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)
34-72588
July 10, 2014
SR-ISE-2014-36
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 41620)
34-72582
July 10, 2014
SR-ICEEU-2014-11
Notice of Filing of Proposed Rule Change Relating to EMIR Requirements Comments Due: Rel. No. 34-72754 Federal Register version (79 FR 41320)
34-72586
July 10, 2014
SR-CBOE-2014-053
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (79 FR 41608)
34-72585
July 10, 2014
SR-C2-2014-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (79 FR 41607)
34-72572
July 9, 2014
SR-Phlx-2014-43
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 41327)
34-72573
July 9, 2014
SR-NYSEMKT-2014-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC In Order To Reflect Changes To the Capital Structure of the Company Comments Due: Exhibit 5A , Exhibit 5B Federal Register version (79 FR 41318)
34-72574
July 9, 2014
SR-NYSEMKT-2014-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule in a Number of Different Ways Comments Due: Exhibit 5 Federal Register version (79 FR 41333)
34-72575
July 9, 2014
SR-FINRA-2014-030
Notice of Filing of a Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service Comments Due: View Received Comments Exhibit 5 , Notice Rel. No. 34-74486 , Rel. No. 34-74021 , Rel. No. 34-73313 Federal Register version (79 FR 41339)
34-72570
July 9, 2014
SR-CBOE-2014-054
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related To Extending AIM and FLEX AIM Pilot Programs Until July 18, 2015 Comments Due: Federal Register version (79 FR 41337)
34-72569
July 9, 2014
SR-C2-2014-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extending AIM Pilot Program Until July 18, 2015 Comments Due: Federal Register version (79 FR 41325)
34-72553
July 8, 2014
SR-ISEGemini-2014-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Price Improvement Mechanism Comments Due: Exhibit 5 Federal Register version (79 FR 40813)
34-72558
July 8, 2014
SR-ISEGemini-2014-21
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 40829)
34-72560
July 8, 2014
SR-NYSEARCA-2014-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE ArcaBook Comments Due: Exhibit 5 Federal Register version (79 FR 40801)
34-72559
July 8, 2014
SR-MIAX-2014-36
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 40809)
34-72561
July 8, 2014
SR-MIAX-2014-35
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 40798)
34-72565
July 8, 2014
SR-MIAX-2014-31
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Regarding the MIAX Market Maker Sliding Scale for Transaction Fees Comments Due: Exhibit 5 Federal Register version (79 FR 40807)
34-72566
July 8, 2014
SR-MIAX-2014-32
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 40820)
34-72567
July 8, 2014
SR-MIAX-2014-34
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 40818)
34-72554
July 8, 2014
SR-ISE-2014-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Price Improvement Mechanism Comments Due: Federal Register version (79 FR 40830)
34-72556
July 8, 2014
SR-ICC-2014-08
Notice of Filing of Proposed Rule Change Related to ICC's Authority To Use Guaranty Fund and House Initial Margin as an Internal Liquidity Resource Comments Due: Rel. No. 34-72944 Federal Register version (79 FR 40796)
34-72555
July 8, 2014
SR-CBOE-2014-056
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Application Procedures for Trading Permit Holders and Associated Persons of Trading Permit Holders Comments Due: Exhibit 5 Federal Register version (79 FR 40822)
34-72546
July 7, 2014
SR-Phlx-2014-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Midpoint Peg Post-Only Order and Modify the Minimum Quantity Order on NASDAQ OMX PSX Comments Due: Exhibit 5 Federal Register version (79 FR 40175)
34-72550
July 7, 2014
SR-OCC-2014-802
Notice of No Objection to Advance Notice Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors Comments Due: Federal Register version (79 FR 40177)
34-72547
July 7, 2014
SR-NYSEMKT-2014-56
