34-72804
Aug. 11, 2014
SR-OCC-2014-804
Notice of Filing of an Advance Notice to Permit OCC to Adjust the Size of its Clearing Fund Intra-Month and Clearing Member's Clearing Fund Contributions Intra-Month Comments Due: Request for Additional Information Federal Register version (79 FR 48276)
34-72805
Aug. 11, 2014
SR-NYSE-2014-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Modify the Tier 2 Adding Credit Comments Due: Exhibit 5 Federal Register version (79 FR 48274)
34-72810
Aug. 11, 2014
SR-NASDAQ-2014-078
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program Under Rule 7014, and the Schedule of Fees and Rebates Under Rule 7018 Comments Due: Exhibit 5 Federal Register version (79 FR 48281)
34-72811
Aug. 11, 2014
SR-NASDAQ-2014-079
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7051 Fees Relating to Pricing for Direct Circuit Connections Comments Due: Exhibit 5 Federal Register version (79 FR 48262)
34-72802
Aug. 11, 2014
SR-ICC-2014-13
Notice of Filing of Proposed Rule Change To Provide for the Clearance of Additional Standard Emerging European and Middle Eastern Sovereign Single Names Comments Due: Rel. No. 34-73220 Federal Register version (79 FR 48280)
34-72796
Aug. 8, 2014
SR-Phlx-2014-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Simple Order Fees for Removing Liquidity in SPY Options Comments Due: Exhibit 5 Federal Register version (79 FR 47694)
34-72798
Aug. 8, 2014
SR-MIAX-2014-41
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 47695)
34-72799
Aug. 8, 2014
SR-MIAX-2014-40
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 47698)
34-72787
Aug. 7, 2014
SR-BATS-2014-018
Notice of Filing of 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 Comments Due: View Received Comments Rel. No. 34-73559 , Rel. No. 34-73199 Federal Register version (79 FR 47488)
34-72784
Aug. 7, 2014
SR-Phlx-2014-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Fees Comments Due: Exhibit 5 Federal Register version (79 FR 47506)
34-72786
Aug. 7, 2014
SR-Phlx-2014-53
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 47509)
34-72790
Aug. 7, 2014
SR-NYSEMKT-2014-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule in a Number of Different Ways Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 47485)
34-72789
Aug. 7, 2014
SR-NYSEArca-2014-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Lead Market Maker Rights Fees Comments Due: Exhibit 5 Federal Register version (79 FR 47502)
34-72791
Aug. 7, 2014
SR-NYSEArca-2014-63
Notice of Withdrawal of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Lead Market Maker Rights Fees Comments Due: Rel. No. 34-72642 , Rel. No. 34-72312 Federal Register version (79 FR 47501)
34-72785
Aug. 7, 2014
SR-MIAX-2014-42
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 47504)
34-72778
Aug. 6, 2014
SR-NYSE-2014-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Relating to Certain Transactions Involving Floor Brokers Comments Due: Exhibit 5 Federal Register version (79 FR 47163)
34-72779
Aug. 6, 2014
SR-NASDAQ-2014-065
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares Commodities Trust I Comments Due: View Received Comments Rel. No. 34-74299 , Rel. No. 34-73843 , Rel. No. 34-73142 , Rel. No. 34-72412 Federal Register version (79 FR 47162)
34-72777
Aug. 6, 2014
SR-MIAX-2014-39
Notice of Filing of a Proposed Rule Change To List and Trade Options on Shares of the Market Vectors ETFs Comments Due: View Received Comments Rel. No. 34-74304 , Rel. No. 34-74150 , Rel. No. 34-73212 Federal Register version (79 FR 47165)
34-72759
Aug. 5, 2014
SR-CHX-2014-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Section P of the Fee Schedule Concerning the Market Data Revenue Rebates Program Comments Due: Exhibit 5 Federal Register version (79 FR 46890)
34-72760
Aug. 5, 2014
SR-NASDAQ-2014-076
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Utilize a Trade Condition Modifier Comments Due: Federal Register version (79 FR 46892)
34-72761
Aug. 5, 2014
SR-ICEEU-2014-12
Notice of Filing of Proposed Rule Change to Liquidity Policies Relating to EMIR Comments Due: Rel. No. 34-73075 Federal Register version (79 FR 46894)
