34-73221
Sept. 25, 2014
SR-BYX-2014-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. Comments Due: Federal Register version (79 FR 59335)
34-73217
Sept. 25, 2014
SR-EDGA-2014-20
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating To Include Additional Specificity Within Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions Comments Due: View Received Comments Rel. No. 34-73592 , Rel. No. 34-72812 Federal Register version (79 FR 59336)
34-73218
Sept. 25, 2014
SR-NYSEMKT-2014-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 141 and 142 of the NYSE MKT Company Guide To Increase Certain of the Fees Set Forth Therein Comments Due: Exhibit 5 Federal Register version (79 FR 59333)
34-73214
Sept. 25, 2014
SR-CTA-2014-01
Notice of Filing and Immediate Effectiveness of the Quote Meter Audit Late Fee Twentieth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan Comments Due: Federal Register version (79 FR 59337)
34-73210
Sept. 25, 2014
SR-FINRA-2014-037
Notice of Filing of a Proposed Rule Change To Adopt FINRA Rules 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation) and 2040 (Payments to Unregistered Persons) in the Consolidated FINRA Rulebook, and Amend FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar) Comments Due: View Received Comments Rel. No. 34-73954 Federal Register version (79 FR 59322)
34-73215
Sept. 25, 2014
SR-BOX-2014-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (79 FR 59319)
34-73199
Sept. 24, 2014
SR-BATS-2014-018
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt Rule 14.11(k) To Permit BATS Exchange, Inc. To List Managed Portfolio Shares and To List and Trade Shares of Certain Funds of the Spruce ETF Trust Rel. No. 34-73559 , Rel. No. 34-72787 Federal Register version (79 FR 58844)
34-73203
Sept. 24, 2014
SR-BATS-2014-040
Notice of Filing of a Proposed Rule Change to Rule 21.7 of BATS Exchange, Inc. Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-73571 Federal Register version (79 FR 58845)
34-73204
Sept. 24, 2014
SR-NYSEArca-2014-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Amend the Functionality Relating To Post No Preference Blind Orders To Display Such Orders One Minimum Price Variation Below the Best Protected Offer for Bids and Above the Best Protected Bid for Offers Comments Due: Exhibit 5 Federal Register version (79 FR 58842)
34-73191
Sept. 23, 2014
SR-OC-2014-04
Notice of Filing of Proposed Rule Change to Update OCX's Rulebook To Remove References To the OCX.BETS and CBOEdirect Trading Platforms Comments Due: Exhibit 4 Federal Register version (79 FR 58395)
34-73188
Sept. 23, 2014
SR-BATS-2014-041
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9 of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 58004)
34-73190
Sept. 23, 2014
SR-BYX-2014-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9 of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 58019)
34-73196
Sept. 23, 2014
SR-ISEGemini-2014-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendment of Its Limited Liability Company Agreement ("LLC Agreement") Comments Due: Exhibit 5 Federal Register version (79 FR 58387)
34-73194
Sept. 23, 2014
SR-Phlx-2014-61
Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc. Comments Due: Exhibit 5 , Rel. No. 34-73516 Federal Register version (79 FR 58393)
34-73181
Sept. 23, 2014
SR-NYSEArca-2014-103
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Increase in the Number of Securities Held by the Peritus High Yield ETF Comments Due: Federal Register version (79 FR 58001)
34-73195
Sept. 23, 2014
SR-BX-2014-045
Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc. Comments Due: Exhibit 5 , Rel. No. 34-73516 Federal Register version (79 FR 58397)
34-73182
Sept. 23, 2014
SR-NASDAQ-2014-094
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program Until December 31, 2014 Comments Due: Exhibit 5 Federal Register version (79 FR 57995)
34-73193
Sept. 23, 2014
SR-NASDAQ-2014-093
Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 58388)
34-73192
Sept. 23, 2014
SR-FINRA-2014-025
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Supplementary Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) Comments Due: Federal Register version (79 FR 58390)
34-73187
Sept. 23, 2014
SR-FICC-2014-801
Notice of Filing Amendment No. 1 to Advance Notice Relating to the Government Securities Division's Inclusion of GCF Repo® Positions in GSD's Intraday Participant Clearing Fund Requirement Calculation, and GSD's Hourly Internal Surveillance Cycles Comments Due: Federal Register version (79 FR 58007)
34-73176
Sept. 22, 2014
SR-BYX-2014-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9 and 11.13 of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 58010)
