34-61067
Nov. 25, 2009
SR-NYSE-2009-89
Order Approving a Proposed Rule Change as Modified by Amendment No. 1 To Amend Certain Corporate Governance Requirements Comments Due: View Received Comments Rel. No. 34-60653 Federal Register version (74 FR 63808)
34-61061
Nov. 24, 2009
SR-NYSEArca-2009-44
Order Granting Partial Approval of a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, Expanding the Penny Pilot Program Comments Due: View Received Comments Rel. No. 34-59944 , Rel. No. 34-60711 Federal Register version (74 FR 62857)
34-61059
Nov. 24, 2009
SR-FINRA-2009-059
Order Appoving Proposed Rule Change To Adopt NASD Rules 2360 and 2361 Into the Consolidated Rulebook as FINRA Rules 2130 and 2270 Rel. No. 34-60754 Federal Register version (74 FR 62847)
34-61052
Nov. 23, 2009
SR-FINRA-2009-066
Order Granting Approval of Proposed Rule Change To Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook Rel. No. 34-60824 Federal Register version (74 FR 62857)
34-61042
Nov. 20, 2009
SR-FINRA-2009-057
Order Granting Approval of a Proposed Rule Change Relating to Section 1(c) of Schedule A to the FINRA By-Laws To Amend the Personnel Assessment and Gross Income Assessment Rel. No. 34-60624 Federal Register version (74 FR 62616)
34-61006
Nov. 16, 2009
SR-OCC-2009-15
Order Approving Proposed Rule Change To Revise the Minimum Eligibility Criteria for Common Stock Loaned Through Stock Loan Programs and Deposited as Margin Collateral Comments Due: Rel. No. 34-60743 , Rel. No. 34-60743 Federal Register version (74 FR 61182)
34-61002
Nov. 13, 2009
SR-FINRA-2009-050
Order Approving a Proposed Rule Change Relating to Availability of Information Pursuant to FINRA Rule 8312 (FINRA BrokerCheck Disclosure) Rel. No. 34-60462 Federal Register version (74 FR 61193)
34-60984
Nov. 10, 2009
SR-NYSEAmex-2009-57
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 36-NYSE Amex Equities To Conform With Proposed Amendments to Corresponding NYSE Rule 36 To Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas Comments Due: Rel. No. 34-60692 Federal Register version (74 FR 59599)
34-60975
Nov. 10, 2009
SR-NYSEArca-2009-83
Order Granting Approval of a Proposed Rule Change To List and Trade Shares of the Grail American Beacon International Equity ETF Comments Due: Rel. No. 34-60773 Federal Register version (74 FR 59590)
34-60983
Nov. 10, 2009
SR-NYSE-2009-84
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Rule 36 To Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas Comments Due: Rel. No. 34-60691 Federal Register version (74 FR 59596)
34-60978
Nov. 10, 2009
SR-CBOE-2009-068
Order Approving a Proposed Rule Change To Amend the $1 Strike Program To Allow Low-Strike LEAPS Comments Due: Rel. No. 34-60749 Federal Register version (74 FR 59296)
34-60968
Nov. 9, 2009
SR-NYSEAMEX-2009-63
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Permitting Affiliation with NYFIX Millennium L.L.C. and NYFIX Securities Corporation Comments Due: Rel. No. 34-60739 Federal Register version (74 FR 59318)
34-60967
Nov. 9, 2009
SR-NYSEARCA-2009-84
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Permitting Affiliation With NYFIX Millennium LLC and NYFIX Securities Corporation Comments Due: Rel. No. 34-60738 Federal Register version (74 FR 59330)
34-60969
Nov. 9, 2009
SR-NYSE-2009-96
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Permitting Affiliation With NYFIX Millennium LLC and NYFIX Securities Corporation Comments Due: Rel. No. 34-60737 Federal Register version (74 FR 59294)
34-60957
Nov. 6, 2009
SR-CBOE-2009-070
Order Approving a Proposed Rule Change Relating to Preferred Market Makers Comments Due: Rel. No. 34-60746 Federal Register version (74 FR 58332)
34-60889
Oct. 27, 2009
SR-DTC-2009-13
Order Approving Proposed Rule Change Relating to Municipal Bonds Redemption Process Comments Due: View Received Comments Rel. No. 34-60394 Federal Register version (74 FR 56907)
34-60872
