34-62482
July 12, 2010
SR-FINRA-2010-024
Order Approving a Proposed Rule Change To Adopt FINRA Rule 4210 (Margin Requirements), FINRA Rule 4220 (Daily Record of Required Margin) and FINRA Rule 4230 (Required Submissions for Requests for Extensions of Time Under Regulation T and SEC Rule 15c3-3) in the Consolidated FINRA Rulebook Rel. No. 34-62205 Federal Register version (75 FR 41562)
34-62480
July 9, 2010
SR-FINRA-2010-022
Order Approving Proposed Rule Change Relating To Amending the Codes of Arbitration Procedure To Increase the Number of Arbitrators on Lists Generated by the Neutral List Selection System Rel. No. 34-62134 Federal Register version (75 FR 41262)
34-62476
July 8, 2010
SR-FINRA-2010-012
Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) Rel. No. 34-61927 Federal Register version (75 FR 41254)
34-62463
July 7, 2010
SR-CBOE-2010-043
Order Granting Approval of Proposed Rule Change To Enable the Listing and Trading of Options on the Sprott Physical Gold Trust Comments Due: Rel. No. 34-62193 Federal Register version (75 FR 40005)
34-62441
July 2, 2010
SR-FINRA-2010-027
Order Approving Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc. Rel. No. 34-62160 Federal Register version (75 FR 40000)
34-62434
July 1, 2010
SR-FINRA-2009-089
Order Approving Proposed FINRA Rule 6490 (Processing of Company-Related Actions) To Clarify the Scope of FINRA's Authority When Processing Documents Related to Announcements for Company-Related Actions for Non-Exchange Listed Securities and To Implement Fees for Such Services Rel. No. 34-61189 Federal Register version (75 FR 39603)
34-62420
June 30, 2010
SR-Phlx-2010-72
Order Granting Approval of Proposed Rule Change To Expand Its $1 Strike Program to 150 Classes Comments Due: Rel. No. 34-62151 Federal Register version (75 FR 39593)
34-62395
June 28, 2010
SR-Phlx-2010-18
Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services Comments Due: Rel. No. 34-61486 Federal Register version (75 FR 38584)
34-62396
June 28, 2010
SR-BX-2010-012
Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services Comments Due: Rel. No. 34-61487 Federal Register version (75 FR 38585)
34-62397
June 28, 2010
SR-NASDAQ-2010-019
Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services Comments Due: Rel. No. 34-61488 Federal Register version (75 FR 38860)
34-62399
June 28, 2010
SR-ISE-2010-34
Order Feed Comments Due: Rel. No. 34-62117 Federal Register version (75 FR 38587)
34-62380
June 25, 2010
SR-NASDAQ-2010-052
Order Approving Proposed Rule Change To Establish the Nasdaq Short Sale Volume and Monthly Short Sale Transaction Service and Related Fees Comments Due: Rel. No. 34-62112 Federal Register version (75 FR 38162)
34-62359
June 22, 2010
SR-FINRA-2009-054
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish in the Market for OTC Equity Securities Certain Regulatory Protections Derived From Certain Rules Adopted by the Commission in the Market for Listed Securities Rel. No. 34-60515 , and Rel. No. 34-61677 Federal Register version (75 FR 37488)
34-62317
June 17, 2010
SR-CBOE-2010-038
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Related to the Hybrid Matching Algorithms Comments Due: Rel. No. 34-62083 Federal Register version (75 FR 36147)
34-62323
June 17, 2010
SR-C2-2010-002
Order Granting Approval of a Proposed Rule Change Relating to the Corporate Restructuring of C2 in Connection With the Demutualization of the Chicago Board Options Exchange, Incorporated Comments Due: Rel. No. 34-62118 Federal Register version (75 FR 36144)
34-62304
June 16, 2010
SR-NYSEArca-2010-31
