34-73777
Dec. 8, 2014
SR-NYSEARCA-2014-136
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 To Exchange Rule 6.72 in Order to Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2015 Comments Due: Exhibit 5 Federal Register version (79 FR 73913)
34-73779
Dec. 8, 2014
SR-NSCC-2014-12
Notice of Filing of Proposed Rule Change to Amend NSCC's Rules and Procedures in Connection with the Discontinuance of the Analytic Reporting Service Comments Due: Exhibit 5 , Rel. No. 34-74098 Federal Register version (79 FR 73938)
34-73784
Dec. 8, 2014
SR-BX-2014-049
Notice of Filing of Proposed Rule Change Relating to Directed Market Makers Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-74129 Federal Register version (79 FR 73930)
34-73789
Dec. 8, 2014
SR-NASDAQ-2014-120
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7049 Fees Comments Due: Federal Register version (79 FR 74150)
34-73787
Dec. 8, 2014
SR-FICC-2014-06
Notice of Filing of Proposed Rule Change To Amend the Rules of the Government Securities Division and the Mortgage-Backed Securities Division on Insolvency and Ceasing To Act Comments Due: View Received Comments Rel. No. 34-74046 Federal Register version (79 FR 73927)
34-73788
Dec. 8, 2014
SR-CBOE-2014-089
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Sales Value Fee Comments Due: Exhibit 5 Federal Register version (79 FR 73940)
34-73758
Dec. 5, 2014
SR-EDGX-2014-30
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the EdgeBook Cloud Service on EDGX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 73679)
34-73760
Dec. 5, 2014
SR-EDGX-2014-29
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Reference to the EdgeRisk Gateway in Rule 13.10 of EDGX Exchange, Inc. Comments Due: Exhibit 5A , Exhibit 5B Federal Register version (79 FR 73656)
34-73752
Dec. 5, 2014
SR-CME-2014-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Applicable to Its OTC Credit Default Swap Clearing Offering Comments Due: Federal Register version (79 FR 73655)
34-73759
Dec. 5, 2014
SR-EDGA-2014-30
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the EdgeBook Cloud Service on EDGA Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 73676)
34-73761
Dec. 5, 2014
SR-EDGA-2014-29
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Reference to the EdgeRisk Gateway in Rule 13.10 of EDGA Exchange, Inc. Comments Due: View Received Comments Exhibit 5A , Exhibit 5B Federal Register version (79 FR 73653)
34-73756
Dec. 5, 2014
SR-ISEGemini-2014-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (79 FR 73652)
34-73749
Dec. 5, 2014
SR-OCC-2014-810
Notice of Filing of Advance Notice Concerning Modifications to Back Testing Procedures in Order to Enhance Monitoring of Margin Coverage and Model Risk Exposure Comments Due: Request for Additional Information , Rel. No. 34-75290 Federal Register version (79 FR 73673)
34-73757
Dec. 5, 2014
SR-ISE-2014-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (79 FR 73672)
34-73762
Dec. 5, 2014
SR-FINRA-2014-050
Notice of Filing of a Proposed Rule Change To Amend TRACE Rules To Require Members To Identify Transactions With Non-Member Affiliates and To Change How FINRA Disseminates a Subset of Such Transactions Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 73670)
34-73755
Dec. 5, 2014
SR-FICC-2014-810
Notice of Filing of Advance Notices, as Amended, to Amend and Restate the Third Amended and Restated Shareholders Agreement, Dated as of December 7, 2005 File Nos.: Comments Due: View Received Comments Rel. No. 34-74142 , Rel. No. 34-73975 Federal Register version (79 FR 73665)
34-73753
Dec. 5, 2014
SR-BOX-2014-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adjust the Fees and Credits for Complex Orders Executed Against Orders on the BOX Book Comments Due: Exhibit 5 Federal Register version (79 FR 73681)
34-73747
Dec. 4, 2014
SR-EDGX-2014-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.1(c)(5) of EDGX Exchange, Inc. To Harmonize Its Restrictions on Market Makers in UTP Derivative Securities With NYSE Arca, Inc. and Nasdaq Stock Market LLC Comments Due: Federal Register version (79 FR 73375)
34-73743
Dec. 4, 2014
