Order

Release Number SEC Issue Date File Number Details
34-56291 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: August 10, 2007
See Also - Rel. No. 34-56064
Federal Register version (72 FR 49032)
34-56288 SR-OCC-2007-06 Order Granting Approval of a Proposed Rule Change Relating to Credit Default Basket Options
Comments Due: July 12, 2007
See Also - Rel. No. 34-55939, Rel. No. 34-55939
Federal Register version (72 FR 49034)
34-56287 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: August 6, 2007
See Also - Rel. No. 34-56036
Federal Register version (72 FR 49029)
34-56277 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: July 19, 2007
View Received Comments
See Also - Rel. No. 34-55940
Federal Register version (72 FR 48709)
34-56275 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: July 13, 2007
See Also - Rel. No. 34-55938
Federal Register version (72 FR 47097)
34-56258 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: August 13, 2007
See Also - Rel. No. 34-56071
Federal Register version (72 FR 46693)
34-56259 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: August 13, 2007
See Also - Rel. No. 34-56070
Federal Register version (72 FR 46694)
34-56240 SR-ISE-2007-49 Order Approving Proposed Rule Change Relating to Fee Changes on a Retroactive Basis
Comments Due: July 31, 2007
See Also - Rel. No. 34-56005
Federal Register version (72 FR 46527)
34-56237 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: July 9, 2007
See Also - Rel. No. 34-55892
Federal Register version (72 FR 46118)
34-56231 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: July 31, 2007
See Also - Rel. No. 34-56000
Federal Register version (72 FR 46118)
34-56225 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: July 18, 2007
See Also - Rel. No. 34-55936
Federal Register version (72 FR 45848)
34-56208 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: June 25, 2007
View Received Comments
See Also - Rel. No. 34-56015, Rel. No. 34-55818
Federal Register version (72 FR 45077)
34-56211 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: June 25, 2007
See Also - Rel. No. 34-55809
Federal Register version (72 FR 45287)
34-56198 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: July 24, 2007
See Also - Rel. No. 34-55958
Federal Register version (72 FR 44907)
34-56202 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: July 24, 2007
See Also - Rel. No. 34-55957
Federal Register version (72 FR 45077)
34-56193 SR-Amex-2007-38 Order Approving Proposed Rule Change Amending Preferred Stock Voting Rights
Comments Due: July 23, 2007
See Also - Rel. No. 34-55963
Federal Register version (72 FR 44890)
34-56179 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: June 21, 2007
View Received Comments
See Also - Rel. No. 34-55810
Federal Register version (72 FR 44203)
34-56182 SR-FICC-2006-19 Order Granting Approval of Proposed Rule Change Relating to Membership, Definitions, and the Electronic Pool Notification Service
Comments Due: April 19, 2007
See Also - Rel. No. 34-55515
Federal Register version (72 FR 44599)
34-56172 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: May 22, 2007
View Received Comments
See Also - Rel. No. 34-55669
Federal Register version (72 FR 44196)
34-56158 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: August 23, 2007
View Received Comments
See Also - Rel. No. 34-55594
Federal Register version (72 FR 42457)
34-56145 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: April 16, 2007
View Received Comments
See Also - Rel. No. 34-55495, Rel. No. 34-56145A
Federal Register version (72 FR 42169)
34-56121 SR-Phlx-2007-16 Order Granting Approval to a Proposed Rule Change Regarding Rules Pertaining to Training Requirements and Floor Procedure Advices
Comments Due: July 10, 2007
See Also - Rel. No. 34-55898
Federal Register version (72 FR 41564)
34-56113 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: July 9, 2007
See Also - Rel. No. 34-55893
Federal Register version (72 FR 41377)
34-56069 SR-OCC-2006-19 Order Granting Approval of a Proposed Rule Change Relating to Close-Out Netting Procedures
Comments Due: June 19, 2007
View Received Comments
See Also - Rel. No. 34-55788, Rel. No. 34-55788
Federal Register version (72 FR 39869)
34-56028 SR-NASDAQ-2007-031 Order Granting Approval of a Proposed Rule Change Relating to Three-Characters Ticker Symbols
Comments Due: April 25, 2007
View Received Comments
See Also - Rel. No. 34-55563
Federal Register version (72 FR 38639)
34-56017 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: August 2, 2007
View Received Comments