Oct. 23, 2009
SR-OCC-2009-14
Order Approving Proposed Rule Change To Clear Options Based on Index-Linked Securities Comments Due: Rel. No. 34-60602 , Rel. No. 34-60602 Federal Register version (74 FR 55878)
34-60868
Oct. 22, 2009
SR-NYSE-2009-83
Order Approving Proposed Rule Change Amending Its Initial Listing Fees for Operating Companies Comments Due: Rel. No. 34-60644 Federal Register version (74 FR 55883)
34-60863
Oct. 22, 2009
SR-BX-2009-055
Order Approving a Proposed Rule Change To Retroactively Correct an Error in Rule 7018 Comments Due: Rel. No. 34-60634 Federal Register version (74 FR 55875)
34-60859
Oct. 21, 2009
SR-ISE-2009-64
Order Approving a Proposed Rule Change Relating to Historical ISE Open/Close Trade Profile Fees Comments Due: Rel. No. 34-60654 Federal Register version (74 FR 55610)
34-60840
Oct. 20, 2009
SR-Phlx-2009-77
Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. Regarding Listing Certain Options at $1 Strike Price Intervals Below $200 and Listing Certain Options at $2.50 Strike Price Intervals Below $200 Comments Due: Rel. No. 34-60637 Federal Register version (74 FR 55593)
34-60841
Oct. 20, 2009
4-546
Order Approving Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan Comments Due: View Received Comments Release No. 34-60507 Federal Register version (74 FR 55077)
34-60835
Oct. 16, 2009
SR-FINRA-2009-055
Order Approving Proposed Rule Change To Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) Into the Consolidated Rulebook Rel. No. 34-60613 Federal Register version (74 FR 54616)
34-60823
Oct. 14, 2009
SR-NYSEAmex-2009-59
Order Granting Approval of Proposed Rule Change Amending NYSE Amex Options Rule 915 Comments Due: Rel. No. 34-60622 Federal Register version (74 FR 54112)
34-60822
Oct. 14, 2009
SR-NYSEArca-2009-77
Order Granting Approval of Proposed Rule Change Amending NYSE Arca Options Rule 5.3(j) Comments Due: Rel. No. 34-60621 Federal Register version (74 FR 54114)
34-60818
Oct. 13, 2009
SR-BX-2009-048
Order Approving a Proposed Rule Change To Amend the Grandfathered Rules of the Exchange Comments Due: Rel. No. 34-60591 Federal Register version (74 FR 54113)
34-60741
Sept. 29, 2009
SR-NYSEAmex-2009-45
Order Approving Proposed Rule Change Amending Rule 476A (Imposition of Fines for Minor Violation(s) of Rules) Comments Due: Rel. No. 34-60520 Federal Register version (74 FR 51350)
34-60725
Sept. 28, 2009
SR-MSRB-2009-12
Order Approving Proposed Rule Change Relating to Amendments to Rule G-11(i) (Settlement of Syndicate or Similar Account), Rule G-11(j) (Payment of Designations), and Rule G-12(i) (Settlement of Joint or Similar Account) Comments Due: View Received Comments Rel. No. 34-60487 Federal Register version (74 FR 50855)
34-60716
Sept. 24, 2009
SR-NYSEArca-2009-70
Order Approving Proposed Rule Change Amending Rule 10.12 (Minor Rule Plan) Comments Due: Rel. No. 34-60518 Federal Register version (74 FR 50861)
34-60710
Sept. 23, 2009
SR-CBOE-2009-057
Order Approving Proposed Rule Change Related to Market-Maker and Specialist Orders Comments Due: Rel. No. 34-60491 Federal Register version (74 FR 50853)
34-60697
Sept. 21, 2009
SR-FINRA-2009-052
Order Granting Approval of Proposed Rule Change To Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook Rel. No. 34-60697 Federal Register version (74 FR 49051)
34-60701
Sept. 21, 2009
SR-FINRA-2009-014
Order Approving Proposed Rule Change To Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rulebook Rel. No. 34-60135 Federal Register version (74 FR 49425)
34-60687
Sept. 18, 2009
SR-Phlx-2009-59
Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Exchange's By-Laws, Regulatory Oversight Committee and Referee Program Comments Due: Rel. No. 34-60431 Federal Register version (74 FR 49060)
34-60694
Sept. 18, 2009
SR-Phlx-2009-65
Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00 Comments Due: Rel. No. 34-60466 Federal Register version (74 FR 49048)
