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)
34-72941
Aug. 28, 2014
SR-ICC-2014-14
Notice of Filing of Proposed Rule Change to Add Rules Related to the Clearing of Standard Western European Sovereign CDS Contracts Comments Due: Rel. No. 34-73384 , Rel. No. 34-73534 Federal Register version (79 FR 52794)
34-72933
Aug. 27, 2014
SR-BATS-2014-036
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 52382)
34-72932
Aug. 27, 2014
SR-BYX-2014-017
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 52384)
34-72937
Aug. 27, 2014
SR-NYSEArca-2014-89
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of Eight PIMCO Exchange-Traded Funds Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-74407 , Rel. No. 34-73706 , Rel. No. 34-73364 , Rel. No. 34-74842 Federal Register version (79 FR 52385)
34-72919
Aug. 26, 2014
SR-ISE-Gemini-2014-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change on Sweep Orders Comments Due: Exhibit 5 Federal Register version (79 FR 52096)
34-72914
Aug. 26, 2014
SR-NSX-2014-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 15.5 To Provide Additional Clarity and Precision, Correct Certain Citations, and Align the Rule With the Rules of Other Exchanges With Respect to the Original and Continued Listing Standards for Issuers' Compensation Committees Comments Due: Exhibit 5 Federal Register version (79 FR 52089)
34-72915
Aug. 26, 2014
SR-NYSEArca-2014-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Delete Functionality Permitting Primary Only Orders and Primary Sweep Orders To Be Designated With Intermarket Sweep Order Modifiers Comments Due: Exhibit 5 Federal Register version (79 FR 52077)
34-72916
Aug. 26, 2014
SR-NYSE-2014-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To (i) Delete Obsolete Rules Relating to Exchange-Listed Options Trading and Related References (NYSE Rules 700-794); (ii) Delete Obsolete Rules Related to the Defunct Exchange Stock Portfolio Service and Related References (NYSE Rules 800-817); and (iii) Amend NYSE Rules 15A and 123D To Remove Outdated References to the Terminated Intermarket Trading System Plan Comments Due: Exhibit 5 Federal Register version (79 FR 52094)
34-72923
Aug. 26, 2014
SR-NYSE-2014-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE OpenBook, NYSE Trades, and NYSE BBO, and To Establish Fees for Non-Display Use of NYSE Order Imbalances Comments Due: Exhibit 5 Federal Register version (79 FR 52079)
34-72918
Aug. 26, 2014
SR-BX-2014-042
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX Options Lead Market Maker Rules Comments Due: Exhibit 5 Federal Register version (79 FR 52092)
34-72920
Aug. 26, 2014
SR-NASDAQ-2014-084
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NOM Market Maker Requirements Comments Due: Federal Register version (79 FR 52086)
34-72909
Aug. 25, 2014
SR-CHX-2014-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a General Prohibition Against Affiliation Between the Exchange and any Participant Comments Due: Exhibit 5 Federal Register version (79 FR 51633)
34-72911
Aug. 25, 2014
SR-NASDAQ-2014-086
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a Volume Discount for the Bulk Purchase of Aged Reports Within the Category of Historical Research and Administrative Reports Under NASDAQ Rule 7022 Comments Due: Federal Register version (79 FR 51628)
34-72908
Aug. 25, 2014
SR-FICC-2014-01
Notice of Filing of Proposed Rule Change To Amend the Government Securities Division Rulebook in Order To Establish an Early Unwind Intraday Charge in Connection With the Inclusion of GCF Repo Positions in GSD's Intraday Participant Clearing Fund Requirement, and GSD's Hourly Internal Surveillance Cycles Comments Due: Rel. No. 34-73389 Federal Register version (79 FR 51630)
34-72901
Aug. 22, 2014
SR-NYSEArca-2014-10
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt NYSE Arca Equities Rule 8.900, Which Permits the Listing and Trading of Managed Portfolio Shares, and To List and Trade Shares of the ActiveSharesSM Comments Due: View Received Comments Rel. No. 34-72255 , Rel. No. 34-71895 , Rel. No. 34-71588 Federal Register version (79 FR 51380)
34-72903
Aug. 22, 2014
SR-CBOE-2014-065
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 51381)
34-72902
Aug. 22, 2014
SR-C2-2014-018
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 51385)
34-72890
Aug. 21, 2014
SR-NYSEMKT-2014-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 86-Equities To Extend the Hours for the Core Bond Trading Session for NYSE MKT Bonds Comments Due: Exhibit 5 Federal Register version (79 FR 51208)
34-72891
Aug. 21, 2014