See Also - Rel. No. 34-55804
Federal Register version (72 FR 38110)
34-56003 SR-NASD-2007-028 Order Audit Trail System
Comments Due: June 21, 2007
See Also - Rel. No. 34-55806
Federal Register version (72 FR 37287)
34-56001 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: June 19, 2007
See Also - Rel. No. 34-55789
Federal Register version (72 FR 37557)
34-55976 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: July 5, 2006
View Received Comments
See Also - Rel. No. 34-53935
Federal Register version (72 FR 37551)
34-58055 SR-DTC-2007-12 Order Granting Approval of a Proposed Rule Change Relating to DTC Opening an Omnibus Account at Euroclear Bank
See Also - Rel. No. 34-56706
Federal Register version (73 FR 39064)
34-55950 SR-BSE-2007-09 Order Approving a Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Appointment of Market Makers
See Also - Rel. No. 34-55774
Federal Register version (72 FR 36082)
34-55923 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: June 8, 2007
See Also - Rel. No. 34-55756
Federal Register version (72 FR 35271)
34-55921 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 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: April 23, 2007
View Received Comments
See Also - Rel. No. 34-55533
Federal Register version (72 FR 34323)
34-55910 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: June 5, 2007
See Also - Rel. No. 34-55729
Federal Register version (72 FR 34500)
34-55917 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: June 4, 2007
See Also - Rel. No. 34-55720
Federal Register version (72 FR 34325)
34-55886 SR-NASD-2007-027 Order Approving Proposed Rule Change Relating to SEC Section 31-Related Fees
Comments Due: May 30, 2007
View Received Comments
See Also - Rel. No. 34-55697
Federal Register version (72 FR 32935)
34-55875 SR-Amex-2006-17 Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto, Relating to Procedures for At-Risk Cross Transactions
Comments Due: February 7, 2007
See Also - Rel. No. 34-55719, Rel. No. 34-55068
Federal Register version (72 FR 35745)
34-55878 SR-NASD-2006-074 Order Approving Proposed Rule Change Relating to the Application of NASD Rule 2790 to Issuer-Directed Securities
Comments Due: February 15, 2007
View Received Comments
See Also - Rel. No. 34-55128
Federal Register version (72 FR 32936)
34-55877 SR-Phlx-2006-87 Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Options Exchange Officials
Comments Due: April 27, 2007
See Also - Rel. No. 34-55552
Federal Register version (72 FR 32937)
34-55874 SR-CBOE-2006-101 Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto To Amend CBOE's Rules To Reflect the Migration of Its TPF Technology Platform Over to the Existing CBOEdirect Technology Platform
Comments Due: May 24, 2007
See Also - Rel. No. 34-55674
Federal Register version (72 FR 32688)
34-55872 SR-OCC-2007-01 Order Granting Approval of a Proposed Rule Change Relating to Credit Default Options
Comments Due: March 26, 2007
See Also - Rel. No. 34-55362, Rel. No. 34-55362
Federal Register version (72 FR 32693)
34-55856 SR-NASDAQ-2007-029 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Require Nasdaq-Listed Issuers To Submit Material News to Nasdaq Using Nasdaq's Electronic Disclosure Submission System
Comments Due: May 23, 2007
See Also - Rel. No. 34-55672
Federal Register version (72 FR 32383)
34-55837 SR-Amex-2006-99 Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to Reverse Mergers and Shareholder Approval for Change of Control Situations
Comments Due: April 12, 2007
See Also - Rel. No. 34-55477
Federal Register version (72 FR 31355)
34-55832 SR-NASDAQ-2007-040 Order Granting Approval to a Proposed Rule Change Relating to the Waiver of Fees upon Relisting of Companies Removed for Late Filings
Comments Due: May 16, 2007
See Also - Rel. No. 34-55645
Federal Register version (72 FR 32152)
34-55830 SR-MSRB-2006-09 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to MSRB Rule G-21, on Advertising, and MSRB Rule G-27, on Supervision
Comments Due: March 16, 2007
View Received Comments
See Also - Rel. No. 34-55302
Federal Register version (72 FR 31122)
34-55823 SR-NYSE-2007-10 Order Approving Proposed Amendments to Interpretation to Rule 311(b)(5) ("Co-Designation of Principal Executive Officers") as Modified by Amendment No. 1
Comments Due: May 17, 2007
See Also - Rel. No. 34-55650
Federal Register version (72 FR 30900)
34-55814 SR-CBOE-2007-27 Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Relating to Class Quoting Limits
Comments Due: May 16, 2007
See Also - Rel. No. 34-55644