34-60686
Sept. 18, 2009
SR-BX-2009-041
Order Approving a Proposed Rule Change To Eliminate Chapter V, Section 13 (Unusual Market Conditions) of the BOX Trading Rules and To Modify Related Rules Comments Due: Rel. No. 34-60686 Federal Register version (74 FR 49051)
34-60670
Sept. 15, 2009
SR-NYSEAmex-2009-46
Order Approving a Proposed Rule Change Amending NYSE Amex Equities Rule 1000 To Allow Exchange Systems To Access CCS Interest To Partially Fill an Incoming Limit Order Comments Due: Rel. No. 34-60428 Federal Register version (74 FR 48328)
34-60671
Sept. 15, 2009
SR-NYSE-2009-71
Order Approving a Proposed Rule Change Amending NYSE Rule 1000 to Allow Exchange Systems to Access CCS Interest To Partially Fill an Incoming Limit Order Comments Due: Rel. No. 34-60429 Federal Register version (74 FR 48327)
34-60668
Sept. 14, 2009
SR-BX-2009-043
Order Approving Proposed Rule Change To Extend a Holiday for Certain Registration and Processing Fees for Associated Persons Comments Due: Rel. No. 34-60427 Federal Register version (74 FR 48115)
34-60665
Sept. 14, 2009
SR-CBOE-2009-052
Order Approving a Proposed Rule Change Related to the Hybrid Matching Algorithms Comments Due: Rel. No. 34-60420 Federal Register version (74 FR 48114)
34-60659
Sept. 11, 2009
SR-FINRA-2009-044
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2262 (Disclosure of Control Relationship With Issuer), 2269 (Disclosure of Participation or Interest in Primary or Secondary Distribution) and 5260 (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts) in the Consolidated FINRA Rulebook Rel. No. 34-60330 Federal Register version (74 FR 48117)
34-60645
Sept. 10, 2009
SR-FINRA-2009-039
Order Approving Proposed Rule Change To Adopt FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in the Consolidated FINRA Rulebook Rel. No. 34-60112 Federal Register version (74 FR 47630)
34-60648
Sept. 10, 2009
SR-FINRA-2009-048
Order Approving Proposed Rule Change To Adopt FINRA Rule 5230 (Payments Involving Publications That Influence the Market Price of a Security) in the Consolidated FINRA Rulebook Rel. No. 34-60422 Federal Register version (74 FR 47837)
34-60639
Sept. 9, 2009
SR-CTA-2008-01
Order Approving the Eleventh Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan To Waive the Automatic Annual Increase in the Enterprise Cap for 2008 Comments Due: Release No. 34-60154 Federal Register version (74 FR 47629)
34-60635
Sept. 8, 2009
SR-FINRA-2007-024
Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto Amending Rule 2320 Regarding Best Execution and Interpositioning Rel. No. 34-59788 Federal Register version (74 FR 47302)
34-60620
Sept. 3, 2009
SR-CHX-2009-10
Order Types to the Brokerplex System Comments Due: Rel. No. 34-60395 Federal Register version (74 FR 46814)
34-60598
Sept. 1, 2009
SR-ISE-2009-45
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Changes to Rule 312 in Connection With the Purchase by International Securities Exchange Holdings, Inc. of Equity Interests in Optifreeze, LLC Comments Due: Rel. No. 34-60382 Federal Register version (74 FR 46280)
34-60594
Aug. 31, 2009
SR-DTC-2009-11
Order Approving Proposed Rule Change To Eliminate One of the Indemnity Surety Programs in the Profile Modification System Comments Due: Rel. No. 34-60304 Federal Register version (74 FR 46285)
34-60589
Aug. 31, 2009
SR-CBOE-2009-047
Order Approving a Proposed Rule Change To Permit All CBSX Market-Makers To Operate From the CBSX Floor Post Comments Due: Rel. No. 34-60375 Federal Register version (74 FR 46290)
34-60586
Aug. 28, 2009
SR-BATS-2009-026
Order Entry and Receipt of Market Data Rel. No. 34-60364 Federal Register version (74 FR 46256)
34-60582
Aug. 28, 2009
4-429
Order Approving Amendments To Withdraw From the Intermarket Options Linkage Plan Filed by Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc. View Received Comments Release No. 34-60360 Federal Register version (74 FR 45662)