SR-NYSEMKT-2014-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing the Short-Term Option Series Program To Introduce Finer Strike Price Intervals for Related Non-Short Term Options Comments Due: Exhibit 5 Federal Register version (79 FR 51217)
34-72894
Aug. 21, 2014
SR-NYSEMKT-2014-56
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 13-Equities To Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders Comments Due: View Received Comments Rel. No. 34-73333 , Rel. No. 34-72547 Federal Register version (79 FR 51208)
34-72889
Aug. 21, 2014
SR-NYSEArca-2014-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing the Short-Term Option Series Program To Introduce Finer Strike Price Intervals for Related Non-Short Term Options Comments Due: Exhibit 5 Federal Register version (79 FR 51205)
34-72893
Aug. 21, 2014
SR-NYSE-2014-32
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 13 To Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders Comments Due: View Received Comments Rel. No. 34-73333 , Rel. No. 34-72548 Federal Register version (79 FR 51208)
34-72878
Aug. 20, 2014
SR-BATS-2014-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 50958)
34-72879
Aug. 20, 2014
SR-BATS-2014-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Rules 11.9(f) and 21.1(g) of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 50960)
34-72880
Aug. 20, 2014
SR-BYX-2014-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 50977)
34-72881
Aug. 20, 2014
SR-BYX-2014-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9(f) of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 50975)
34-72884
Aug. 20, 2014
SR-CME-2014-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 802.H Comments Due: Federal Register version (79 FR 50962)
34-72885
Aug. 20, 2014
SR-MIAX-2014-44
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404 Regarding the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (79 FR 50956)
34-72865
Aug. 19, 2014
SR-NYSEMKT-2014-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 50725)
34-72864
Aug. 19, 2014
SR-NYSEArca-2014-86
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.70 to Make the Rule Applicable to All Transactions on the Exchange Comments Due: Exhibit 5 Federal Register version (79 FR 50718)
34-72866
Aug. 19, 2014
SR-CBOE-2014-050
Notice of Withdrawal of Proposed Rule Change Relating to Trade Nullification and Price Adjustment Comments Due: Rel. No. 34-72390 Federal Register version (79 FR 50724)
34-72857
Aug. 18, 2014
SR-NYSEMKT-2014-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 332 of the NYSE MKT Company Guide To Provide That Listed Companies Should Pay Listing Fees Due in Connection With the Listing of Additional Securities in the Manner Specified in the Exchange's Invoice Comments Due: Exhibit 5 Federal Register version (79 FR 49824)
34-72860
Aug. 18, 2014
SR-DTC-2013-11
Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends To Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities Comments Due: View Received Comments Rel. No. 34-72391 , Rel. No. 34-71745 , Rel. No. 34-71132 Federal Register version (79 FR 49825)
34-72853
Aug. 15, 2014
SR-NYSEArca-2014-57
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2 To List and Trade Shares of the PIMCO Foreign Bond Exchange-Traded Fund (U.S. Dollar-Hedged), PIMCO Foreign Bond Exchange-Traded Fund (Unhedged), PIMCO Global Advantage Bond Exchange-Traded Fund, and PIMCO International Advantage Bond Exchange-Traded Fund Comments Due: View Received Comments Rel. No. 34-72531 , Rel. No. 34-72180 Federal Register version (79 FR 49544)
34-72854
Aug. 15, 2014
SR-FINRA-2014-036
Notice of Filing of a Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings Comments Due: Rel. No. 34-73230 Federal Register version (79 FR 49549)
34-72855
Aug. 15, 2014
SR-CBOE-2014-064
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 49552)
34-72844
Aug. 14, 2014
SR-EDGA-2014-22
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 49355)
34-72847
Aug. 14, 2014
SR-NYSEArca-2014-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change (1) to Reflect a Change to the Value Used by the iShares Silver Trust, ETFS Silver Trust, ETFS White Metals Basket Trust and ETFS Precious Metals Basket Trust With Respect to Calculation of the Net Asset Value of Shares of Each Trust; and (2) to Reflect a Change to the Underlying Benchmark for ProShares Ultra Silver and ProShares UltraShort Silver Comments Due: Federal Register version (79 FR 49350)
34-72849
Aug. 14, 2014
SR-ICEEU-2014-13
Notice of Filing of Proposed Rule Change Relating to the 2014 ISDA Credit Derivatives Definitions Comments Due: Exhibit 5 Federal Register version (79 FR 49357)