Notice of Filing of 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. 34-72894 Federal Register version (79 FR 40169)
34-72548
July 7, 2014
SR-NYSE-2014-32
Notice of Filing of 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. 34-72893 Federal Register version (79 FR 40183)
34-72549
July 7, 2014
SR-NASDAQ-2014-069
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 40174)
34-72545
July 7, 2014
SR-BOX-2014-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Interpretive Material to Rule 7150 (Price Improvement Period "PIP") and Interpretive Material to Rule 7245 (Complex Order Price Improvement Period "COPIP") Comments Due: Exhibit 5 Federal Register version (79 FR 40182)
34-72532
July 3, 2014
SR-EDGX-2014-17
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 39424)
34-72530
July 3, 2014
SR-CME-2014-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Settlement Procedures Regarding Five CME Cleared OTC FX Spot, Forward and Swap Contracts Comments Due: Federal Register version (79 FR 39033)
34-72533
July 3, 2014
SR-EDGA-2014-15
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 39450)
34-72536
July 3, 2014
SR-NYSEMKT-2014-21
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes Comments Due: View Received Comments Rel. No. 34-71840 Federal Register version (79 FR 39425)
34-72531
July 3, 2014
SR-NYSEArca-2014-57
Notice of Filing of Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 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. 34-72853 , Rel. No. 34-72180 Federal Register version (79 FR 39048)
34-72537
July 3, 2014
SR-NYSEArca-2014-25
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes Comments Due: View Received Comments Federal Register version (79 FR 39442)
34-72542
July 3, 2014
SR-NYSEArca-2014-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Exclude the Date of the Annual Reconstitution of the Russell Investments Indexes for Billing Purposes When Calculating ETP Holder Average Daily Volume of Trade Activity and Consolidated ADV Comments Due: Exhibit 5 Federal Register version (79 FR 39419)
34-72538
July 3, 2014
SR-NASDAQ-2014-067
Notice of Filing of Proposed Rule Change to Rule 5305 To Eliminate the Automatic Transfer of Companies From The NASDAQ Global Market to The NASDAQ Global Select Market Comments Due: Rel. No. 34-72899 Federal Register version (79 FR 39446)
34-72540
July 3, 2014
SR-ICEEU-2014-09
Notice of Filing of Proposed Rule Change Relating To EMIR Requirements Comments Due: Federal Register version (79 FR 39429)
34-72544
July 3, 2014
SR-ICEEU-2014-10
Notice of Filing of Proposed Rule Change to CDS Policies Relating to EMIR Comments Due: Rel. No. 34-72756 Federal Register version (79 FR 39421)
34-72543
July 3, 2014
SR-FINRA-2014-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Hearing Officer To Include Former FINRA Employees Who Previously Worked as Hearing Officers Comments Due: Federal Register version (79 FR 39440)
34-72539
July 3, 2014
SR-CBOE-2014-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amending Rules Governing the Short Term Option Series Program Comments Due: Federal Register version (79 FR 39447)
34-72514
July 2, 2014
SR-NFA-2014-05
Notice of Filing of Proposed Rule Change Relating to the NFA Interpretive Notice Entitled "NFA Compliance Rule 2-9: Enhanced Supervisory Requirements" Comments Due: Federal Register version (79 FR 39046)
34-72525
July 2, 2014
SR-NYSEArca-2014-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Fee Schedule Relating to Manual Executions by Firms and Broker Dealers Comments Due: Exhibit 5 Federal Register version (79 FR 39029)
34-72526
July 2, 2014
SR-NYSEArca-2014-67
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of WBI SMID Tactical Growth Shares; WBI SMID Tactical Value Shares; WBI SMID Tactical Yield Shares; WBI SMID Tactical Select Shares; WBI Large Cap Tactical Growth Shares; WBI Large Cap Tactical Value Shares; WBI Large Cap Tactical Yield Shares; WBI Large Cap Tactical Select Shares; WBI Tactical Income Shares; and WBI Tactical High Income Shares under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-72895 Federal Register version (79 FR 39035)