34-72762
Aug. 5, 2014
SR-ICC-2014-12
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise the ICC Treasury Policies and Procedures Comments Due: Federal Register version (79 FR 46896)
34-72765
Aug. 5, 2014
SR-FINRA-2014-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 23 Examination Program Comments Due: Exhibit 3A Federal Register version (79 FR 46898)
34-72766
Aug. 5, 2014
SR-FINRA-2014-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 24 Examination Program Comments Due: Exhibit 3A Federal Register version (79 FR 46887)
34-72751
Aug. 4, 2014
SR-Phlx-2014-23
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading Comments Due: View Received Comments Rel. No. 34-73291 , Rel. No. 34-72447 , Rel. No. 34-72119 Federal Register version (79 FR 46474)
34-72752
Aug. 4, 2014
SR-OCC-2014-17
Notice of Filing of Proposed Rule Change To Permit OCC To Adjust the Size of Its Clearing Fund Intra-Month and Clearing Member's Clearing Fund Contributions Intra-Month Comments Due: Federal Register version (79 FR 46490)
34-72748
Aug. 4, 2014
SR-NYSEArca-2014-46
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-72422 , Rel. No. 34-72064 Federal Register version (79 FR 46484)
34-72750
Aug. 4, 2014
SR-NYSE-2014-40
Notice of Filing of Proposed Rule Change Establishing the NYSE Best Quote & Trades Data Feed Comments Due: View Received Comments Rel. No. 34-73137 , 34-73553 Federal Register version (79 FR 46494)
34-72736
Aug. 1, 2014
SR-NASDAQ-2014-075
Notice of Filing and Immediate Effectiveness To Correct Language in the Text of Rule 4753 Comments Due: Exhibit 5 Federal Register version (79 FR 45860)
34-72742
Aug. 1, 2014
SR-CBOE-2014-059
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Market-Maker Quoting Obligations Comments Due: Exhibit 5 Federal Register version (79 FR 46282)
34-72741
Aug. 1, 2014
SR-C2-2014-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Market-Maker Quoting Obligations Comments Due: Exhibit 5 Federal Register version (79 FR 46286)
34-72730
July 31, 2014
SR-BYX-2014-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.24(a)(2) to Include Riskless Principal Orders To the Types of Orders that May Qualify as Retail Orders under the Retail Price Improvement Program Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 45857)
34-72717
July 30, 2014
SR-OCC-2014-14
Notice of Filing of Proposed Rule Change To Better Manage Risks Concentration and Other Risks Associated With Accepting Deposits of Common Stocks for Margin Purposes Comments Due: Rel. No. 34-73483 , Rel. No. 34-73483 Federal Register version (79 FR 45523)
34-72718
July 30, 2014
SR-OCC-2014-16
Notice of Filing of Proposed Rule Change 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
34-72719
July 30, 2014
SR-NYSEMKT-2014-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule, Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (79 FR 45502)
34-72720
July 30, 2014
SR-NYSEArca-2014-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services, Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (79 FR 45577)
34-72721
July 30, 2014
SR-NYSE-2014-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Related to Co-Location Services Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 45562)
34-72716
July 30, 2014
SR-NASDAQ-2014-073
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the First Trust Emerging Markets Local Currency Bond ETF of First Trust Exchange-Traded Fund III Comments Due: Rel. No. 34-73140 Federal Register version (79 FR 45535)
34-72711
July 29, 2014
SR-CHX-2014-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Use of Market Data Feeds by the Exchange Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 45570)
34-72713
July 29, 2014
SR-Phlx-2014-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Disclose Publicly the Sources of Data Used for Exchange Functions Comments Due: View Received Comments Federal Register version (79 FR 45544)
34-72709
July 29, 2014
SR-NYSEMKT-2014-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance Comments Due: View Received Comments Federal Register version (79 FR 45513)
34-72703
July 29, 2014