34-73159
Sept. 22, 2014
SR-NYSEMKT-2014-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .01 to Rule 341 To Specify the Registration and Examination Requirements for Certain Persons Engaged in Supervisory Activities Comments Due: Exhibit 5 Federal Register version (79 FR 57997)
34-73178
Sept. 22, 2014
SR-NASDAQ-2014-090
Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Validea Market Legends ETF of the ETF Series Solutions ETF Trust Comments Due: View Received Comments Rel. No. 34-73480 Federal Register version (79 FR 58012)
34-73177
Sept. 22, 2014
SR-MIAX-2014-49
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 404 Comments Due: Exhibit 5 Federal Register version (79 FR 57999)
34-73145
Sept. 19, 2014
SR-SCCP-2014-01
Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Rel. No. 34-73516 Federal Register version (79 FR 57648)
34-73144
Sept. 19, 2014
SR-BSECC-2014-001
Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Rel. No. 34-73516 Federal Register version (79 FR 57624)
34-73150
Sept. 19, 2014
SR-CHX-2014-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the CHX Routing Services Comments Due: Exhibit 5 Federal Register version (79 FR 57603)
34-73152
Sept. 19, 2014
SR-Phlx-2014-54
Notice of Filing of Proposed Rule Change To Add a New Complex Order Process Called Legging Orders Comments Due: View Received Comments Exhibit 5 , 34-73545 Federal Register version (79 FR 57632)
34-73149
Sept. 19, 2014
SR-NYSEArca-2014-102
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the Greenhaven Coal Fund Under NYSE Arca Equities Rule 8.200, Commentary .02 Comments Due: View Received Comments Rel. No. 34-73561 Federal Register version (79 FR 57640)
34-73151
Sept. 19, 2014
SR-NYSEARCA-2014-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 2.100(a) To Correct Potential Ambiguities Introduced in Prior Rule Change Filings Submitted in 2013 and 2014 Comments Due: Exhibit 5 Federal Register version (79 FR 57601)
34-73153
Sept. 19, 2014
SR-NYSE-2014-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.03, 902.04, 902.05, 902.06 and 902.08 of the Listed Company Manual To Increase Certain of the Fees Set Forth Therein and To Delete Obsolete Rule Text Comments Due: Exhibit 5 Federal Register version (79 FR 57627)
34-73156
Sept. 19, 2014
SR-ICEEU-2014-13
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the 2014 ISDA Credit Derivatives Definitions Comments Due: Federal Register version (79 FR 57629)
34-73143
Sept. 18, 2014
SR-OCC-2014-16
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Apply Enhanced Post-Trade Price Reasonableness Checks on Confirmed Trades in Standardized Options and Futures Options To Increase the Likelihood That Erroneous Trades Will Be Identified and Voided Comments Due: View Received Comments Federal Register version (79 FR 57158)
34-73141
Sept. 18, 2014
SR-NYSEArca-2014-100
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSgA Global Managed Volatility ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-75023 , Rel. No. 34-73914 , Rel. No. 34-73515 Federal Register version (79 FR 57161)
34-73137
Sept. 18, 2014
SR-NYSE-2014-40
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Establishing the NYSE Best Quote & Trades Data Feed Comments Due: View Received Comments Rel. No. 34-72750 , 34-73553 Federal Register version (79 FR 57160)
34-73126
Sept. 17, 2014
SR-Phlx-2014-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule Under Section VIII With Respect To Execution and Routing of Orders in Securities Priced at $1 or More Per Share Comments Due: Exhibit 5 Federal Register version (79 FR 56838)
34-73132
Sept. 17, 2014
SR-NASDAQ-2014-092
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees for Optional Wireless Connectivity for Co-located Clients Comments Due: Exhibit 5 Federal Register version (79 FR 56836)
34-73128
Sept. 17, 2014
SR-ICEEU-2014-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICE Clear Europe Delivery Procedures Comments Due: Federal Register version (79 FR 56840)
34-73099
Sept. 15, 2014
SR-EDGX-2014-19
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed Rel. No. 34-72691 Federal Register version (79 FR 56418)
34-73093
Sept. 15, 2014
SR-BATS-2014-037
Notice of Filing of a Proposed Rule Change to Rules 11.9 and 21.1 of BATS Exchange, Inc. Comments Due: Exhibit 5 , Rel. No. 34-73473 Federal Register version (79 FR 56421)
34-73101
Sept. 15, 2014
SR-BATS-2014-028
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed Rel. No. 34-72688 Federal Register version (79 FR 56418)
34-73094
Sept. 15, 2014
SR-BYX-2014-018
Notice of Filing of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 , Rel. No. 34-73472 Federal Register version (79 FR 56411)