34-72522
July 2, 2014
SR-FINRA-2014-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) Comments Due: Federal Register version (79 FR 39031)
34-72504
July 1, 2014
SR-Phlx-2014-41
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program Comments Due: Federal Register version (79 FR 38628)
34-72510
July 1, 2014
SR-NYSEMKT-2014-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List To Add Certain Charges for Hosting Equipment To Support Internet Connections for Member Organizations Operating on the Floor of the Exchange Starting January 1, 2015 Comments Due: Exhibit 5 Federal Register version (79 FR 38616)
34-72509
July 1, 2014
SR-NYSEArca-2014-58
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of PIMCO Short-Term Exchange-Traded Fund and PIMCO Municipal Bond Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-72882 Federal Register version (79 FR 38605)
34-72501
July 1, 2014
SR-NYSE-2014-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 86 To Extend the Hours for the Core Bond Trading Session for NYSE Bonds SM Comments Due: Exhibit 5 Federal Register version (79 FR 38639)
34-72511
July 1, 2014
SR-NYSE-2014-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List To Add Certain Charges for Hosting Equipment To Support Internet Connections for Member Organizations Operating on the Floor of the Exchange Starting January 1, 2015 Comments Due: Exhibit 5 Federal Register version (79 FR 38618)
34-72512
July 1, 2014
SR-NYSE-2013-72
Notice of Withdrawal of Proposed Rule Changes To Establish an Institutional Liquidity Program on a One-Year Pilot Basis File Nos.: Comments Due: View Received Comments Rel. No. 34-72205 , Rel. No. 34-71609 , Rel. No. 34-71267 , Rel. No. 34-70909 Federal Register version (79 FR 38619)
34-72512
July 1, 2014
SR-NYSEMKT-2013-91
Notice of Withdrawal of Proposed Rule Changes To Establish an Institutional Liquidity Program on a One-Year Pilot Basis File Nos.: Comments Due: View Received Comments Rel. No. 34-72205 , Rel. No. 34-71609 , Rel. No. 34-71267 , Rel. No. 34-70909 Federal Register version (79 FR 38619)
34-72502
July 1, 2014
SR-BX-2014-035
Notice of Filing of Proposed Rule Change Relating to Market Maker Quoting Obligations and the Introduction of a Lead Market Maker Comments Due: Exhibit 5 , Rel. No. 34-72883 Federal Register version (79 FR 38620)
34-72497
June 30, 2014
SR-OC-2014-03
Notice of Filing of a Proposed Rule Change To Update OCX's Rulebook for a Filing Previously Made With the Commodity Futures Trading Commission Comments Due: Exhibit 4 Federal Register version (79 FR 38343)
34-72498
June 30, 2014
SR-NFA-2014-04
Notice of Filing of Proposed Rule Change to the Interpretive Notice to NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms Comments Due: Federal Register version (79 FR 38349)
34-72499
June 30, 2014
SR-C2-2014-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exchange's Quote Risk Monitor Mechanism Comments Due: Federal Register version (79 FR 38345)
34-72489
June 27, 2014
SR-ISEGemini-2014-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Rule 720A Comments Due: Federal Register version (79 FR 38086)
34-72488
June 27, 2014
SR-NSCC-2014-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Broaden the Scope of the Licensing and Appointments Service and To Amend NSCC's Fee Structure Comments Due: Exhibit 5 Federal Register version (79 FR 38098)
34-72493
June 27, 2014
SR-NASDAQ-2014-063
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the Arrow DWA Balanced ETF, Arrow DWA Tactical ETF and Arrow DWA Tactical Yield ETF of Arrow Investments Trust Comments Due: Rel. No. 34-72809 Federal Register version (79 FR 38088)
34-72492
June 27, 2014
SR-MIAX-2014-30
Notice of Filing of a Proposed Rule Change by Miami International Securities Exchange LLC 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. 34-72835 Federal Register version (79 FR 38099)