Order Approving Proposed Rule Change To Amend NYSE Arca Rule 3.3(a) and Section 401(a) of the Exchange's Bylaws To Eliminate the Exchange's Audit Committee, Compensation Committee, and Regulatory Oversight Committee Comments Due: Rel. No. 34-62032 Federal Register version (75 FR 36136)
34-62290
June 14, 2010
SR-OCC-2010-07
Order Granting Approval of a Proposed Rule Change Relating to Clearing Options on the CBOE Gold ETF Volatility Index Comments Due: Rel. No. 34-62094 , Rel. No. 34-62094 Federal Register version (75 FR 35861)
34-62289
June 14, 2010
SR-CTA/CQ-2009-03
Order Approving the Fifteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Eleventh Substantive Amendment to the Restated Consolidated Quotation Plan Comments Due: Release No. 34-61457 Federal Register version (75 FR 34795)
34-62258
June 10, 2010
SR-BX-2010-027
Order Approving Proposed Rule Change To Establish New Fee for TotalView Service Available to Non-Professionals and to Establish an Optional Non-Display Usage Cap for Internal Distributors of TotalView Comments Due: Rel. No. 34-62001 Federal Register version (75 FR 34490)
34-62251
June 10, 2010
SR-FINRA-2010-025
Order Granting Accelerated Approval to Proposed Rule Change To Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) To Permit FINRA To Halt Trading by FINRA Members Otherwise Than on an Exchange Where a Primary Listing Market Has Issued a Trading Pause Due to Extraordinary Market Conditions Rel. No. 34-62133 Federal Register version (75 FR 34183)
34-62252
June 10, 2010
SR-NYSEArca-2010-41
Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-62121 , Rel. No. 34-62122 , Rel. No. 34-62123 , Rel. No. 34-62124 , Rel. No. 34-62125 , Rel. No. 34-62126 , Rel. No. 34-62127 , Rel. No. 34-62128 , Rel. No. 34-62129 , Rel. No. 34-62130 , Rel. No. 34-62131 , Rel. No. 34-62132 Federal Register version (75 FR 34186)
34-62252
June 10, 2010
SR-BX-2010-037
Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-62121 , Rel. No. 34-62122 , Rel. No. 34-62123 , Rel. No. 34-62124 , Rel. No. 34-62125 , Rel. No. 34-62126 , Rel. No. 34-62127 , Rel. No. 34-62128 , Rel. No. 34-62129 , Rel. No. 34-62130 , Rel. No. 34-62131 , Rel. No. 34-62132 Federal Register version (75 FR 34186)
34-62252
June 10, 2010
SR-ISE-2010-48
Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-62121 , Rel. No. 34-62122 , Rel. No. 34-62123 , Rel. No. 34-62124 , Rel. No. 34-62125 , Rel. No. 34-62126 , Rel. No. 34-62127 , Rel. No. 34-62128 , Rel. No. 34-62129 , Rel. No. 34-62130 , Rel. No. 34-62131 , Rel. No. 34-62132 Federal Register version (75 FR 34186)
34-62252
June 10, 2010
SR-BATS-2010-014
Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-62121 , Rel. No. 34-62122 , Rel. No. 34-62123 , Rel. No. 34-62124 , Rel. No. 34-62125 , Rel. No. 34-62126 , Rel. No. 34-62127 , Rel. No. 34-62128 , Rel. No. 34-62129 , Rel. No. 34-62130 , Rel. No. 34-62131 , Rel. No. 34-62132 Federal Register version (75 FR 34186)
34-62252
June 10, 2010
SR-NSX-2010-05
Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-62121 , Rel. No. 34-62122 , Rel. No. 34-62123 , Rel. No. 34-62124 , Rel. No. 34-62125 , Rel. No. 34-62126 , Rel. No. 34-62127 , Rel. No. 34-62128 , Rel. No. 34-62129 , Rel. No. 34-62130 , Rel. No. 34-62131 , Rel. No. 34-62132 Federal Register version (75 FR 34186)
34-62252
June 10, 2010
SR-CHX-2010-10
Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-62121 , Rel. No. 34-62122 , Rel. No. 34-62123 , Rel. No. 34-62124 , Rel. No. 34-62125 , Rel. No. 34-62126 , Rel. No. 34-62127 , Rel. No. 34-62128 , Rel. No. 34-62129 , Rel. No. 34-62130 , Rel. No. 34-62131 , Rel. No. 34-62132 Federal Register version (75 FR 34186)
34-62252
June 10, 2010
SR-NYSE-2010-39
Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-62121 , Rel. No. 34-62122 , Rel. No. 34-62123 , Rel. No. 34-62124 , Rel. No. 34-62125 , Rel. No. 34-62126 , Rel. No. 34-62127 , Rel. No. 34-62128 , Rel. No. 34-62129 , Rel. No. 34-62130 , Rel. No. 34-62131 , Rel. No. 34-62132 Federal Register version (75 FR 34186)
34-62252
June 10, 2010
SR-NASDAQ-2010-061
Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-62121 , Rel. No. 34-62122 , Rel. No. 34-62123 , Rel. No. 34-62124 , Rel. No. 34-62125 , Rel. No. 34-62126 , Rel. No. 34-62127 , Rel. No. 34-62128 , Rel. No. 34-62129 , Rel. No. 34-62130 , Rel. No. 34-62131 , Rel. No. 34-62132 Federal Register version (75 FR 34186)
34-62252
June 10, 2010
SR-CBOE-2010-047
Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-62121 , Rel. No. 34-62122 , Rel. No. 34-62123 , Rel. No. 34-62124 , Rel. No. 34-62125 , Rel. No. 34-62126 , Rel. No. 34-62127 , Rel. No. 34-62128 , Rel. No. 34-62129 , Rel. No. 34-62130 , Rel. No. 34-62131 , Rel. No. 34-62132 Federal Register version (75 FR 34186)
34-62252
June 10, 2010
SR-EDGX-2010-01
Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-62121 , Rel. No. 34-62122 , Rel. No. 34-62123 , Rel. No. 34-62124 , Rel. No. 34-62125 , Rel. No. 34-62126 , Rel. No. 34-62127 , Rel. No. 34-62128 , Rel. No. 34-62129 , Rel. No. 34-62130 , Rel. No. 34-62131 , Rel. No. 34-62132 Federal Register version (75 FR 34186)
34-62252
June 10, 2010
SR-EDGA-2010-01
Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-62121 , Rel. No. 34-62122 , Rel. No. 34-62123 , Rel. No. 34-62124 , Rel. No. 34-62125 , Rel. No. 34-62126 , Rel. No. 34-62127 , Rel. No. 34-62128 , Rel. No. 34-62129 , Rel. No. 34-62130 , Rel. No. 34-62131 , Rel. No. 34-62132 Federal Register version (75 FR 34186)
34-62252
June 10, 2010
SR-NYSEAmex-2010-46
Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-62121 , Rel. No. 34-62122 , Rel. No. 34-62123 , Rel. No. 34-62124 , Rel. No. 34-62125 , Rel. No. 34-62126 , Rel. No. 34-62127 , Rel. No. 34-62128 , Rel. No. 34-62129 , Rel. No. 34-62130 , Rel. No. 34-62131 , Rel. No. 34-62132 Federal Register version (75 FR 34186)
34-62250
June 9, 2010
SR-NYSEAmex-2010-37
Order Granting Approval of Proposed Rule Changes Relating to Listing and Trading Options on the ETFS Palladium Trust and the ETFS Platinum Trust File Nos.: Comments Due: Rel. No. 34-61990 , Rel. No. 34-61989 Federal Register version (75 FR 33882)
34-62250
June 9, 2010
SR-NYSEArca-2010-25
Order Granting Approval of Proposed Rule Changes Relating to Listing and Trading Options on the ETFS Palladium Trust and the ETFS Platinum Trust File Nos.: Comments Due: Rel. No. 34-61990 , Rel. No. 34-61989 Federal Register version (75 FR 33882)
34-62213
June 3, 2010
SR-NYSEArca-2010-22
Order Granting Approval of Proposed Rule Change Relating to Listing of the Teucrium Corn Fund Comments Due: Rel. No. 34-61954 Federal Register version (75 FR 32828)
34-62211
June 2, 2010
SR-FINRA-2010-014
Order Approving Proposed Rule Change Relating to FINRA Rule 9554 To Eliminate Explicitly the Inability-To-Pay Defense in the Expedited Proceedings Context Rel. No. 34-61938 Federal Register version (75 FR 32525)
34-62194
May 28, 2010
SR-Phlx-2010-48
Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Market Data Fees Comments Due: View Received Comments Rel. No. 34-61878 Federal Register version (75 FR 31830)
34-62187
May 27, 2010
SR-NYSEAmex-2010-35
Order Approving Proposed Rule Change To Establish NYSE Amex Trades and NYSE Amex BBO Services and Related Fees Comments Due: Rel. No. 34-61936 Federal Register version (75 FR 31500)
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)