34-60584
Aug. 28, 2009
SR-ISE-2009-35
Order Granting Approval of Proposed Rule Change Relating to Qualified Contingent Cross Orders Comments Due: View Received Comments Request to Vacate Order , Order Extending Time to File Statements , Order Granting Petition for Review and Scheduling Filing of Statements , Automatic Stay of Delegated Action , s Response to Motion to Lift Automatic Stay , s Petition for Review , Automatic Stay of Delegated Action , Automatic Stay of Delegated Action , s Notice of Intention to Petition for Review , s Petition for Review , Rel. No. 34-60147 Federal Register version (74 FR 45663)
34-60559
Aug. 21, 2009
SR-ISE-2009-27
Order Protection and Locked/Crossed Market Plan Comments Due: Rel. No. 34-60014 Federal Register version (74 FR 46250)
34-60560
Aug. 21, 2009
SR-FINRA-2009-045
Order Approving Proposed Rule Change Relating to Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility Rel. No. 34-60239 Federal Register version (74 FR 44414)
34-60555
Aug. 21, 2009
SR-CBOE-2009-039
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Extend the Delta Hedging Exemption From Equity Options Position Limits to Customers Comments Due: Rel. No. 34-60271 Federal Register version (74 FR 43741)
34-60550
Aug. 20, 2009
SR-Phlx-2009-61
Order Protection and Locked/Crossed Market Plan Comments Due: Rel. No. 34-60363 Federal Register version (74 FR 44430)
34-60546
Aug. 20, 2009
SR-NASDAQ-2009-058
Order Approving Proposed Rule Change To Modify Port Fees Comments Due: Rel. No. 34-60265 Federal Register version (74 FR 43184)
34-60551
Aug. 20, 2009
SR-CBOE-2009-040
Order Protection and Locked/Crossed Market Plan Comments Due: Rel. No. 34-60187 Federal Register version (74 FR 43196)
34-60542
Aug. 19, 2009
SR-NYSE-2009-60
Order Approving a Proposed Rule Change in Connection With the Proposal of NYSE Euronext To Require That at Least Three-Fourths of Its Directors Satisfy Independence Requirements Comments Due: Rel. No. 34-60261 Federal Register version (74 FR 43193)
34-60531
Aug. 19, 2009
4-443
Order Approving Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options View Received Comments Release No. 34-60365 Federal Register version (74 FR 43173)
34-60526
Aug. 18, 2009
SR-NYSEAmex-2009-19
Order Protection and Locked/Crossed Market Plan Comments Due: Rel. No. 34-60015 Federal Register version (74 FR 43185)
34-60527
Aug. 18, 2009
SR-NYSEArca-2009-45
Order Protection and Locked/Crossed Market Plan Comments Due: Rel. No. 34-60054 Federal Register version (74 FR 43178)
34-60530
Aug. 18, 2009
SR-BX-2009-028
Order Protection and Locked/Crossed Market Plan Comments Due: Rel. No. 34-60158 Federal Register version (74 FR 43200)
34-60525
Aug. 18, 2009
SR-NASDAQ-2009-056
Order Protection and Locked/Crossed Market Plan Comments Due: Rel. No. 34-60186 Federal Register version (74 FR 43188)
34-60488
Aug. 12, 2009
SR-CBOE-2009-037
Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Amend Its Minor Rule Violation Plan Comments Due: Rel. No. 34-60177 Federal Register version (74 FR 42139)
34-60468
Aug. 10, 2009
SR-NYSEArca-2009-52
Order Approving Proposed Rule Change To Amend the Schedule of Fees and Charges for Exchange Services Comments Due: Rel. No. 34-60184 Federal Register version (74 FR 41474)
34-60459
Aug. 7, 2009
SR-Phlx-2009-54
Order Approving a Proposed Rule Change To Establish Fees for the Top of Phlx Options Direct Data Feed Product Comments Due: Rel. No. 34-60202 Federal Register version (74 FR 41466)
34-60460
Aug. 7, 2009
SR-NYSEArca-2009-55
Order Granting Approval of a Proposed Rule Change To List and Trade Shares of the Dent Tactical ETF Comments Due: Rel. No. 34-60195 Federal Register version (74 FR 41468)
34-60405
July 30, 2009
4-546
Order Approving the National Market System Plan Relating to Options Order Protection and Locked/Crossed Markets Submitted by the Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Release No. 34-59647 Federal Register version (74 FR 39362)
