received Comments Rel. No. 34-61155 Federal Register version (75 FR 4126)
34-61365
Jan. 15, 2010
SR-NYSEArca-2009-114
Order Granting Accelerated Approval of Proposed Rule Change Relating to Listing of Grail McDonnell Fixed Income ETFs Comments Due: Rel. No. 34-61227 Federal Register version (75 FR 4124)
34-61368
Jan. 15, 2010
SR-ISE-2009-87
Order Approving Proposed Rule Change Relating to Foreign Currency Options Comments Due: Rel. No. 34-61010 Federal Register version (75 FR 3950)
34-61359
Jan. 14, 2010
SR-FINRA-2009-082
Order Approving a Proposed Rule Change Relating To Reporting of Trade Cancellations to FINRA Rel. No. 34-61105 Federal Register version (75 FR 3772)
34-61330
Jan. 12, 2010
SR-NYSEArca-2009-106
Order Approving Proposed Rule Change Relating to the Listing Fee and Annual Fee Applicable to Derivative Securities Products Comments Due: Rel. No. 34-61104 Federal Register version (75 FR 2896)
34-61333
Jan. 12, 2010
SR-NYSE-2009-117
Order Approving Proposed Rule Change Amending Its Listing Fees for Structured Products Comments Due: Federal Register version (75 FR 2899)
34-61332
Jan. 12, 2010
SR-FINRA-2009-080
Order Approving a Proposed Rule Change To Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook Rel. No. 34-61116 Federal Register version (75 FR 3270)
34-61338
Jan. 12, 2010
SR-FINRA-2009-084
Order Approving Proposed Rule Change To Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook Rel. No. 34-61083 Federal Register version (75 FR 2899)
34-61317
Jan. 8, 2010
SR-ISE-2009-103
Order Approving a Proposed Rule Change Relating to Market Data Fees Comments Due: Rel. No. 34-61086 Federal Register version (75 FR 2915)
34-61311
Jan. 7, 2010
SR-FINRA-2009-072
Order Approving Proposed Rule Change To Amend the Deficient Claims Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes Rel. No. 34-61060 Federal Register version (75 FR 2179)
34-61276
Jan. 4, 2010
SR-NYSEAmex-2009-82
Order Approving a Proposed Rule Change Rescinding NYSE Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange's Gap Quote Policy Comments Due: Rel. No. 34-61049 Federal Register version (75 FR 1439)
34-61275
Jan. 4, 2010
SR-NYSE-2009-112
Order Approving a Proposed Rule Change Rescinding Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange's Gap Quote Policy Comments Due: Rel. No. 34-61048 Federal Register version (75 FR 1438)
34-61274
Jan. 4, 2010
SR-CBOE-2009-089
Order Approving a Proposed Rule Change Related to Stock-Option Orders Comments Due: Rel. No. 34-61068 Federal Register version (75 FR 1437)
34-61257
Dec. 30, 2009
SR-NYSE-2009-116
Order Approving a Proposed Rule Change To Increase the Ceiling on Its Equity Ownership Interest in BIDS Holdings L.P. to Less Than 10% Comments Due: Rel. No. 34-61043 Federal Register version (75 FR 500)
34-61259
Dec. 30, 2009
SR-CBOE-2009-025
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Related to the Simple Auction Liaison (SAL) Comments Due: Rel. No. 34-61024 Federal Register version (75 FR 502)
34-61244
Dec. 28, 2009
SR-NYSEAmex-2009-81
Order Approving the Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Amex Equities Rule 123C To Modify the Procedures for Its Closing Process and Make Conforming Changes to NYSE Amex Equities Rule 13 and Rule 15 Comments Due: Rel. No. 34-60973 Federal Register version (75 FR 479)
34-61242
Dec. 28, 2009
SR-FINRA-2009-076
Order Approving Proposed Rule Change Amending the FINRA Rule 9550 Series (Expedited Proceedings) Rel. No. 34-61026 Federal Register version (75 FR 167)
34-61240
Dec. 24, 2009
SR-NYSEArca-2009-101
Order Approving Proposed Rule Change Amending Equities Rule 5.2(j)(3) Comments Due: Rel. No. 34-61022 Federal Register version (75 FR 168)
34-61233
Dec. 23, 2009
SR-NYSE-2009-111
Order Approving the Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Rule 123C To Modify the Procedures for Its Closing Process and Making Conforming Changes to NYSE Rules 13 and 15 Comments Due: View Received Comments Rel. No. 34-60974 Federal Register version (74 FR 69169)
34-61219
Dec. 22, 2009
SR-NYSEArca-2009-95
Order Granting Approval of Proposed Rule Change Relating to Listing and Trading Shares of the ETFS Platinum Trust Comments Due: Rel. No. 34-60970 Federal Register version (74 FR 68886)
34-61220
Dec. 22, 2009
SR-NYSEArca-2009-94
Order Granting Approval of Proposed Rule Change Relating To Listing and Trading Shares of the ETFS Palladium Trust Comments Due: Rel. No. 34-60971 Federal Register version (74 FR 68895)
34-61226
Dec. 22, 2009
SR-CTA/CQ-2009-02
Order Approving the Thirteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Seventh Charges Amendment to the Restated Consolidated Quotation Plan Comments Due: Release No. 34-60985 Federal Register version (74 FR 68893)
34-61207
Dec. 18, 2009
SR-Phlx-2009-84
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Rules Relating to Conduct of Business on the Exchange Comments Due: Rel. No. 34-60961 Federal Register version (74 FR 69185)
34-61198
Dec. 17, 2009
SR-CBOE-2009-078
Order Granting Approval of the Proposed Rule Change, as Modified by Amendment No. 1, Related to Professional Orders Comments Due: View Received Comments Rel. No. 34-60931 Federal Register version (74 FR 68880)
34-61178
Dec. 16, 2009
SR-NYSEArca-2009-90
Order Approving a Proposed Rule Change Relating to the Designation of NYSE Arca, Inc., as the NYSE's Alternative Trading Facility in an Emergency Comments Due: Exhibit 5 , Rel. No. 34-60921 Federal Register version (74 FR 68434)
34-61177
Dec. 16, 2009
SR-NYSE-2009-105
Order Approving a Proposed Rule Change Relating to the Designation of NYSE Arca, Inc., as the NYSE's Alternative Trading Facility in an Emergency Comments Due: Exhibit 5 , Rel. No. 34-60922 Federal Register version (74 FR 68643)
34-61163
Dec. 14, 2009
SR-NYSEArca-2009-103
Order Granting Accelerated Approval of a Proposed Rule Change Regarding Listing and Trading of RP Short Duration ETF Comments Due: Rel. No. 34-61021 Federal Register version (74 FR 67944)
34-61150
Dec. 10, 2009
SR-ODD-2009-01
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Dividend Index Options Comments Due:
34-61140
Dec. 10, 2009
SR-CBOE-2009-048
Order Approving a Proposed Rule Change Regarding Authority Over C2 Options Exchange, Incorporated Comments Due: Rel. No. 34-60307 Federal Register version (74 FR 67294)
34-61080
Dec. 1, 2009
SR-FINRA-2009-068
Order Granting Approval of Proposed Rule Change Relating to FINRA's Rules Governing Clearly Erroneous Executions Rel. No. 34-60851 Federal Register version (74 FR 64117)
34-61071
Nov. 30, 2009
SR-FINRA-2009-067
Order Entry and Execution Practices) in the Consolidated FINRA Rulebook Rel. No. 34-60850 Federal Register version (74 FR 64109)
