34-56882
Dec. 3, 2007
SR-Amex-2007-56
Order Approving a Proposed Rule Change Relating To Resolving Uncompared Transactions Comments Due: Rel. No. 34-56635 Federal Register version (72 FR 69261)
34-56879
Dec. 3, 2007
SR-NYSEArca-2007-110
Order Granting Approval of a Proposed Rule Change Relating to Certain Modifications to the Initial Listing and Trading Standards for Equity Index-Linked Securities Comments Due: Rel. No. 34-56696 Federal Register version (72 FR 69271)
34-56875
Nov. 30, 2007
SR-OCC-2007-08
Order Granting Approval of a Proposed Rule Change Relating to Binary Options Comments Due: Rel. No. 34-56471 , Rel. No. 34-56471 Federal Register version (72 FR 69274)
34-56860
Nov. 29, 2007
SR-CBOE-2007-59
Order Approving a Proposed Rule Change To Amend the Minimum Quote Size Requirements for Hybrid Opening System Rotations Comments Due: Rel. No. 34-56680 Federal Register version (72 FR 68919)
34-56854
Nov. 28, 2007
SR-NYSE-2007-53
Order Approving Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, To Amend NYSE Rule 342.13 ("Acceptability of Supervisors") Comments Due: View Received Comments Rel. No. 34-56686 Federal Register version (72 FR 68613)
34-56855
Nov. 28, 2007
SR-CBOE-2006-90
Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto to List and Trade Delayed Start Option Series Comments Due: Rel. No. 34-56378 Federal Register version (72 FR 68610)
34-56842
Nov. 27, 2007
SR-NYSE-2007-77
Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, To Amend Listing Fees for Structured Products Comments Due: Rel. No. 34-56688 Federal Register version (72 FR 67990)
34-56843
Nov. 27, 2007
SR-ISE-2007-71
Order Approving a Proposed Rule Change Relating to Fee Changes on a Retroactive Basis Comments Due: Rel. No. 34-56662 Federal Register version (72 FR 67988)
34-56831
Nov. 21, 2007
SR-Amex-2007-98
Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Listing and Trading of Units of the United States 12 Month Oil Fund, LP and the United States 12 Month Natural Gas Fund, LP Comments Due: Rel. No. 34-56719 Federal Register version (72 FR 67612)
34-56821
Nov. 20, 2007
SR-CBOE-2007-82
Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Allow the Exchange To List Up to Seven Expiration Months for Broad-Based Security Index Options Upon Which the Exchange Calculates a Constant Three-Month Volatility Index Comments Due: Rel. No. 34-56632 Federal Register version (72 FR 66210)
34-56813
Nov. 19, 2007
SR-CBOE-2007-52
Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to $1 Strikes for VXD and VXN Options and $1 Strikes for RVX, VIX, VXD and VXN LEAPs Comments Due: View Received Comments Rel. No. 34-56449 Federal Register version (72 FR 66211)
34-56804
Nov. 16, 2007
SR-Amex-2006-107
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Eliminate Options Specialists' Agency Responsibilities and Establish Amex Book Clerks Comments Due: Rel. No. 34-55583 Federal Register version (72 FR 66002)
34-56806
Nov. 16, 2007
4-429
Order Approving Joint Amendment No. 24 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Elimination of the Class Gate View Received Comments 34-56780 , 34-56605 , 34-56596 , and 34-55744 , and 34-55436 Federal Register version (72 FR 65772)
34-56787
Nov. 15, 2007
SR-Amex-2007-108
Order Approving a Proposed Rule Change To Increase the Annual Listing Fees for Certain Stock Issues of Listed Companies Comments Due: Rel. No. 34-56636 Federal Register version (72 FR 65773)
34-56799
Nov. 15, 2007
SR-Phlx-2007-60
Order Approving a Proposed Rule Change Relating to Structured Equity Products Comments Due: Rel. No. 34-56626 Federal Register version (72 FR 65800)
34-56780
Nov. 13, 2007
4-429
Order Approving Joint Amendment No. 23 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage To Permit the Use of Linkage Prior to the Opening of Trading View Received Comments Release Nos. 34-56806 , 34-56605 , 34-56596 , and 34-55744 , and 34-55436 Federal Register version (72 FR 65113)
34-56771
Nov. 8, 2007
SR-CHX-2005-34
Order Granting Accelerated Approval of Amendment No. 3 Thereto Comments Due: Federal Register version (72 FR 64262)
34-56760
Nov. 7, 2007
SR-Phlx-2007-40
Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 3, Relating to Complex Orders Comments Due: Rel. No. 34-56608 Federal Register version (72 FR 64268)
34-56759
Nov. 7, 2007
SR-NASDAQ-2007-069
Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Amend Its Rule Governing the Relation of a Nasdaq Market Maker's Quotations to the Prevailing Market Comments Due: Rel. No. 34-56586 Federal Register version (72 FR 64102)
34-56761
Nov. 7, 2007
SR-Amex-2007-65
Order Approving Proposed Rule Changes Relating to the Definition of a Complex Trade. Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Definition of a Complex Trade File Nos.: Comments Due: Rel. No. 34-56555 Federal Register version (72 FR 64094)
34-56742
Nov. 5, 2007
SR-FINRA-2007-008
Order Approving Proposed Rule Change To Amend the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) To Exempt Locations That Solely Conduct Final Approval of Research Reports Rel. No. 34-56585 Federal Register version (72 FR 63945)
34-56713
Oct. 29, 2007
SR-Amex-2007-74
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of Funds of the Rydex ETF Trust Comments Due: Rel. No. 34-56218 Federal Register version (72 FR 61915)
34-56711
Oct. 26, 2007
SR-NYSE-2007-83
Order Granting Approval of Proposed Rule Change Relating to NYSE Rule 104.10 ("Dealings by Specialists") Comments Due: Rel. No. 34-56455 Federal Register version (72 FR 62504)
34-56709
Oct. 26, 2007
SR-FINRA-2007-007
Order Granting Approval of Proposed Rule Change To Exempt From TRACE Reporting Transactions in TRACE-Eligible Securities Resulting From Certain Derivative-Related Transactions Rel. No. 34-56439 Federal Register version (72 FR 61924)
34-56694
Oct. 24, 2007
SR-ISE-2007-61
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Specific Performance Commitments for Primary Market Makers Comments Due: Rel. No. 34-56383 Federal Register version (72 FR 61411)
34-56678
Oct. 19, 2007
SR-NSCC-2007-13
Order Granting Approval of a Proposed Rule Change To Amend Its Rules and Procedures With Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing Comments Due: Rel. No. 34-56372 Federal Register version (72 FR 60701)
34-56677
Oct. 19, 2007
SR-FINRA-2007-005
Order Granting Approval of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) To Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction To Transfer a Customer's Securities Account Consistent With the Time Frames in the Automated Customer Account Transfer Service Rel. No. 34-56373 Federal Register version (72 FR 60699)
34-56650
Oct. 12, 2007
SR-Amex-2007-35
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Criteria for Securities That Underlie Options Traded on the Exchange Comments Due: Rel. No. 34-56336 Federal Register version (72 FR 59123)
34-56653
Oct. 12, 2007
SR-NASD-2007-056
Order Approving Proposed Rule Change To Establish a Membership Waive-In Process for Certain NYSE Member Organizations Comments Due: Rel. No. 34-56347 Federal Register version (72 FR 59127)
34-56654
Oct. 12, 2007
SR-NYSE-2007-67
Order Approving Proposed Rule Change Relating to NYSE Rule 2 ("Member," "Membership," "Member Firm," etc.) Comments Due: Rel. No. 34-56173 Federal Register version (72 FR 59129)
34-56625
Oct. 5, 2007
SR-NYSEArca-2007-73
Order Approving Proposed Rule Change Relating To Extended Hours Trading of Investment Company Units and Portfolio Depository Receipts Comments Due: Rel. No. 34-56328 Federal Register version (72 FR 58144)
34-56627
Oct. 5, 2007
SR-NYSEArca-2007-75
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Expand the Trading Hours of Certain Exchange-Traded Funds Comments Due: Rel. No. 34-56329 Federal Register version (72 FR 58145)
34-56606
Oct. 3, 2007
SR-NYSEArca-2007-69
Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, and Notice of Filing of Amendment No. 1 Thereto Relating to Adoption of Revised Initial and Continued Listing Standards for the Pilot Program Expiring on November 30, 2007 Comments Due: Rel. No. 34-56232 Federal Register version (72 FR 57982)
34-56597
Oct. 2, 2007
SR-Amex-2007-90
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Fee on a Listed Company That Changes Its Corporate Name or Ticker Symbol Comments Due: Rel. No. 34-56325 Federal Register version (72 FR 57616)