34-72490
June 27, 2014
SR-ISE-2014-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Rule 720A Comments Due: Federal Register version (79 FR 38105)
34-72491
June 27, 2014
SR-FINRA-2014-028
Notice of Filing of a Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator Comments Due: View Received Comments Rel. No. 34-74383 , Rel. No. 34-73277 Federal Register version (79 FR 38080)
34-72495
June 27, 2014
SR-CBOE-2014-026
Notice of Withdrawal of Proposed Rule Change To Amend Rule 24.19 Comments Due: View Received Comments Rel. No. 34-71872 Federal Register version (79 FR 38080)
34-72478
June 26, 2014
SR-CME-2014-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Collateral Acceptance Practices for Products in the Base Guaranty Fund Comments Due: Federal Register version (79 FR 37784)
34-72479
June 26, 2014
SR-FINRA-2014-026
Notice of Filing of a Proposed Rule Change To Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes To Increase Arbitrator Honoraria and Increase Certain Arbitration Fees Comments Due: View Received Comments Rel. No. 34-73245 Federal Register version (79 FR 37786)
34-72484
June 26, 2014
SR-FINRA-2014-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Options Exercise Procedures Comments Due: Federal Register version (79 FR 37822)
34-72482
June 26, 2014
SR-CBOE-2014-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Strike Settings for Mini-S&P 500 Index Options Comments Due: Federal Register version (79 FR 37825)
34-72477
June 26, 2014
SR-BOX-2014-16
Notice of Filing of Proposed Rule Change To Adopt New Trade Allocation Algorithms for Matching Trades at the Conclusion of the PIP and COPIP Comments Due: Exhibit 5 , Rel. No. 34-72848 Federal Register version (79 FR 37798)
34-72483
June 26, 2014
SR-BOX-2014-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Interpretive Material to Rule 5050 (Series of Options Contracts Open for Trading) and Rule 6090 (Terms of Index Options Contracts) To Introduce Finer Strike Price Intervals for Standard Expiration Contracts in Option Classes That Also Have Short Term Options Listed on Them Comments Due: Federal Register version (79 FR 37820)
34-72465
June 25, 2014
SR-CME-2014-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to Its OTC IRS Fee Schedule Comments Due: Federal Register version (79 FR 37371)
34-72466
June 25, 2014
SR-ISE-Gemini-2014-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Price Improvement Mechanism Pilot Program Comments Due: Federal Register version (79 FR 37378)
34-72473
June 25, 2014
SR-Phlx-2014-34
Notice of Withdrawal of Proposed Rule Change To Delete the PHOTO Historical Data Product From Section IX of the Exchange's Options Fee Schedule Comments Due: Rel. No. 34-72225 Federal Register version (79 FR 37384)
34-72469
June 25, 2014
SR-NYSEMKT-2014-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule by Adopting Fees and Rebates for a New Electronic Crossing Mechanism Called the CUBE Auction Comments Due: View Received Comments Federal Register version (79 FR 37380)
34-72467
June 25, 2014
SR-ISE-2014-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Price Improvement Mechanism Pilot Program Comments Due: Federal Register version (79 FR 37377)
34-72453
June 24, 2014
SR-NYSEArca-2014-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect Changes to the Name of, and the Means of Seeking the Investment Objective Applicable to, the PIMCO Real Return Exchange-Traded Fund Comments Due: Federal Register version (79 FR 36851)
34-72458
June 24, 2014
SR-NYSEArca-2014-56
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Listing and Trading of Shares of the PIMCO Income Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 Comments Due: 34-73598 , Rel. No. 34-72867 , Rel. No. 34-72170 Federal Register version (79 FR 36849)
34-72459
June 24, 2014
SR-FINRA-2014-010
Notice of Withdrawal of Proposed Rule Change To Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices) Rel. No. 34-71786 Federal Register version (79 FR 36855)