Federal Register version (72 FR 30647)
34-55811 SR-CHX-2007-08 Order Approving Proposed Rule Change To Expand Its Price Manipulation Rule To Address Additional Instances of Improper Behavior
Comments Due: May 11, 2007
See Also - Rel. No. 34-55625
Federal Register version (72 FR 30647)
34-55812 SR-Phlx-2006-61 Order and Decorum Regulations
Comments Due: April 17, 2007
See Also - Rel. No. 34-55492
Federal Register version (72 FR 31363)
34-55799 SR-NSX-2006-16 Order Approving Proposed Rule Change Regarding the Annual Certification of Compliance and Supervisory Processes
Comments Due: May 10, 2007
See Also - Rel. No. 34-55631
Federal Register version (72 FR 30408)
34-55793 SR-NYSE-2007-34 Order Approving Proposed Rule Change To Amend NYSE Rule 80A.40(b) To Update the Definition of "Program Trading," To Substitute Simplified Audit Trail Requirements, and To Make Conforming Amendments to NYSE Rule 410B
Comments Due: May 8, 2007
See Also - Rel. No. 34-55615
Federal Register version (72 FR 29567)
34-55796 SR-NYSE-2007-28 Order Granting Approval to Proposed Rule Change to Exempt Limited Partnerships From Certain of its Shareholder Approval Rules
Comments Due: April 23, 2007
See Also - Rel. No. 34-55528
Federal Register version (72 FR 29566)
34-55792 SR-MSRB-2006-10 Order Approving Proposed Rule Change Relating to Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention
Comments Due: January 10, 2007
View Received Comments
See Also - Rel. No. 34-54930
Federal Register version (72 FR 29564)
34-55790 SR-NASDAQ-2007-039 Order Granting Approval of Proposed Rule Change to Modify the Distributor Fee for Nasdaq Index Weighting Information
Comments Due: May 9, 2007
See Also - Rel. No. 34-55620
Federal Register version (72 FR 29565)
34-55786 SR-CBOE-2007-15 Order Granting Approval of Proposed Rule Change To Amend CBOE's Membership Application Procedures
Comments Due: May 1, 2007
See Also - Rel. No. 34-55570
Federal Register version (72 FR 29563)
34-55776 SR-Amex-2007-29 Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Notes Linked to the Performance of the Dow Jones-AIG Commodity Index Total Return
Comments Due: May 16, 2007
See Also - Rel. No. 34-55661
Federal Register version (72 FR 29015)
34-55764 SR-ISE-2007-18 Order Approving Proposed Rule Change Relating to Information Regarding Customer Interest on the Book
Comments Due: May 3, 2007
See Also - Rel. No. 34-55589
Federal Register version (72 FR 28531)
34-55755 4-536 Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Chicago Board Options Exchange, Incorporated and the National Associ
See Also - Rel. No. 34-55612
Federal Register version (72 FR 28087)
34-55744 4-429 Order Approving Joint Amendment No. 22 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage
View Received Comments
See Also - Release Nos. 34-56806, 34-56780, 34-56605, 34-56596, and 34-55436
Federal Register version (72 FR 27867)
34-55738 SR-NYSEArca-2007-17 Order Granting Approval of a Proposed Rule Change To Waive 2007 Annual Listing Fees for Certain Dually-Listed Issuers Who Delist During 2007
Comments Due: April 26, 2007
See Also - Rel. No. 34-55564
Federal Register version (72 FR 27611)
34-55743 SR-NYSEArca-2007-24 Order Approving a Proposed Rule Change to Waive Certain Listing Fees
Comments Due: April 6, 2007
See Also - Rel. No. 34-55430
Federal Register version (72 FR 27895)
34-55735 SR-NYSE-2007-06 Order Approving Proposed Rule Change To Amend NYSE Rule 440A ("Telephone Solicitations")
Comments Due: April 19, 2007
See Also - Rel. No. 34-55517
Federal Register version (72 FR 27610)
34-55716 SR-OCC-2006-15 Order Granting Approval of a Proposed Rule Change Relating to the Approval of Fund Shares Deposited as Margin
Comments Due: April 19, 2007
See Also - Rel. No. 34-55504, Rel. No. 34-55504
Federal Register version (72 FR 26861)
34-55702 SR-ODD-2007-02 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Options Adjustment Methodology and Fund Shares
Federal Register version (72 FR 26671)
34-55686 SR-OCC-2006-21 Order Granting Approval of a Proposed Rule Change Relating to Membership Requirements
Comments Due: February 2, 2007
See Also - Rel. No. 34-55047, Rel. No. 34-55047
Federal Register version (72 FR 26191)
34-55683 SR-ISE-2006-77 Order Granting Approval to Proposed Rule Change, as Modified by Amendment No. 1, Relating to Penny Increments for Block Mechanism Orders
Comments Due: April 17, 2007
See Also - Rel. No. 34-55493
Federal Register version (72 FR 25823)
34-55671 SR-Amex-2007-22 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Its Minor Rule Violation Fine Systems
Comments Due: April 17, 2007