SR-NYSEArca-2014-04
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca, Inc.'s Rules by Revising the Order of Priority of Bids and Offers When Executing Orders in Open Outcry Comments Due: View Received Comments Rel. No. 34-72081 , Rel. No. 34-71733 , Rel. No. 34-71425 Federal Register version (79 FR 45535)
34-72708
July 29, 2014
SR-NYSEArca-2014-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance Comments Due: View Received Comments Federal Register version (79 FR 45572)
34-72710
July 29, 2014
SR-NYSE-2014-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance Comments Due: View Received Comments Federal Register version (79 FR 45511)
34-72700
July 29, 2014
SR-BX-2014-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Term Options Series Comments Due: Federal Register version (79 FR 45515)
34-72712
July 29, 2014
SR-BX-2014-037
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Disclose Publicly the Sources of Data Used for Exchange Functions Comments Due: View Received Comments Federal Register version (79 FR 45521)
34-72699
July 29, 2014
SR-NASDAQ-2014-074
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Term Options Series Comments Due: Federal Register version (79 FR 45506)
34-72705
July 29, 2014
SR-MSRB-2014-05
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, Regarding Continuing Education Requirements Comments Due: View Received Comments Exhibit 2 , Exhibit 5 , Rel. No. 34-73368 Federal Register version (79 FR 45529)
34-72706
July 29, 2014
SR-MSRB-2014-06
Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors; Proposed Amendments to Rule G-8, on Books and Records To Be Made by Brokers, Dealers and Municipal Securities Dealers; and Proposed Amendments to Rule G-9, on Preservation of Records Comments Due: View Received Comments Exhibit 2 , Exhibit 5 , Rel. No. 34-73415 Federal Register version (79 FR 45546)
34-72701
July 29, 2014
SR-ICC-2014-11
Notice of Filing of Proposed Rule Change To Revise Rules To Provide for the 2014 ISDA Definitions Comments Due: Exhibit 5a , Exhibit 5b , Rel. No. 34-73007 Federal Register version (79 FR 45565)
34-72704
July 29, 2014
SR-CBOE-2014-060
Notice of Filing of a Proposed Rule Change To Amend Rule 24.19 Comments Due: Exhibit 5 , Rel. No. 34-72892 Federal Register version (79 FR 45560)
34-72683
July 28, 2014
SR-EDGX-2014-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of EDGX Exchange, Inc. Comments Due: View Received Comments Federal Register version (79 FR 44950)
34-72691
July 28, 2014
SR-EDGX-2014-19
Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed Comments Due: Rel. No. 34-73099 Federal Register version (79 FR 44892)
34-72685
July 28, 2014
SR-BATS-2014-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of BATS Exchange, Inc. Comments Due: View Received Comments Federal Register version (79 FR 44889)
34-72688
July 28, 2014
SR-BATS-2014-028
Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed Comments Due: View Received Comments Rel. No. 34-73101 Federal Register version (79 FR 44941)
34-72687
July 28, 2014
SR-BYX-2014-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of BATS Y-Exchange, Inc. Comments Due: View Received Comments Federal Register version (79 FR 44926)
34-72690
July 28, 2014
SR-BYX-2014-011
Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed Comments Due: View Received Comments Rel. No. 34-73102 Federal Register version (79 FR 44929)
34-72682
July 28, 2014
SR-EDGA-2014-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of EDGA Exchange, Inc. Comments Due: View Received Comments Federal Register version (79 FR 44938)
34-72689
July 28, 2014
SR-EDGA-2014-16
Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed Comments Due: View Received Comments Rel. No. 34-73098 Federal Register version (79 FR 44917)
34-72680
July 28, 2014
SR-NYSEMKT-2014-63
Notice of Filing of Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented From the Exchange Comments Due: Rel. No. 34-73095 Federal Register version (79 FR 44953)
34-72679
July 28, 2014
SR-NYSEArca-2014-71
Notice of Filing of Proposed Rule Change Proposing To List and Trade Shares of Treesdale Rising Rates ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-73082 Federal Register version (79 FR 44878)