SR-BATS-2014-057
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.11(j)(5) of BATS Exchange, Inc., To Remove the Restriction Prohibiting Market Makers in UTP Derivative Securities From Acting or Registering as a Market Maker in Any Reference Asset of That UTP Derivative Security or Any Derivative Instrument Based on Such Reference Asset Comments Due: Exhibit 5 Federal Register version (79 FR 73367)
34-73745
Dec. 4, 2014
SR-BATS-2014-062
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.1 of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 73359)
34-73742
Dec. 4, 2014
SR-BYX-2014-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1(c)(5) of BATS Y-Exchange, Inc., To Remove the Restriction Prohibiting Market Makers in UTP Derivative Securities From Acting or Registering as a Market Maker in Any Reference Asset of That UTP Derivative Security or Any Derivative Instrument Based on Such Reference Asset Comments Due: Exhibit 5 Federal Register version (79 FR 73365)
34-73744
Dec. 4, 2014
SR-BYX-2014-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.1 of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 73369)
34-73746
Dec. 4, 2014
SR-EDGA-2014-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.1(c)(5) of EDGA Exchange, Inc. To Harmonize Its Restrictions on Market Makers in UTP Derivative Securities With NYSE Arca, Inc. and Nasdaq Stock Market LLC Comments Due: Federal Register version (79 FR 73372)
34-73739
Dec. 4, 2014
SR-NASDAQ-2014-116
Notice of Proposed Rule Change Relating to the NASDAQ Opening and Halt Cross Comments Due: Exhibit 5 , Rel. No. 34-74096 Federal Register version (79 FR 73382)
34-73738
Dec. 4, 2014
SR-MIAX-2014-61
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510 To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (79 FR 73353)
34-73736
Dec. 4, 2014
SR-ISE-2014-24
Notice of Filing of Proposed Rule Change To Modify the Opening Process Comments Due: Exhibit 5 , Rel. No. 34-75104 , Rel. No. 34-74465 , Rel. No. 34-74126 Federal Register version (79 FR 73354)
34-73727
Dec. 3, 2014
SR-CME-2014-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Aligning Performance Bond and Guaranty Fund Collateral Acceptance With CFTC Regulation 39.33 Requirements Comments Due: Federal Register version (79 FR 73124)
34-73728
Dec. 3, 2014
SR-CME-2014-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to CME Rules 818, 8G01 and 8H01 Comments Due: Federal Register version (79 FR 73120)
34-73729
Dec. 3, 2014
SR-CME-2014-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Application of Excess Defaulting Clearing Member Assets in Crossover Default Scenarios and the Harmonization of Defaulted Base Clearing Member Collateral Definitions Comments Due: Federal Register version (79 FR 73122)
34-73726
Dec. 3, 2014
SR-OCC-2014-809
Notice of Filing of an Advance Notice Concerning the Implementation of a Committed Master Repurchase Agreement Program As Part of OCC's Overall Liquidity Plan Comments Due: Rel. No. 34-73979 Federal Register version (79 FR 73116)
34-73730
Dec. 3, 2014
SR-NYSEArca-2014-56
Notice of Withdrawal of Proposed Rule Change Relating To Listing and Trading of Shares of the PIMCO Income Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Federal Register version (79 FR 73130)
34-73732
Dec. 3, 2014
SR-NASDAQ-2014-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership Comments Due: Exhibit 5 Federal Register version (79 FR 73130)
34-73731
Dec. 3, 2014
SR-ICEEU-2014-20
Notice of Filing of Proposed Rule Change Relating to CDS Pricing Policy Comments Due: Rel. No. 34-74085 Federal Register version (79 FR 73126)
34-73715
Dec. 2, 2014
SR-OC-2014-06
Notice of Filing of Proposed Rule Change Relating to Bilateral Block and Bilateral EFP Reporting Guidance Comments Due: Exhibit 4 Federal Register version (79 FR 72745)
34-73719
Dec. 2, 2014
SR-Phlx-2014-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Anti-Internalization Functionality for Registered Market Makers on the PHLX Options Market Comments Due: Federal Register version (79 FR 72740)
34-73718
Dec. 2, 2014
SR-NYSEMKT-2014-86