See Also - Rel. No. 34-55500
Federal Register version (72 FR 24347)
34-55675 SR-Amex-2006-114 Order Granting Approval to a Proposed Rule Change as Modified by Amendment No. 1 Thereto Clarifying the Continued Listing Standards for Units
Comments Due: April 12, 2007
See Also - Rel. No. 34-55479
Federal Register version (72 FR 24638)
34-55656 SR-NYSE-2007-15 Order Approving Proposed Rule Change Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses
Comments Due: March 26, 2007
See Also - Rel. No. 34-55345
Federal Register version (72 FR 21062)
34-55647 S7-24-89 Order Granting Permanent Approval of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc
Comments Due: February 17, 2026
View Received Comments
See Also - Release No. 34-55192
Federal Register version (72 FR 20891)
4-533R 4-533 Proposed NMS Plan for the Selection and Reservation of Securities Symbols by NASDAQ, NASD, NSX and Phlx [Revised]
Comments Due: February 24, 2026
View Received Comments
34-55638 SR-NASD-2003-141 Order Granting Approval to Proposed Rule Change Relating to Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities
Comments Due: April 5, 2005
View Received Comments
See Also - Rel. No. 34-54799, Rel. No. 34-51338
Federal Register version (72 FR 20150)
34-55632 SR-Amex-2006-112 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Units of the United States Natural Gas Fund, LP
Comments Due: March 21, 2007
See Also - Rel. No. 34-55372
Federal Register version (72 FR 19987)
34-55606 SR-BSE-2006-11 Order Approving Proposed Rule Change and Amendments No. 1 and 2 Relating to the Boston Options Exchange's Minor Rule Violation Plan
See Also - Rel. No. 34-55373
Federal Register version (72 FR 19221)
34-55584 SR-CHX-2006-38 Order Granting Approval to Proposed Rule Change to Extend the Late Trading Session and to Permit Only the Execution of Cross Orders During That Session
Comments Due: March 16, 2007
See Also - Rel. No. 34-55308
Federal Register version (72 FR 18497)
34-55585 SR-NYSE-2006-75 Order Granting Approval to Proposed Rule Change as Modified by Amendment No. 1 Thereto To List and Trade Four iShares GS Commodity Indexed Trusts
Comments Due: January 16, 2007
See Also - Rel. No. 34-54992
Federal Register version (72 FR 18500)
34-55582 SR-ODD-2007-01 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Rate-Modified Cash-Settled Foreign Currency Options
Federal Register version (72 FR 17978)
34-55557 SR-NYSEArca-2006-50 Order Granting Approval of Proposed Rule Change Relating to the Facilitation Mechanism
Comments Due: February 28, 2007
See Also - Rel. No. 34-55236
Federal Register version (72 FR 16838)
34-55557 SR-ISE-2006-78 Order Granting Approval of Proposed Rule Change Relating to the Facilitation Mechanism
Comments Due: March 5, 2007
See Also - Rel. No. 34-55236
Federal Register version (72 FR 16838)
34-55547 SR-Amex-2006-110 Order Granting Approval of Proposed Rule Change Relating to Options Based on Commodity Pool ETFs
Comments Due: February 27, 2007
See Also - Rel. No. 34-55187
Federal Register version (72 FR 16388)
34-55549 SR-CHX-2007-02 Order Granting Accelerated Approval of a Proposed Rule Change To Amend the CHX Fee Schedule on a Retroactive Basis To Clarify the Application of a Credit Against Specialist Fixed Fees
Comments Due: March 27, 2007
See Also - Rel. No. 34-55408
Federal Register version (72 FR 16837)
34-55548 SR-NYSE-2006-71 Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 To List and Trade Nine Series of Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of Sub-Indices of the Dow Jones-AIG Commodity Index SM
Comments Due: March 19, 2007
See Also - Rel. No. 34-55352
Federal Register version (72 FR 16392)
34-55544 SR-Amex-2007-07 Order Approving a Proposed Rule Change Revising Existing Rules for Portfolio Depositary Receipts and Index Fund Shares
Comments Due: February 27, 2007
See Also - Rel. No. 34-55240
Federal Register version (72 FR 15923)
34-55546 SR-NYSEArca-2007-14 Order Granting Accelerated Approval To a Proposed Rule Change to Amend Existing Rules for Investment Company Units To Eliminate Requirement Regarding Index Weighting and Calculation Methodology
Comments Due: March 20, 2007
See Also - Rel. No. 34-55339
Federal Register version (72 FR 15929)
34-55536 SR-NYSE-2007-01 Order Approving Proposed Rule Change to Amend Listing and Annual Fees Applicable to Investment Company Units, Currency Trust Shares, Commodity Trust Shares and streetTRACKS Gold Shares
Comments Due: March 16, 2007
See Also - Rel. No. 34-55299
Federal Register version (72 FR 15750)