34-73102
Sept. 15, 2014
SR-BYX-2014-011
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed Rel. No. 34-72690 Federal Register version (79 FR 56419)
34-73098
Sept. 15, 2014
SR-EDGA-2014-16
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed Comments Due: View Received Comments Rel. No. 34-72689 Federal Register version (79 FR 56415)
34-73100
Sept. 15, 2014
SR-CBOE-2014-070
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 56415)
34-73083
Sept. 11, 2014
SR-EDGX-2014-18
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating To Include Additional Specificity Within Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions Comments Due: Rel. No. 34-73468 , Rel. No. 34-72676 Federal Register version (79 FR 55850)
34-73080
Sept. 11, 2014
SR-BATS-2014-039
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 55864)
34-73079
Sept. 11, 2014
SR-BYX-2014-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 55843)
34-73078
Sept. 11, 2014
SR-NASDAQ-2014-80
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the PowerShares DB Optimum Yield Diversified Commodity Strategy Portfolio, PowerShares Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals Commodity Strategy Portfolio, PowerShares Energy Commodity Strategy Portfolio, PowerShares Base Metals Commodity Strategy Portfolio and PowerShares Bloomberg Commodity Strategy Portfolio, Each a Series of PowerShares Actively Managed Exchange-Traded Commodity Fund Trust Comments Due: Rel. No. 34-73471.pdf Federal Register version (79 FR 55851)
34-73068
Sept. 10, 2014
SR-NYSEArca-2014-98
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 2.23 To Specify the Registration and Examination Requirements for Persons Engaged in Supervisory Activities Comments Due: Exhibit 5 Federal Register version (79 FR 55521)
34-73071
Sept. 10, 2014
SR-NYSE-2014-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Amend Section 107.03 of the Listed Company Manual To Provide That No Security Shall Be Approved for Listing on the Exchange That is Delinquent in Its Filing Obligation With the Securities and Exchange Commission Comments Due: Exhibit 5 Federal Register version (79 FR 55517)
34-73069
Sept. 10, 2014
SR-NASDAQ-2014-088
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rule 4753 To Expand the Information Made Available Through the Order Imbalance Indicator in Connection With the NASDAQ Halt Cross Comments Due: Exhibit 5 Federal Register version (79 FR 55519)
34-73019
Sept. 9, 2014
SR-NYSEMKT-2014-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Adjust the Pricing Related to the Retail Liquidity Program Under Rule 107C-Equities Comments Due: Exhibit 5 Federal Register version (79 FR 55059)
34-73020
Sept. 9, 2014
SR-NYSEMKT-2014-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE MKT OpenBook, NYSE MKT Trades, and NYSE MKT BBO, and to Establish Fees for Non-Display Use of NYSE MKT Order Imbalances Comments Due: Exhibit 5
34-73024
Sept. 9, 2014
SR-NYSEMKT-2014-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 967NY(b) To Enhance the Functionality of the Limit Order Filter Comments Due: Exhibit 5 Federal Register version (79 FR 55049)
34-73029
Sept. 9, 2014
SR-NYSEMKT-2014-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 49-Equities, Which Addresses the Exchange's Emergency Powers Revising How Certain Messages Are Disseminated Comments Due: Exhibit 5 Federal Register version (79 FR 55061)
34-73026
Sept. 9, 2014
SR-NYSEArca-2014-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.60(b) To Enhance the Functionality of the Limit Order Filter Comments Due: Exhibit 5 Federal Register version (79 FR 55038)
34-73027
Sept. 9, 2014
SR-NYSEArca-2014-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2.100, Which Addresses the Exchange's Emergency Powers Revising How Certain Messages Are Disseminated Comments Due: Exhibit 5 Federal Register version (79 FR 55036)
34-73021
Sept. 9, 2014
SR-NYSE-2014-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List To Provide That the Monthly DMM Credit for Certain Securities Be Prorated to the Number of Trading Days in a Month That a Security Is Assigned to a DMM Comments Due: Exhibit 5 Federal Register version (79 FR 55047)
34-73028
Sept. 9, 2014
SR-NYSE-2014-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 49, Which Addresses the Exchange's Emergency Powers Revising How Certain Messages Are Disseminated Comments Due: Exhibit 5 Federal Register version (79 FR 55056)
34-73025
Sept. 9, 2014
SR-NASDAQ-2014-089
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7018 Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 55055)
34-73017
Sept. 8, 2014