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Remove the Exchange's Quote Mitigation Plan as Provided by Rule 970.1NY Comments Due: View Received Comments Rel. No. 34-75190 , Rel. No. 34-74087 , Rel. No. 34-73367 Federal Register version (79 FR 72748)
34-73716
Dec. 2, 2014
SR-NYSEArca-2014-134
Notice of Filing of Proposed Rule Change Relating to Listing and Trading the following Series of IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.600: IQ Wilshire Alternative Strategies ETF Comments Due: Rel. No. 34-74109 Federal Register version (79 FR 72723)
34-73717
Dec. 2, 2014
SR-NYSEArca-2014-126
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the AdvisorShares Pacific Asset Enhanced Floating Rate ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-74093 Federal Register version (79 FR 72730)
34-73720
Dec. 2, 2014
SR-NYSEArca-2014-117
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Remove the Exchange's Quote Mitigation Plan as Provided by Commentary .03 to Exchange Rule 6.86 Comments Due: View Received Comments Rel. No. 34-75191 , Rel. No. 34-74088 , Rel. No. 34-73362 Federal Register version (79 FR 72747)
34-73714
Dec. 2, 2014
SR-FINRA-2014-049
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook Comments Due: Federal Register version (79 FR 72743)
34-73710
Dec. 1, 2014
SR-OCC-2014-805
Notice of Withdrawal of an Advance Notice Concerning Enhancements to the Risk Management Framework Applied to the Clearance of Confirmed Trades Executed in Extended and Overnight Trading Sessions Comments Due: Rel. No. 34-73343 Federal Register version (79 FR 72225)
34-73705
Dec. 1, 2014
SR-NASDAQ-2014-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7001(c) Comments Due: View Received Comments Federal Register version (79 FR 72221)
34-73713
Dec. 1, 2014
SR-NASDAQ-2014-113
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Amendment To Conform Rule Text Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 72235)
34-73707
Dec. 1, 2014
SR-MSRB-2014-09
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB's Electronic Municipal Market Access (EMMA) System To Add Disclosures Related to Municipal Asset-Backed Securities Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 72233)
34-73708
Dec. 1, 2014
SR-MSRB-2014-08
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to MSRB Rules G-1, on Separately Identifiable Department or Division of a Bank; G-2, on Standards of Professional Qualification; G-3, on Professional Qualification Requirements; and D-13, on Municipal Advisory Activities Comments Due: View Received Comments Exhibit 2 , Exhibit 5 , Rel. No. 34-74384 Federal Register version (79 FR 72225)
34-73701
Nov. 28, 2014
SR-NYSEArca-2014-135
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect a Change to the Process for Determining the Benchmark Values Used by the ETFS Platinum Trust, ETFS Palladium Trust, ETFS Precious Metals Trust and ETFS White Metals Basket Trust Comments Due: Federal Register version (79 FR 72036)
34-73703
Nov. 28, 2014
SR-NYSE-2014-59
Notice of Filing of Proposed Rule Change Amending Rule 13 and Related Rules Governing Order Types and Modifiers To Clarify the Nature of Order Types Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-74642A , Rel. No. 34-74642 , Rel. No. 34-74051 Federal Register version (79 FR 72039)
34-73704
Nov. 28, 2014
SR-CBOE-2014-062
Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt Extended Trading Hours for SPX and VIX Comments Due: View Received Comments Federal Register version (79 FR 72044)
34-73697
Nov. 26, 2014
SR-CBOE-2014-088
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPX End-of-Month Closing Procedures Comments Due: Federal Register version (79 FR 71811)
34-73687
Nov. 25, 2014
SR-Phlx-2014-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Active SQF Port Fees Comments Due: Federal Register version (79 FR 71485)
34-73688
Nov. 25, 2014
SR-Phlx-2014-77
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted Comments Due: Federal Register version (79 FR 71484)
34-73685
Nov. 25, 2014
SR-OCC-2014-21