34-72686
July 28, 2014
SR-NYSEArca-2013-127
Notice of Filing of Amendments No. 2 and No. 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, No. 2, and No. 3, To List and Trade Shares of Nine Series of the IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Federal Register version (79 FR 44901)
34-72681
July 28, 2014
SR-NYSE-2014-39
Notice of Filing of Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented From the Exchange Comments Due: Rel. No. 34-73096 Federal Register version (79 FR 44906)
34-72684
July 28, 2014
SR-NASDAQ-2014-072
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Disclose Publicly the Sources of Data Used for Exchange Functions Comments Due: View Received Comments Federal Register version (79 FR 44956)
34-72674
July 25, 2014
SR-EDGX-2014-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retire the EDGE Routed Liquidity Report Comments Due: Exhibit 5A , Exhibit 5B Federal Register version (79 FR 44477)
34-72676
July 25, 2014
SR-EDGX-2014-18
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 5A , Exhibit 5B , Rel. No. 34-73468 , Rel. No. 34-73083 Federal Register version (79 FR 44519)
34-72675
July 25, 2014
SR-EDGA-2014-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retire the EDGE Routed Liquidity Report Comments Due: Exhibit 5A , Exhibit 5B Federal Register version (79 FR 44479)
34-72677
July 25, 2014
SR-OCC-2014-15
Notice of Filing of Proposed Rule Change To Process All Sell Transactions Prior to the Exercise of Long Options in Market-Maker Accounts To Ensure That Only Net Long Positions May Be Exercised Comments Due: View Received Comments Rel. No. 34-73438 , Rel. No. 34-73438 Federal Register version (79 FR 44480)
34-72664
July 24, 2014
SR-Phlx-2014-46
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to SPY and DIA Options Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-72949 Federal Register version (79 FR 44231)
34-72660
July 23, 2014
SR-CBOE-2014-058
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Bandwidth Allowance Comments Due: Exhibit 5 Federal Register version (79 FR 44080)
34-72651
July 22, 2014
SR-NYSEArca-2014-79
Notice of Filing of Proposed Rule Change Proposing To List and Trade Shares of InfraCap Active MLP ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No.34-73022 Federal Register version (79 FR 43801)
34-72646
July 21, 2014
SR-BATS-2014-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9, 11.12, 11.18, 21.1 and 21.7 of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 43516)
34-72647
July 21, 2014
SR-BYX-2014-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9, 11.12, and 11.18 of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 43522)
34-72636
July 17, 2014
SR-BATS-2014-026
Notice of Filing of Proposed Rule Change To List and Trade Shares of Certain Funds of the Alpha Architect ETF Trust Comments Due: View Received Comments Rel. No. 34-73376 , Rel. No. 34-73003 Federal Register version (79 FR 42852)
34-72638
July 17, 2014
SR-FINRA-2014-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070 Comments Due: Federal Register version (79 FR 42850)
34-72619
July 16, 2014
SR-Phlx-2014-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL Comments Due: Federal Register version (79 FR 42613)
34-72630
July 16, 2014
SR-Phlx-2014-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section I and Section II of the Pricing Schedule Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 42568)
34-72622
July 16, 2014
SR-NYSEMKT-2014-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Currently Scheduled To Expire on July 31, 2014, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or December 31, 2014 Comments Due: Federal Register version (79 FR 42600)
34-72623
July 16, 2014
SR-NYSEMKT-2014-58
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Currently Scheduled To Expire on July 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or December 31, 2014 Comments Due: Federal Register version (79 FR 42592)
34-72624
July 16, 2014