34-56598
Oct. 2, 2007
SR-Amex-2007-48
Order Approving Proposed Rule Change Modifying the Options Listing Criteria for Underlying Securities Comments Due: Rel. No. 34-56318 Federal Register version (72 FR 57615)
34-56600
Oct. 2, 2007
SR-CBOE-2007-88
Order Granting Approval of Proposed Rule Change To Amend the Hybrid Opening System Opening Rotations Rules Comments Due: Rel. No. 34-56302 Federal Register version (72 FR 57619)
34-56592
Oct. 1, 2007
SR-Amex-2007-60
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of Shares of Eight Funds of the ProShares Trust Based on International Equity Indexes Comments Due: Rel. No. 34-56223 Federal Register version (72 FR 57364)
34-56573
Sept. 28, 2007
SR-CHX-2007-16
Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Amend Its Bylaws to Confirm That an Exchange Director Cannot Participate in the Determination of Any Matter Involving an Issuer of a Security Listed or To Be Listed on the Exchange, if the Director is a Director, Officer, or Employee of the Issuer Comments Due: Rel. No. 34-56281 Federal Register version (72 FR 56816)
34-56571
Sept. 28, 2007
SR-FINRA-2007-001
Order Approving Proposed Rule Change Relating to the Reporting of Foreign Equity Securities to the Order Audit Trail System Rel. No. 34-56199 Federal Register version (72 FR 56816)
34-56567
Sept. 27, 2007
SR-Amex-2007-96
Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to an Extension and Expansion of the Options Quoting Pilot Program Comments Due: View Received Comments Rel. No. 34-56307 Federal Register version (72 FR 56396)
34-56566
Sept. 27, 2007
SR-BSE-2007-40
Order Granting Approval to a Proposed Rule Change To Extend and Expand the Pilot Program To Quote Certain Options in Pennies Rel. No. 34-56253 Federal Register version (72 FR 56400)
34-56563
Sept. 27, 2007
SR-Phlx-2007-62
Order Granting Approval to a Proposed Rule Change Relating to the Extension and Expansion of a Pilot Program To Quote Certain Option Series in Increments of $0.01 Comments Due: View Received Comments Rel. No. 34-56284 Federal Register version (72 FR 56429)
34-56568
Sept. 27, 2007
SR-NYSEArca-2007-88
Order Granting Approval to a Proposed Rule Change Relating to an Extension and Expansion of the Penny Pilot Program Comments Due: View Received Comments Rel. No. 34-56280 Federal Register version (72 FR 56422)
34-56564
Sept. 27, 2007
SR-ISE-2007-74
Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to an Extension and Expansion of the Penny Pilot Program Comments Due: View Received Comments Rel. No. 34-56306 Federal Register version (72 FR 56412)
34-56565
Sept. 27, 2007
SR-CBOE-2007-98
Order Granting Approval to a Proposed Rule Change Regarding the Extension and Expansion of the Penny Pilot Program Comments Due: Rel. No. 34-56276 Federal Register version (72 FR 56403)
34-56540
Sept. 26, 2007
SR-NASD-2006-109
Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto Relating to Representation of Parties in Arbitration and Mediation Comments Due: View Received Comments Rel. No. 34-55604 , Request for Immediate Stay of Effective Date of Approval Order , Rel. No. 34-57028 Federal Register version (72 FR 56410)
34-56532
Sept. 26, 2007
SR-CBOE-2006-104
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Codify the Hybrid Price Check Parameter Comments Due: Rel. No. 34-56245 Federal Register version (72 FR 56406)
34-56525
Sept. 25, 2007
SR-NYSE-2007-76
Order Granting Accelerated Approval to Proposed Rule Change Relating to Requirements for the Listing and Trading of Commodity-Linked Securities and Currency-Linked Securities Comments Due: Rel. No. 34-56332 Federal Register version (72 FR 56114)
34-56504
Sept. 24, 2007
SR-NASD-2007-055
Order Approving Proposed Rule Change Relating to Interpretative Material 9216, Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2) Comments Due: Rel. No. 34-56175 Federal Register version (72 FR 55850)
34-56483
Sept. 20, 2007
SR-Phlx-2007-27
Order Approving Proposed Rule Change to Standardize Certain Options Rules for Equity, Index, and ETF Options Comments Due: Rel. No. 34-56249 Federal Register version (72 FR 54960)