Notice of Filing of Proposed Rule Change in Order To Permit OCC To Adjust the Size of Its Clearing Fund on an Intra-Month Basis Comments Due: Rel. No. 34-74406 , Notice Rel. No. 34-75658 , Rel. No. 34-74406 , Notice Rel. No. 34-75658 Federal Register version (79 FR 71479)
34-73689
Nov. 25, 2014
SR-BX-2014-057
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted Comments Due: Federal Register version (79 FR 71488)
34-73683
Nov. 25, 2014
SR-NASDAQ-2014-110
Notice of Filing of a Proposed Rule Change To Adopt NASDAQ Rule 7015(i) To Offer the New IPO Workstation Comments Due: Exhibit 5 , Rel. No. 34-74041 Federal Register version (79 FR 71490)
34-73686
Nov. 25, 2014
SR-NASDAQ-2014-115
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted Comments Due: Federal Register version (79 FR 71477)
34-73690
Nov. 25, 2014
SR-ICEEU-2014-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clearing Rules Relating to CASS Requirements Comments Due: Federal Register version (79 FR 71493)
34-73684
Nov. 25, 2014
SR-ICC-2014-19
Notice of Filing of Proposed Rule Change to Formalize the ICC Operational Risk Management Framework Comments Due: Rel. No. 34-74399 , Rel. No. 34-74082 Federal Register version (79 FR 71495)
34-73682
Nov. 25, 2014
SR-FICC-2014-09
Notice of Filing of Proposed Rule Change To Amend the Rules of the Government Securities Division and the Mortgage-Backed Securities Division Regarding the Default of Fixed Income Clearing Corporation Comments Due: Rel. No. 34-74411 Federal Register version (79 FR 71481)
34-73677
Nov. 24, 2014
SR-BATS-2014-058
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24 of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 71150)
34-73676
Nov. 24, 2014
SR-NASDAQ-2014-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates in Penny Pilot Options Comments Due: Exhibit 5 Federal Register version (79 FR 71146)
34-73669
Nov. 21, 2014
SR-NYSEMKT-2014-81
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 902.1NY To Authorize the Exchange To Share Any User-Designated Risk Settings in Exchange Systems With the Clearing Member That Clears Transactions on Behalf of the User Comments Due: View Received Comments Rel. No. 34-73817 , Rel. No. 34-73280 Federal Register version (79 FR 70903)
34-73671
Nov. 21, 2014
SR-NYSEMKT-2014-97
Notice of Filing of Proposed Rule Change Amending Rules 311-Equities and 313-Equities To Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate the Requirement That a Member Corporation Be Created or Organized, and Maintain Its Principal Place of Business, in the United States; and Make Additional Related Amendments To Update Its Membership Rules Comments Due: View Received Comments Rel. No. 34-74036 Federal Register version (79 FR 70900)
34-73665
Nov. 21, 2014
SR-NYSEArca-2014-133
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.1A To Adopt a Definition of "Professional Customer" on the Exchange Comments Due: Exhibit 5 Federal Register version (79 FR 70907)
34-73668
Nov. 21, 2014
SR-NYSEArca-2014-110
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 6.2A To Authorize the Exchange To Share Any User-Designated Risk Settings in Exchange Systems With the Clearing Member That Clears Transactions on Behalf of the User Comments Due: View Received Comments Rel. No. 34-73818 , Rel. No. 34-73281 Federal Register version (79 FR 70607)
34-73672
Nov. 21, 2014
SR-NYSE-2014-63
Notice of Filing of Proposed Rule Change Amending Rules 311 and 313 To Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate the Requirement That a Member Corporation Be Created or Organized, and Maintain Its Principal Place of Business, in the United States; and Make Additional Related Amendments To Update Its Membership Rules Comments Due: Rel. No. 34-74035 Federal Register version (79 FR 70909)
34-73667
Nov. 21, 2014
SR-ICEEU-2014-23
Notice of Filing of Proposed Rule Change to Finance Procedures Comments Due: Federal Register version (79 FR 70905)
34-73660
Nov. 20, 2014
SR-Phlx-2014-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify 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 70605)
34-73658
Nov. 20, 2014
SR-NYSEArca-2014-125