34-72830
Aug. 13, 2014
SR-BATS-2014-030
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 49136)
34-72833
Aug. 13, 2014
SR-CME-2014-31
Notice of Filing of Proposed Rule Change Related to Clearing of Certain iTraxx Europe Index Untranched CDS Contracts on Indices Administered by Markit Comments Due: Exhibit 5 , Rel. No. 34-73626 , Rel. No. 34-73290 , Rel. No. 34-73275 Federal Register version (79 FR 48797)
34-72834
Aug. 13, 2014
SR-CME-2014-28
Notice of Filing of Proposed Rule Change Related to Enhancements to Its Risk Model for Credit Default Swaps Comments Due: Rel. No. 34-73627 , Rel. No. 34-73283 , Rel. No.34-72959 Federal Register version (79 FR 48805)
34-72837
Aug. 13, 2014
SR-CME-2014-30
Notice of Filing of Proposed Rule Change Related to 2014 ISDA Definitions Comments Due: Exhibit 5 , Rel. No. 34-73232 Federal Register version (79 FR 49132)
34-72831
Aug. 13, 2014
SR-NASDAQ-2014-077
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees in Penny and Non-Penny Pilot Options Comments Due: Exhibit 5 Federal Register version (79 FR 49127)
34-72835
Aug. 13, 2014
SR-MIAX-2014-30
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Options on Shares of the iShare ETFs Comments Due: View Received Comments Rel. No. 34-74304 , Rel. No. 34-73211 , Rel. No. 34-72492 Federal Register version (79 FR 49140)
34-72814
Aug. 12, 2014
SR-EDGX-2014-22
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 48796)
34-72821
Aug. 12, 2014
SR-BATS-2014-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect Changes to the Means of Achieving the Investment Objective Applicable to the iShares Short Maturity Bond Fund Comments Due: Federal Register version (79 FR 48809)
34-72815
Aug. 12, 2014
SR-NYSEMKT-2014-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 935NY and Rule 964NY To Delete Obsolete References to Tracking Orders and Make Other Non-Substantive, Technical Changes to the Exchange Rules Comments Due: Exhibit 5 Federal Register version (79 FR 48783)
34-72820
Aug. 12, 2014
SR-OPRA-2014-03
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Sections 5.4 and 7.1 of the OPRA Plan Comments Due: Rel. No. 34-72824 Federal Register version (79 FR 48779)
34-72820
Aug. 12, 2014
SR-OPRA-2013-03
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Sections 5.4 and 7.1 of the OPRA Plan Comments Due: Rel. No. 34-72824 Federal Register version (79 FR 48779)
34-72824
Aug. 12, 2014
SR-OPRA-2014-03
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend OPRA's Definition of the Term "Nonprofessional" Comments Due: Rel. No. 34-72820 Federal Register version (79 FR 48780)
34-72825
Aug. 12, 2014
SR-OPRA-2014-04
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend OPRA's Fee Schedule To Establish Fees for After-Ho Comments Due: Federal Register version (79 FR 48782)
34-72826
Aug. 12, 2014
SR-OPRA-2014-06
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend OPRA's Fee Schedule Comments Due: Federal Register version (79 FR 49824)
34-72813
Aug. 12, 2014
SR-NASDAQ-2014-053
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the iShares Commodities Strategy ETF of iShares U.S. ETF Trust Comments Due: Rel. No. 34-73233 Federal Register version (79 FR 48787)
34-72816
Aug. 12, 2014
SR-ISE-2014-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change on Non-Customer Linkage and Sweep Orders Comments Due: Exhibit 5 Federal Register version (79 FR 48811)
34-72817
Aug. 12, 2014
SR-ISE-2014-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (79 FR 48801)
34-72822
Aug. 12, 2014
SR-CBOE-2014-061
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 48814)
34-72823
Aug. 12, 2014
SR-C2-2014-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 48785)
34-72812
Aug. 11, 2014
SR-EDGA-2014-20
Notice of Filing of 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 Exhibit 5 , Rel. No. 34-73592 , Rel. No. 34-73217 Federal Register version (79 FR 48823)
34-72806
Aug. 11, 2014
SR-Phlx-2014-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options Comments Due: Exhibit 5 Federal Register version (79 FR 48269)
34-72807
Aug. 11, 2014
SR-Phlx-2014-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program Comments Due: Exhibit 5 Federal Register version (79 FR 48289)
34-72803
Aug. 11, 2014
SR-OCC-2014-803
Notice of Filing of an Advance Notice to Better Manage Risks Concentration and Other Risks Associated with Accepting Deposits of Common Stocks for Margin Purposes Comments Due: Request for Additional Information , Rel. No. 34-73482 Federal Register version (79 FR 48285)