SR-CBOE-2014-062
Notice of Filing of a Proposed Rule Change To Adopt Extended Trading Hours Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-73704 Federal Register version (79 FR 54758)
34-73005
Sept. 5, 2014
SR-EDGX-2014-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 54338)
34-73003
Sept. 5, 2014
SR-BATS-2014-026
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of Certain Funds of the Alpha Architect ETF Trust Comments Due: Rel. No. 34-73376 , Rel. No. 34-72636 Federal Register version (79 FR 54307)
34-73009
Sept. 5, 2014
SR-CFE-2014-004
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Position Limits for Individual Stock Based and Exchange-Traded Fund Based Volatility Index Security Futures Comments Due: Exhibit 4 Federal Register version (79 FR 54313)
34-73006
Sept. 5, 2014
SR-EDGA-2014-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 54339)
34-73008
Sept. 5, 2014
SR-NYSEMKT-2014-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE Amex Options Market Data Comments Due: Exhibit 5 Federal Register version (79 FR 54325)
34-73010
Sept. 5, 2014
SR-NYSEARCA-2014-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE Arca Options Market Data Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 54307)
34-73011
Sept. 5, 2014
SR-NYSEARCA-2014-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE Arca Integrated Fee, NYSE ArcaBook, NYSE Arca Trades, and NYSE Arca BBO, and To Establish a Fee for Managed Non-Services for NYSE Arca BBO Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 54315)
34-73013
Sept. 5, 2014
SR-NYSEARCA-2014-95
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To (i) Change the Pricing for the Retail Liquidity Program and the Qualification Requirement for the Existing Retail Order Tier, and To Add a New Retail Order Credit Under Basic Rates, and (ii) Eliminate Obsolete Pricing Tiers Comments Due: Exhibit 5 Federal Register version (79 FR 54322)
34-72994
Sept. 4, 2014
SR-BX-2014-044
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPY and DIA Options Comments Due: Exhibit 5 Federal Register version (79 FR 53805)
34-72987
Sept. 4, 2014
SR-NASDAQ-2014-020
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating To Listing and Trading of Exchange-Traded Managed Fund Shares Comments Due: View Received Comments Rel. No. 34-72350 , Rel. No. 34-72007 , Rel. No. 34-71657 Federal Register version (79 FR 53808)
34-72993
Sept. 4, 2014
SR-NASDAQ-2014-091
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPY and DIA Options Comments Due: Exhibit 5 Federal Register version (79 FR 56419)
34-72988
Sept. 4, 2014
SR-MIAX-2014-46
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 53808)
34-72989
Sept. 4, 2014
SR-MIAX-2014-47
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 53792)
34-72998
Sept. 4, 2014
SR-ISE-2014-42
Notice of Filing of Proposed Rule Change Regarding Strike Price Intervals for SPY and DIA Options Comments Due: Exhibit 5 Federal Register version (79 FR 53813)
34-72990
Sept. 4, 2014
SR-CBOE-2014-068
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Strike Setting Regimes for SPY and DIA Options Comments Due: Federal Register version (79 FR 53799)
34-72991
Sept. 4, 2014
SR-CBOE-2014-069
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to XSP and DJX Strike Price Listings Comments Due: Federal Register version (79 FR 53794)
34-72992
Sept. 4, 2014
SR-BOX-2014-20
Notice of Filing of Proposed Rule Change To Amend Interpretative Material to Rule 5050 (Series of Options Contracts Open for Trading) To Allow $1 or Greater Strike Price Intervals for Options on the SPDR S&P 500 Exchange Traded Fund ("SPY") and the SPDR Dow Jones Industrial Average Exchange Traded Fund ("DIA") Comments Due: Exhibit 5 Federal Register version (79 FR 53803)
34-72968
Sept. 3, 2014
SR-Phlx-2014-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership Comments Due: Federal Register version (79 FR 53494)
34-72969
Sept. 3, 2014
SR-Phlx-2014-56
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Information Related to Aggregation of Activity of Affiliates Comments Due: Federal Register version (79 FR 53485)
34-72972
Sept. 3, 2014
SR-NYSEMKT-2014-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and, through NYSE Amex Options LLC Amending the NYSE Amex Options Fee Schedule To Establish Billing Practices with Respect to Billing Disputes Comments Due: Exhibit 5 Federal Register version (79 FR 53482)
34-72963
Sept. 3, 2014
SR-NYSEArca-2014-99
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Operation of the NYSE Arca ETP Incentive Program, Currently Scheduled To Expire on September 3, 2014, for an Additional Year Comments Due: Federal Register version (79 FR 53492)