34-60385
July 24, 2009
SR-NYSEAmex-2009-26
Order Imbalance Information Datafeed Comments Due: Rel. No. 34-60122 Federal Register version (74 FR 38249)
34-60381
July 24, 2009
SR-CBOE-2009-038
Order Book Comments Due: Rel. No. 34-60130 Federal Register version (74 FR 38067)
34-60377
July 23, 2009
SR-FINRA-2009-031
Order Approving Proposed Rule Change as Amended, Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours Rel. No. 34-60022 Federal Register version (74 FR 38250)
34-60370
July 23, 2009
SR-CBOE-2009-033
Order Approving Proposed Rule Change Regarding Statutory Disqualification Procedures Comments Due: Rel. No. 34-60106 Federal Register version (74 FR 37758)
34-60366
July 22, 2009
SR-FINRA-2009-030
Order Information Rel. No. 34-60085 Federal Register version (74 FR 37268)
34-60367
July 22, 2009
SR-FINRA-2009-038
Order Granting Approval of Proposed Rule Change to Repeal Incorporated NYSE Rule 134 (Differences and Omissions-Cleared Transactions) and NYSE Rule 440I (Records of Compensation Arrangements-Floor Brokerage) as Part of the Process To Develop the Consolidated FINRA Rulebook Rel. No. 34-60070 Federal Register version (74 FR 38077)
34-60353
July 21, 2009
SR-CHX-2009-02
Order Granting Approval of Proposed Rule Change Relating to the Rejection of Undisplayed Odd-Lot Orders From the Exchange's Matching System Comments Due: Rel. No. 34-60083 Federal Register version (74 FR 37076)
34-60356
July 21, 2009
SR-NYSE-2009-08
Order Approving Proposed Rule Change Rescinding NYSE Rule 110 Which Establishes the Role of Competitive Traders and Exchange Rule 107A Which Establishes the Role of the Registered Competitive Market Makers Comments Due: View Received Comments Rel. No. 34-59746 Federal Register version (74 FR 37281)
34-60348
July 20, 2009
SR-FINRA-2009-019
Order Approving Proposed Rule Change To Adopt FINRA Rules 1010 (Electronic Filing Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook Rel. No. 34-59784 Federal Register version (74 FR 37077)
34-60306
July 14, 2009
SR-FINRA-2009-035
Order Approving a Proposed Rule Change To Adopt Its Temporary and Permanent Cease and Desist Authority on a Permanent Basis Rel. No. 34-60028 Federal Register version (74 FR 36292)
34-60276
July 9, 2009
SR-NASDAQ-2009-042
Order Approving Proposed Rule Change To Amend Its Limited Liability Agreement and By-Laws Comments Due: Rel. No. 34-59907 Federal Register version (74 FR 34840)
34-60252
July 7, 2009
SR-NYSEAmex-2009-24
Order Granting Accelerated Approval to a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-Side Liquidity to Trigger the Execution of a d-Quote Comments Due: Rel. No. 34-60055 Federal Register version (74 FR 37255)
34-60251
July 7, 2009
SR-NYSE-2009-55
Order Granting Accelerated Approval to a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-Side Liquidity To Trigger the Execution of a d-Quote Comments Due: Rel. No. 34-60045 Federal Register version (74 FR 34068)
34-60247
July 6, 2009
SR-BX-2009-021
Order Approving Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of NASDAQ OMX BX, Inc. Comments Due: Rel. No. 34-59908 Federal Register version (74 FR 33495)
34-60215
July 1, 2009
SR-NYSE-2006-92
Order Approving Proposed Rule Change, as Modified by Amendment No. 4, To Amend NYSE Rule 452 and Corresponding Listed Company Manual Section 402.08 To Eliminate Broker Discretionary Voting for the Election of Directors, Except for Companies Registered Under the Investment Company Act of 1940, and To Codify Two Previously Published Interpretations That Do Not Permit Broker Discretionary Voting for Material Amendments to Investment Advisory Contracts With an Investment Company Comments Due: View Received Comments Rel. No. 34-59464 Federal Register version (74 FR 33293)
34-60203
June 30, 2009
SR-NASDAQ-2009-053