SR-NYSEMKT-2014-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500-Equities To Extend the Operation of the Pilot Program That Allows "UTP Securities" To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or December 31, 2014 Comments Due: Exhibit 5 Federal Register version (79 FR 42595)
34-72625
July 16, 2014
SR-NYSEMKT-2014-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Until March 31, 2015 Comments Due: View Received Comments Federal Register version (79 FR 42566)
34-72631
July 16, 2014
SR-NYSEArca-2014-76
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 and Amendment No. 2 Proposing To List and Trade Shares of the Cambria Global Momentum ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-73004 Federal Register version (79 FR 42605)
34-72627
July 16, 2014
SR-NYSE-2014-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Currently Scheduled To Expire on July 31, 2014, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or December 31, 2014 Comments Due: Federal Register version (79 FR 42598)
34-72628
July 16, 2014
SR-NYSE-2014-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Currently Scheduled To Expire on July 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or December 31, 2014 Comments Due: Federal Register version (79 FR 42588)
34-72629
July 16, 2014
SR-NYSE-2014-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Until March 31, 2015 Comments Due: Federal Register version (79 FR 42564)
34-72632
July 16, 2014
SR-NYSE-2014-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Merge New York Block Exchange LLC into NYSE and, Effective as of the Consummation of the Merger, Delete the Text of the Limited Liability Company Agreement of New York Block Exchange LLC Comments Due: Federal Register version (79 FR 42603)
34-72620
July 16, 2014
SR-NASDAQ-2014-070
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for NASDAQ Basic and To Correct an Error in the Text of Rule 7023 Comments Due: Federal Register version (79 FR 42572)
34-72626
July 16, 2014
SR-FINRA-2014-006
Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities Comments Due: Rel. No. 34-72193 , Rel. No. 34-71545 Federal Register version (79 FR 42590)
34-72621
July 16, 2014
SR-CBOE-2014-057
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Customized Option Pricing Service Comments Due: Federal Register version (79 FR 42616)
34-72608
July 15, 2014
SR-CBOE-2014-055
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 42384)
34-72605
July 14, 2014
SR-Phlx-2014-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of a Recent Proposal Relating to Joint Back Office Participants Comments Due: Exhibit 5 Federal Register version (79 FR 42066)
34-72600
July 11, 2014
SR-MIAX-2014-38
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Change Its Procedure for Processing Fingerprints Under Existing Rule 807 Comments Due: Federal Register version (79 FR 41717)
34-72596
July 11, 2014
SR-ICC-2014-07
ICE Clear Credit LLC; Order Approving Proposed Rule Change To Revise End-of-Day Price Discovery Policies and Procedures Comments Due: Rel. No. 34-72306 Federal Register version (79 FR 41710)
34-72595
July 11, 2014
SR-FINRA-2014-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports Comments Due: Exhibit 5 Federal Register version (79 FR 41711)
34-72589
July 10, 2014
SR-BATS-2014-025
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 41618)
34-72590
July 10, 2014
SR-BYX-2014-009
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 41605)
34-72587
July 10, 2014
SR-ISEGemini-2014-20
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 41617)
34-72591
July 10, 2014
SR-NYSEArca-2014-75
Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rules 7.6, 7.11, 7.16, 7.31, 7.34, 7.35, 7.37 and 7.65 To Eliminate Certain Order Types, Modifiers and Related References Comments Due: Exhibit 5 , Rel. No. 34-72942 Federal Register version (79 FR 41613)
34-72584
July 10, 2014
SR-BX-2014-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees and Rebates for Various Options Comments Due: Exhibit 5 Federal Register version (79 FR 41610)
34-72583
July 10, 2014
SR-MIAX-2014-37
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 41612)