34-56477
Sept. 20, 2007
SR-NASDAQ-2007-056
Order Granting Approval of Proposed Rule Change and Amendment No. 2 Thereto, To Retroactively Modify Pricing for Nasdaq Members Using the Nasdaq Market Center Comments Due: Rel. No. 34-56228 Federal Register version (72 FR 54705)
34-56487
Sept. 20, 2007
SR-CBOE-2007-04
Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Amending Its Obvious Error Rule for Equity Options Comments Due: Rel. No. 34-56190 Federal Register version (72 FR 54956)
34-56468
Sept. 19, 2007
SR-NSCC-2007-11
Order Approving Proposed Rule Change To Allow As-of Fixed Income Trades To Be Processed in the Continuous Net Settlement System Comments Due: Rel. No. 34-56250 Federal Register version (72 FR 54498)
34-56459
Sept. 18, 2007
SR-Amex-2007-24
Order Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto To Retroactively Amend Transaction Charges for Equities, ETFs, and Nasdaq UTP Securities Comments Due: Rel. No. 34-56238 Federal Register version (72 FR 54488)
34-56460
Sept. 18, 2007
SR-CBOE-2007-84
Order Approving Proposed Rule Change To Amend CBOE's Rule Pertaining to Verification Requests for Trade Reporting Minor Rule Violations Comments Due: Rel. No. 34-56239 Federal Register version (72 FR 54495)
34-56446
Sept. 17, 2007
SR-Amex-2007-85
Order Approving a Proposed Rule Change To Establish a New Class of Off-Floor Market Makers in ETFs and Equities Called Designated Amex Remote Traders Comments Due: View Received Comments Rel. No. 34-56236 Federal Register version (72 FR 54303)
34-56444
Sept. 14, 2007
SR-ISE-2007-45
Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a Quote Mitigation Plan for Competitive Market Makers Comments Due: Rel. No. 34-56201 Federal Register version (72 FR 54089)
34-56392
Sept. 12, 2007
SR-NYSE-2007-42
Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Rule 103B ("Specialist Stock Allocation") Comments Due: Rel. No. 34-56183 Federal Register version (72 FR 53615)
34-56350
Sept. 4, 2007
SR-CBOE-2007-79
Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto To Eliminate Position and Exercise Limits for Options on the Russell 2000 Index, and To Specify That Certain Reduced-Value Options on Broad-Based Security Indexes Have No Position and Exercise Limits Comments Due: Rel. No. 34-56191 Federal Register version (72 FR 51878)
34-56339
Aug. 30, 2007
SR-NASDAQ-2007-042
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Modify the Entry and Annual Fees Paid by a Company That Lists on Nasdaq Upon Emerging From Bankruptcy Comments Due: Rel. No. 34-56092 Federal Register version (72 FR 51485)
34-56315
Aug. 24, 2007
SR-ISE-2007-58
Order Approving a Proposed Rule Change Relating to ISEE Select Market Data Fees Comments Due: Rel. No. 34-56093 Federal Register version (72 FR 50148)
34-56304
Aug. 22, 2007
SR-CTA-2007-01
Order Approving the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan Comments Due: Release No. 34-56134 Federal Register version (72 FR 49747)
34-56294
Aug. 21, 2007
SR-NASDAQ-2007-024
Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Provide Additional Transparency To How Nasdaq Applies Its Public Interest Authority Comments Due: Rel. No. 34-56044 Federal Register version (72 FR 49032)
34-56291
Aug. 20, 2007
SR-CHX-2006-42
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Modify Provisions Relating to Cross With Yield Orders Comments Due: Rel. No. 34-56064 Federal Register version (72 FR 49032)
34-56288
Aug. 20, 2007
SR-OCC-2007-06
Order Granting Approval of a Proposed Rule Change Relating to Credit Default Basket Options Comments Due: Rel. No. 34-55939 , Rel. No. 34-55939 Federal Register version (72 FR 49034)
34-56287
Aug. 20, 2007
SR-CBOE-2007-41
Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto To Codify Pre-Existing Practices and To Amend and Supplement Rule 24.9 Comments Due: Rel. No. 34-56036 Federal Register version (72 FR 49029)
34-56277
Aug. 17, 2007
SR-DTC-2007-04
Order Granting Approval of a Proposed Rule Change Relating to a Policy Statement on the Eligibility of Foreign Securities Comments Due: View Received Comments Rel. No. 34-55940 Federal Register version (72 FR 48709)