Order of Summary Abrogation of a Proposed Rule Change to Reduce Certain Transaction Fees for Members that Trade Equities on NASDAQ and Make Markets in Options on the NASDAQ OMX PHLX, Inc. Options Exchange
34-60196
June 30, 2009
SR-DTC-2006-16
Order Granting Approval of a Proposed Rule Change as Amended Relating to FAST and DRS Limited Participant Requirements for Transfer Agents Comments Due: View Received Comments Supplemental Response of the DTC , Reply of Petitioner , s Petition for Review , Securities Transfer Association Petition for Commission Review , Securities Transfer Association Notice of Intent to Submit a Petition for Commission Review , Rel. Nos. 34-57959 Federal Register version (74 FR 33496)
34-60185
June 29, 2009
SR-CBOE-2009-028
Order Granting Approval of Proposed Rule Change Relating to Rebating Member Dues for Certain Members Comments Due: Rel. No. 34-59935 Federal Register version (74 FR 32210)
34-60183
June 26, 2009
SR-NASDAQ-2009-039
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Rel. No. 34-59858 Federal Register version (74 FR 32207)
34-60169
June 24, 2009
SR-Phlx-2009-40
Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Listing and Trading of Foreign Currency Options Comments Due: Rel. No. 34-60021 Federal Register version (74 FR 31782)
34-60163
June 23, 2009
SR-BX-2009-025
Order Approving Proposed Rule Change to Retroactively Amend the Fee Schedule to Clarify and Correct References to the Volume Discount Given to Market Makers Comments Due: Rel. No. 34-59919
34-60164
June 23, 2009
SR-CBOE-2009-029
Order Approving a Proposed Rule Change To Permanently Establish the Quarterly Option Series Program Comments Due: Rel. No. 34-59920 Federal Register version (74 FR 31333)
34-60127
June 17, 2009
SR-ISE-2007-121
Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Margin Requirements Comments Due: Rel. No. 34-59877 Federal Register version (74 FR 30188)
34-60132
June 17, 2009
SR-FINRA-2009-015
Order Approving Proposed Rule Change Relating to Expedited Administration of Promissory Note Cases Rel. No. 34-59885 Federal Register version (74 FR 30191)
34-60126
June 17, 2009
SR-CBOE-2008-55
Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Margin Requirements Comments Due: View Received Comments Rel. No. 34-59876 Federal Register version (74 FR 30186)
34-60129
June 17, 2009
SR-CBOE-2009-030
Order Approving Proposed Rule Change Regarding Appointments of CBSX DPMs Comments Due: Rel. No. 34-59896 Federal Register version (74 FR 30189)
34-60121
June 16, 2009
SR-MSRB-2009-05
Order Granting Approval of Proposed Rule Change Relating to the Subscription Service for Continuing Disclosure Documents Through the Electronic Municipal Market Access System (EMMA) Comments Due: Rel. No. 34-59881 Federal Register version (74 FR 29526)
34-60113
June 15, 2009
SR-FINRA-2007-009
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Modernize and Simplify NASD Rule 2720 Rel. No. 34-59880 Federal Register version (74 FR 29255)
34-60084
June 10, 2009
SR-Phlx-2009-37
Order Granting Approval of Proposed Rule Change Relating to Quoting Requirements for Streaming Quote Traders, Remote Streaming Quote Traders and Specialists Comments Due: Rel. No. 34-59842 Federal Register version (74 FR 28745)
34-60086
June 10, 2009
SR-FINRA-2009-023
Order Approving Proposed Rule Change To Adopt FINRA Rule 2320 in the Consolidated FINRA Rulebook Rel. No. 34-59762 Federal Register version (74 FR 28743)
34-60064
June 8, 2009
SR-NYSEArca-2009-30
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Adoption of Listing Standards for Managed Trust Securities and the Listing and Trading of Shares of the iShares Diversified Alternatives Trust Comments Due: Rel. No. 34-59835 Federal Register version (74 FR 28315)
34-60061
June 5, 2009
SR-FINRA-2009-011
Order Approving a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Amend the Panel Composition Rules of the Code of Arbitration Procedure for Industry Disputes Rel. No. 34-59836 Federal Register version (74 FR 28318)