34-55545 SR-NYSE-2007-12 Order Granting Accelerated Approval to a Proposed Rule Change as Modified by Amendment No. 1 To Amend Section 703.16 of the NYSE Listed Company Manual To Eliminate Requirement Regarding Index Weighting and Calculation Methodology
Comments Due: March 20, 2007
See Also - Rel. No. 34-55343
Federal Register version (72 FR 15928)
34-55531 SR-CBOE-2006-94 Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Relating to Off-Floor DPMs
Comments Due: March 13, 2007
See Also - Rel. No. 34-55275
Federal Register version (72 FR 15736)
34-55532 S7-966 Order Granting Approval of Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange, LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the New York Stock Exchange, LLC, the NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
Comments Due: August 27, 2024
See Also - Release No. 34-55145
Federal Register version (72 FR 15729)
4-534, AAER-2392 4-534 American Stock Exchange LLC, Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, New York Stock Exchange LLC, and NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to the Proposed National Market System Plan for the Selection and Reservation of Securities Symbols
Comments Due: August 16, 2007
View Received Comments
Federal Register version (73 FR 4645)
4-534, AAER-2392 4-534 American Stock Exchange LLC, Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, New York Stock Exchange LLC, and NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to the Proposed National Market System Plan for the Selection and Reservation of Securities Symbols
Comments Due: February 15, 2008
View Received Comments
Federal Register version (73 FR 4645)
4-534, AAER-2392 4-534 American Stock Exchange LLC, Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, New York Stock Exchange LLC, and NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to the Proposed National Market System Plan for the Selection and Reservation of Securities Symbols
Comments Due: August 16, 2007
View Received Comments
Federal Register version (73 FR 4645)
4-534, AAER-2392 4-534 American Stock Exchange LLC, Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, New York Stock Exchange LLC, and NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to the Proposed National Market System Plan for the Selection and Reservation of Securities Symbols
Comments Due: February 15, 2008
View Received Comments
Federal Register version (73 FR 4645)
4-533, AAER-2376 4-534 Order Approving Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by The Nasdaq Stock Market LLC, BOX Exchange LLC, Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., CBOE EDGX Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Comments Due: August 16, 2007
View Received Comments
Federal Register version (87 FR 35270)
4-533, AAER-2376 4-533 Order Approving Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by The Nasdaq Stock Market LLC, BOX Exchange LLC, Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., CBOE EDGX Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Comments Due: February 24, 2026
View Received Comments
Federal Register version (87 FR 35270)
4-533, AAER-2376 4-534 Order Approving Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by The Nasdaq Stock Market LLC, BOX Exchange LLC, Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., CBOE EDGX Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Comments Due: August 16, 2007
View Received Comments
Federal Register version (87 FR 35270)
4-533, AAER-2376 4-533 Order Approving Amendment No. 4 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by The Nasdaq Stock Market LLC, BOX Exchange LLC, Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., CBOE EDGX Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Comments Due: February 24, 2026
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Federal Register version (87 FR 35270)
34-55480 SR-BSE-2006-46 Order Granting Approval of a Proposed Rule Change Amending Rules To Require Securities Become Eligible for a Direct Registration System
See Also - Rel. No. 34-54832
Federal Register version (72 FR 13544)
34-55481 SR-CHX-2006-33 Order Granting Approval of a Proposed Rule Change Amending Rules To Require Listed Companies To Make Securities Eligible for the Direct Registration System
Comments Due: December 28, 2006
See Also - Rel. No. 34-54833
Federal Register version (72 FR 13546)
34-55482 SR-Phlx-2006-69 Order Granting Approval of a Proposed Rule Change Amending Rules Relating to the Direct Registration System
Comments Due: December 28, 2006
See Also - Rel. No. 34-54834
Federal Register version (72 FR 13547)