34-56275
Aug. 17, 2007
SR-CBOE-2007-26
Order Granting Approval of a Proposed Rule Change To List and Trade Credit Default Basket Options, as Modified by Amendment No. 3, and Designating Credit Default Basket Options as Standardized Options Under Rule 9b-1 of the Securities Exchange Act of 1934 Comments Due: Rel. No. 34-55938 Federal Register version (72 FR 47097)
34-56258
Aug. 15, 2007
SR-NYSEArca-2007-59
Order Granting Accelerated Approval of Proposed Rule Change and Amendment No.1 Thereto Relating to Amendments to Rule 12 to Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation into NASD DR Comments Due: Rel. No. 34-56071 Federal Register version (72 FR 46693)
34-56259
Aug. 15, 2007
SR-NYSEArca-2007-60
Order Granting Accelerated Approval of Proposed Rule Change and Amendment No.1 Thereto Relating to Amendments to Arca Equities Rule 12 to Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation into NASD DR Comments Due: Rel. No. 34-56070 Federal Register version (72 FR 46694)
34-56240
Aug. 13, 2007
SR-ISE-2007-49
Order Approving Proposed Rule Change Relating to Fee Changes on a Retroactive Basis Comments Due: Rel. No. 34-56005 Federal Register version (72 FR 46527)
34-56237
Aug. 9, 2007
SR-NASDAQ-2007-043
Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Remove Provisions Governing the Operation of the ACES System Comments Due: Rel. No. 34-55892 Federal Register version (72 FR 46118)
34-56231
Aug. 9, 2007
SR-CBOE-2007-73
Order Approving a Proposed Rule Change To Assess, on a Retroactive Basis, Certain CBOE and CBSX Market Data Fees Comments Due: Rel. No. 34-56000 Federal Register version (72 FR 46118)
34-56225
Aug. 8, 2007
SR-ISE-2007-32
Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto To Remove Certain Rules From Its Rulebook Comments Due: Rel. No. 34-55936 Federal Register version (72 FR 45848)
34-56208
Aug. 6, 2007
SR-NYSE-2007-48
Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Rule 600 To Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation Into NASD DR Comments Due: View Received Comments Rel. No. 34-56015 , Rel. No. 34-55818 Federal Register version (72 FR 45077)
34-56211
Aug. 6, 2007
SR-ISE-2007-34
Order Approving a Proposed Rule Change Relating to an Amendment to the International Securities Exchange, LLC Constitution and Amended and Restated LLC Agreement Comments Due: Rel. No. 34-55809 Federal Register version (72 FR 45287)
34-56198
Aug. 3, 2007
SR-Phlx-2007-45
Order Granting Approval of Proposed Rule Change To Establish New Procedures To Follow When Trading Halts on the Primary Market for the Underlying Security Comments Due: Rel. No. 34-55958 Federal Register version (72 FR 44907)
34-56202
Aug. 3, 2007
SR-MSRB-2007-01
Order Approving Proposed Rule Change to MSRB Rule G-14, Reports of Sales or Purchases Relating to Reporting of Transactions in Certain Special Trading Situations Comments Due: Rel. No. 34-55957 Federal Register version (72 FR 45077)
34-56193
Aug. 2, 2007
SR-Amex-2007-38
Order Approving Proposed Rule Change Amending Preferred Stock Voting Rights Comments Due: Rel. No. 34-55963 Federal Register version (72 FR 44890)
34-56179
Aug. 1, 2007
SR-NASD-2007-034
Order Approving Proposed Rule Change as Modified by Amendment No. 1 Creating NASD Rule 1160 (Firm Contact Information) Regarding the Reporting and Annual Review of Designated Contact Information to NASD Comments Due: View Received Comments Rel. No. 34-55810 Federal Register version (72 FR 44203)
34-56182
Aug. 1, 2007
SR-FICC-2006-19
Order Granting Approval of Proposed Rule Change Relating to Membership, Definitions, and the Electronic Pool Notification Service Comments Due: Rel. No. 34-55515 Federal Register version (72 FR 44599)
34-56172
July 31, 2007
SR-NASDAQ-2006-065
Order Approving Proposed Rule Change as Modified by Amendments No. 1, 3, and 4 Thereto To Reestablish a Quotation and Trading System, The PORTAL Market, for Securities That Are Designated by Nasdaq as PORTAL Securities Comments Due: View Received Comments Rel. No. 34-55669 Federal Register version (72 FR 44196)
34-56158
July 27, 2007
SR-NYSE-2005-48