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting a Change in The Investment Objective of the Treesdale Rising Rates ETF and Change in Its Creation and Redemption Procedures Comments Due: Federal Register version (79 FR 70597)
34-73659
Nov. 20, 2014
SR-NYSEArca-2014-114
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Shares of the iShares Interest Rate Hedged 0-5 Year High Yield Bond ETF, iShares Interest Rate Hedged 10+ Year Credit Bond ETF, and the iShares Interest Rate Hedged Emerging Markets Bond ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-74058 , Rel. No. 34-73342 Federal Register version (79 FR 70607)
34-73657
Nov. 20, 2014
SR-NYSE-2014-62
Notice of Filing of Proposed Rule Change Amending the Bylaws of Its Wholly-Owned Subsidiary NYSE Regulation, Inc. To Provide That Non-Affiliated Directors Would Not Be Removed for Cause if They Are Acting in Good Faith in Exercising Their Responsibilities as Directors Related to NYSE Regulation's Functions and Responsibilities Delegated to It Under the Delegation Agreement Between the Exchange, NYSE Regulation and NYSE Market, Inc. Comments Due: Exhibit 5 , Rel. No. 34-74010 Federal Register version (79 FR 70608)
34-73661
Nov. 20, 2014
SR-NASDAQ-2014-107
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Rule 7018(a) 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 70604)
34-73662
Nov. 20, 2014
SR-NASDAQ-2014-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Interest Reports Comments Due: Federal Register version (79 FR 70600)
34-73640
Nov. 19, 2014
SR-NYSEMKT-2014-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Concerning Supervision To Harmonize the Rules With Certain Financial Industry Regulatory Authority, Inc. Rules and Making Other Conforming Changes Comments Due: Federal Register version (79 FR 70237)
34-73644
Nov. 19, 2014
SR-NSCC-2014-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify That Federal Reserve Banks, Central Counterparties, and Central Securities Depositories Shall Not Be Considered Either "Mandatory Purchaser Participants" or "Voluntary Purchaser Participants" Comments Due: Exhibit 5 Federal Register version (79 FR 70250)
34-73646
Nov. 19, 2014
SR-BX-2014-056
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Rule 7018(a) 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 70256)
34-73647
Nov. 19, 2014
SR-NASDAQ-2014-087
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an All-Inclusive Annual Listing Fee and Modify Certain Other Listing Fees Comments Due: Exhibit 5 Federal Register version (79 FR 70232)
34-73648
Nov. 19, 2014
SR-NASDAQ-2014-108
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7018 Fees Comments Due: Exhibit 5 Federal Register version (79 FR 70253)
34-73642
Nov. 19, 2014
SR-FICC-2014-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify That Federal Reserve Banks, Central Counterparties, and Central Securities Depositories Shall Not Be Considered Either "Mandatory Purchaser Participants" or "Voluntary Purchaser Participants" and Registered Investment Companies Shall Be Considered "Voluntary Purchaser Participants" Comments Due: Exhibit 5 Federal Register version (79 FR 70258)
34-73643
Nov. 19, 2014
SR-DTC-2014-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify That Federal Reserve Banks, Central Counterparties, and Central Securities Depositories Shall Not Be Considered Either "Mandatory Purchaser Participants" or "Voluntary Purchaser Participants" Comments Due: Exhibit 5 Federal Register version (79 FR 70260)
34-73626
Nov. 18, 2014
SR-CME-2014-31
Notice of Withdrawal of Proposed Rule Change Related to Clearing of Certain iTraxx Europe Index Untranched CDS Contracts on Indices Administered by Markit Rel. No.34-73290 , Rel. No. 34-73275 , Rel. No. 34-72833 Federal Register version (79 FR 69937)
34-73627
Nov. 18, 2014
SR-CME-2014-28
Notice of Withdrawal of Proposed Rule Change Related to Enhancements to Risk Model for Credit Default Swaps Rel. No.34-73283 , Rel. No.34-72959 , Rel. No. 34-72834 Federal Register version (79 FR 69936)
34-73629
Nov. 18, 2014
SR-Phlx-2014-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pricing Schedule Comments Due: Federal Register version (79 FR 69963)
34-73620
Nov. 18, 2014