34-72971
Sept. 3, 2014
SR-NYSEARCA-2014-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and, Through Its Wholly Owned Subsidiary NYSE Arca Equities, Inc. Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services, To Establish a Billing Practice With Respect to Billing Disputes Comments Due: Exhibit 5 Federal Register version (79 FR 53488)
34-72960
Sept. 3, 2014
SR-NYSE-2014-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Increase Certain Fees for Executions at the Close; Simplify the "Tier Adding Credits" for Non-Floor Brokers and Increase the Credit for One Tier; Decrease the Fee and Increase the Credit for Midpoint Passive Liquidity Orders; Eliminate the Transaction Rate for Floor Broker Volume That "Steps Up" Over a Baseline Month and Increase a Related Fee for Floor Broker Transactions; Eliminate a Volume Tier and Decrease a Credit Related to Executions of Orders Sent to the Floor Broker That Add Liquidity on the Exchange; Increase a Volume Requirement and Corresponding Credit for Supplemental Liquidity Providers When Adding Liquidity in Assigned Securities; and Adjust the Pricing Related to the Retail Liquidity Program Under Rule 107C Comments Due: Exhibit 5 Federal Register version (79 FR 53475)
34-72973
Sept. 3, 2014
SR-NYSE-2014-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Establish a Billing Practice With Respect to Billing Disputes Comments Due: Exhibit 5 Federal Register version (79 FR 53496)
34-72964
Sept. 3, 2014
SR-BX-2014-041
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership Comments Due: Federal Register version (79 FR 53483)
34-72965
Sept. 3, 2014
SR-BX-2014-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership Comments Due: Federal Register version (79 FR 53490)
34-72961
Sept. 3, 2014
SR-NASDAQ-2014-081
Notice of Filing of Proposed Rule Change Relating to Proposed Changes to NASDAQ Rule 4120(c) To Modify the Parameters for Releasing Securities for Trading Upon the Termination of a Trading Halt in a Security That is the Subject of an Initial Public Offering Comments Due: Exhibit 5 , Rel. No. 34-73399 Federal Register version (79 FR 53500)
34-72966
Sept. 3, 2014
SR-NASDAQ-2014-083
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership Comments Due: Federal Register version (79 FR 53473)
34-72967
Sept. 3, 2014
SR-NASDAQ-2014-082
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership Comments Due: Federal Register version (79 FR 53471)
34-72970
Sept. 3, 2014
SR-CBOE-2014-066
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Trade Nullification and Price Adjustment Comments Due: Exhibit 5 Federal Register version (79 FR 53498)
34-72955
Sept. 2, 2014
SR-EDGX-2014-05
Notice of Withdrawal of Proposed Rule Change To Adopt a New Order Type Called the Mid-Point Discretionary Order Rel. No. 34-72445 , Rel. No. 34-72086 , Rel. No. 34-71747 Federal Register version (79 FR 53247)
34-72959
Sept. 2, 2014
SR-CME-2014-28
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Related to Enhancements to Its Risk Model for Credit Default Swaps Comments Due: Rel. No. 34-73627 , Rel. No. 34-73283 , Rel. No. 34-72834 Federal Register version (79 FR 53234)
34-72954
Sept. 2, 2014
SR-NYSEArca-2014-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading Shares of ProShares Managed Futures Strategy; ProShares Commodity Managed Futures Strategy; and ProShares Financial Managed Futures Strategy Under NYSE Arca Equities Rule 8.200 Comments Due: Federal Register version (79 FR 53223)
34-72956
Sept. 2, 2014
SR-MSRB-2014-07
Notice of Filing of a Proposed Rule Change Consisting of Rule G-18, on Best Execution of Transactions in Municipal Securities, and Amendments to Rule G-48, on Transactions With Sophisticated Municipal Market Professionals ("SMMP"), and Rule D-15, on the Definition of SMMP Comments Due: View Received Comments Exhibit 2 , Exhibit 5 , Rel. No. 34-73764 Federal Register version (79 FR 53236)
34-72957
Sept. 2, 2014
SR-CBOE-2014-015
Notice of Filing of a Proposed Rule Change Relating to Complex Orders Comments Due: Exhibit 5 , Rel. No. 34-73409 Federal Register version (79 FR 53230)
34-72945
Aug. 28, 2014
SR-BATS-2014-038
Notice of Filing of a Proposed Rule Change to Rules 11.9 and 21.1 of BATS Exchange, Inc. Comments Due: Exhibit 5 , Rel. No. 34-73363 Federal Register version (79 FR 52790)
34-72946
Aug. 28, 2014
SR-BYX-2014-019
Notice of Filing of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 , Rel. No. 34-73366 Federal Register version (79 FR 52780)
34-72943
Aug. 28, 2014
SR-MIAX-2014-45
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Fee Schedule to Adopt Fees for MIAX PRIME Comments Due: Exhibit 5 Federal Register version (79 FR 52785)