Order Granting Accelerated Approval to Amendment No. 5 to Revise Rule 619 Pertaining to Subpoenas for the Production of Documents and Appearances of Witnesses Comments Due: View Received Comments Rel. No. 34-55594 Federal Register version (72 FR 42457)
34-56145
July 26, 2007
SR-NASD-2007-023
Order Approving Proposed Rule Change To Amend the By-Laws of NASD To Implement Governance and Related Changes To Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc. Comments Due: View Received Comments Rel. No. 34-55495 , Rel. No. 34-56145A Federal Register version (72 FR 42169)
34-56121
July 24, 2007
SR-Phlx-2007-16
Order Granting Approval to a Proposed Rule Change Regarding Rules Pertaining to Training Requirements and Floor Procedure Advices Comments Due: Rel. No. 34-55898 Federal Register version (72 FR 41564)
34-56113
July 20, 2007
SR-NSX-2007-05
Order Approving Proposed Rule Change to Modify Chapter VII of the Exchange's Rules Regarding Suspensions of an ETP Holder by Certain Exchange Officers Comments Due: Rel. No. 34-55893 Federal Register version (72 FR 41377)
34-56069
July 13, 2007
SR-OCC-2006-19
Order Granting Approval of a Proposed Rule Change Relating to Close-Out Netting Procedures Comments Due: View Received Comments Rel. No. 34-55788 , Rel. No. 34-55788 Federal Register version (72 FR 39869)
34-56028
July 9, 2007
SR-NASDAQ-2007-031
Order Granting Approval of a Proposed Rule Change Relating to Three-Characters Ticker Symbols Comments Due: View Received Comments Rel. No. 34-55563 Federal Register version (72 FR 38639)
34-56017
July 5, 2007
SR-NYSE-2007-21
Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to Rule 92 (Limitations on Members' Trading Because of Customers' Orders) Comments Due: View Received Comments Rel. No. 34-55804 Federal Register version (72 FR 38110)
34-56003
July 2, 2007
SR-NASD-2007-028
Order Audit Trail System Comments Due: Rel. No. 34-55806 Federal Register version (72 FR 37287)
34-56001
July 2, 2007
SR-NYSEArca-2007-34
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Trading a Class of Options Without Designating a Lead Market Maker Comments Due: Rel. No. 34-55789 Federal Register version (72 FR 37557)
34-55976
June 28, 2007
SR-CBOE-2003-41
Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 4 To List and Trade Options on Corporate Debt Securities Comments Due: View Received Comments Rel. No. 34-53935 Federal Register version (72 FR 37551)
34-58055
June 27, 2007
SR-DTC-2007-12
Order Granting Approval of a Proposed Rule Change Relating to DTC Opening an Omnibus Account at Euroclear Bank Rel. No. 34-56706 Federal Register version (73 FR 39064)
34-55950
June 25, 2007
SR-BSE-2007-09
Order Approving a Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Appointment of Market Makers Rel. No. 34-55774 Federal Register version (72 FR 36082)
34-55923
June 19, 2007
SR-Amex-2007-42
Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 To Lower the Required Number of Letters of Reference an Applicant Must Provide Comments Due: Rel. No. 34-55756 Federal Register version (72 FR 35271)
34-55921
June 18, 2007
SR-ODD-2007-03
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Credit Default Options Federal Register version (72 FR 34495)
34-55913
June 15, 2007
SR-Amex-2007-13
Order Approving Proposed Rule Change as Modified by Amendment No. 1 Relating to the Codification of Exchange Policy Regarding Specialist Commissions Comments Due: View Received Comments Rel. No. 34-55533 Federal Register version (72 FR 34323)
34-55910
June 15, 2007
SR-Phlx-2007-26
Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Price-Improved Linkage P/A Orders Comments Due: Rel. No. 34-55729 Federal Register version (72 FR 34500)
34-55917
June 15, 2007
SR-NYSEArca-2007-22
Order Approving Proposed Rule Change as Amended by Amendments No. 1, 2, and 3 Thereto Relating to Listing and Annual Fees for Derivative Securities Products, Closed-End Funds and Structured Products Comments Due: Rel. No. 34-55720 Federal Register version (72 FR 34325)
34-55886
June 8, 2007
SR-NASD-2007-027
Order Approving Proposed Rule Change Relating to SEC Section 31-Related Fees Comments Due: View Received Comments Rel. No. 34-55697 Federal Register version (72 FR 32935)