SR-NYSEMKT-2014-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE MKT LLC Equities Proprietary Market Data Fee Schedule ("Market Data Fee Schedule") Regarding Non-Display Use Fees Comments Due: Exhibit 5 Federal Register version (79 FR 69961)
34-73619
Nov. 18, 2014
SR-NYSEARCA-2014-132
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Proprietary Market Data Fee Schedule ("Market Data Fee Schedule") Regarding Non-Display Use Fees Comments Due: Exhibit 5 Federal Register version (79 FR 69902)
34-73621
Nov. 18, 2014
SR-NASDAQ-2014-095
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Provide a New Optional Functionality to Minimum Quantity Orders Comments Due: View Received Comments Rel. No. 34-73959 , Rel. No. 34-73621 Federal Register version (79 FR 69957)
34-73633
Nov. 18, 2014
SR-ISE-2014-52
Notice of Filing of Proposed Rule Change Regarding the Short Term Option Series Program Comments Due: Exhibit 5 , Rel. No. 34-73999 Federal Register version (79 FR 69974)
34-73645
Nov. 18, 2014
SR-ICEEU-2014-22
Notice of Filing of Proposed Rule Change Relating to ICE Clear Europe Board Risk Committee Comments Due: Rel. No. 34-74026 Federal Register version (79 FR 70251)
34-73622
Nov. 18, 2014
SR-FINRA-2014-047
Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Exhibit 2A , Exhibit 2B , Exhibit 2C , Exhibit 3 , Exhibit 5 , Rel. No. 34-75012 , Rel. No. 34-74488 , Rel. No. 34-74339 , Rel. No. 34-75471 Federal Register version (79 FR 69939)
34-73623
Nov. 18, 2014
SR-FINRA-2014-048
Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) Comments Due: View Received Comments Exhibit 2A , Exhibit 2B , Exhibit 2C , Exhibit 3A , Exhibit 3B , Exhibit 5 , Rel. No. 34-75013 , Rel. No. 34-74490 , Rel. No. 34-74340 , Rel. No. 34-75472 Federal Register version (79 FR 69905)
34-73632
Nov. 18, 2014
SR-FINRA-2014-046
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Gross Income Assessment Pricing Structure Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 69937)
34-73624
Nov. 18, 2014
SR-CBOE-2014-086
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program through June 30, 2015 Comments Due: Exhibit 5 Federal Register version (79 FR 69903)
34-73628
Nov. 18, 2014
SR-CBOE-2014-085
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Professional Orders Comments Due: View Received Comments Federal Register version (79 FR 69958)
34-73625
Nov. 18, 2014
SR-C2-2014-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program Through June 30, 2015 Comments Due: Exhibit 5 Federal Register version (79 FR 69900)
34-73615
Nov. 17, 2014
SR-CME-2014-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Decision Not To Clear Security-Based Swaps Comments Due: Federal Register version (79 FR 69545)
34-73613
Nov. 17, 2014
SR-NYSEArca-2014-127
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Use of Derivative Instruments by the First Trust Preferred Securities and Income ETF Comments Due: Federal Register version (79 FR 69540)
34-73614
Nov. 17, 2014
SR-ISE-2014-43
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Its Information Barrier Rules Comments Due: View Received Comments Rel. No. 34-74521 , Rel. No. 34-73973 , Rel. No. 34-73261 Federal Register version (79 FR 69547)
34-73597
Nov. 14, 2014
SR-EDGX-2014-25
Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Establish a New Market Data Product Called the BATS One Feed Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-73918 Federal Register version (79 FR 69180)
34-73599
Nov. 14, 2014
SR-OC-2014-05
Notice of Filing of Proposed Rule Change To Expand the Trading Hours for Bilateral Block Trades and Bilateral EFP Trades Comments Due: Exhibit 4 Federal Register version (79 FR 69159)
34-73594
Nov. 14, 2014
SR-BATS-2014-055
Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Establish a New Market Data Product Called the BATS One Feed Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-73918 Federal Register version (79 FR 69142)
34-73595
Nov. 14, 2014
SR-BYX-2014-030
Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Establish a New Market Data Product Called the BATS One Feed Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 69160)
