34-73607
Nov. 14, 2014
SR-CME-2014-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the Acceptance of USD Malaysian Palm Olein Calendar (Cleared Only) Contracts for Clearing Comments Due: Federal Register version (79 FR 69166)
34-73596
Nov. 14, 2014
SR-EDGA-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 69148)
34-73600
Nov. 14, 2014
SR-ISEGemini-2014-28
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 69168)
34-73593
Nov. 14, 2014
SR-NYSEMKT-2014-95
Notice of Filing of Proposed Rule Change Amending Rule 13-Equities and Related Rules Governing Order Types and Modifiers To Clarify the Nature of Order Types Comments Due: View Received Comments Exhibit 5 , 34-74643A , Rel. No. 34-74643 , Rel. No. 34-74298 , Rel. No. 34-73913 Federal Register version (79 FR 69153)
34-73598
Nov. 14, 2014
SR-NYSEArca-2014-56
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 Shares of the PIMCO Income Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-72170 , Rel. No. 34-72458 , Rel. No. 34-72867 Federal Register version (79 FR 69172)
34-73602
Nov. 14, 2014
SR-NYSEArca-2014-120
Notice of Filing of Amendment No. 2 to Proposed Rule Change Relating to Listing and Trading Shares of the Sit Rising Rate Fund Under NYSE Arca Equities Rule 8.200 Comments Due: View Received Comments 34-73464 Federal Register version (79 FR 69173)
34-73601
Nov. 14, 2014
SR-ISE-2014-51
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 69170)
34-73608
Nov. 14, 2014
SR-ICEEU-2014-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Finance Procedures Comments Due: Federal Register version (79 FR 69158)
34-73592
Nov. 13, 2014
SR-EDGA-2014-20
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 Amend EDGA Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions Comments Due: View Received Comments Rel. No. 34-73217 , Rel. No. 34-72812 Federal Register version (79 FR 68937)
34-73586
Nov. 13, 2014
SR-Phlx-2014-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation of the New Options Floor Broker Management System Until November 3, 2015 Comments Due: Federal Register version (79 FR 68931)
34-73589
Nov. 13, 2014
SR-NYSEMKT-2014-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fees for the NYSE ArcaBook for Amex Options Complex Feed and a Change to the NYSE Amex Options Proprietary Market Data Fee Schedule ("Market Data Fee Schedule") Regarding Non-Display Use Fees Comments Due: Exhibit 5 Federal Register version (79 FR 68933)
34-73585
Nov. 13, 2014
SR-NYSEArca-2014-116
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Add a Service Fee for Certain Post-Trade Adjustments Performed by the Exchange To Be Effective December 1, 2014 Comments Due: Exhibit 5 Federal Register version (79 FR 68927)
34-73588
Nov. 13, 2014
SR-NYSEARCA-2014-129
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fees for the NYSE ArcaBook for Arca Options Complex Feed and Changing the NYSE Arca Options Proprietary Market Data Fee Schedule ("Market Data Fee Schedule") Regarding Non-Display Use Fees Comments Due: Exhibit 5 Federal Register version (79 FR 68922)
34-73587
Nov. 13, 2014
SR-NYSE-2014-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List for Certain Executions at the Opening Comments Due: Exhibit 5 Federal Register version (79 FR 68929)
34-73590
Nov. 13, 2014
SR-MIAX-2014-56
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Exchange Rule 515A Comments Due: Exhibit 5 Federal Register version (79 FR 68919)
34-73580
Nov. 12, 2014
SR-Phlx-2014-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PIXL Executions in SPY and PIXL Pricing Comments Due: Exhibit 5 Federal Register version (79 FR 68740)
34-73577
Nov. 12, 2014
SR-OCC-2014-20
Notice of Filing of Proposed Rule Change to Concerning Updates to Clearing Member Documents Comments Due: Exhibit 3 , Exhibit 3 Federal Register version (79 FR 68733)
34-73579
Nov. 12, 2014
SR-OCC-2014-807
Notice of an Emergency Change to OCC's Procedures to Resize the Clearing Fund in Response to Market Conditions Comments Due: Federal Register version (79 FR 68747)
34-73574
Nov. 12, 2014
SR-NASDAQ-2014-100
Notice of Filing of a Proposed Rule Change To Amend NASDAQ Rule 7015(d) To Include the IPO Indicator as a New Enhancement to the NASDAQ Workstation Comments Due: Exhibit 5 , Rel. No. 34-73950 Federal Register version (79 FR 68745)
34-73576
Nov. 12, 2014
SR-FINRA-2014-045
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules Comments Due: Exhibit 5 Federal Register version (79 FR 68731)
34-73575
Nov. 12, 2014
SR-CBOE-2014-084
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 68743)
34-73572
Nov. 10, 2014
SR-CHX-2014-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Certain Order Types, Modifiers and Related Functionality Comments Due: Exhibit 5 Federal Register version (79 FR 68736)
34-73570
Nov. 10, 2014
SR-ICEEU-2014-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Clearance of New Energy Futures Contracts Comments Due: Federal Register version (79 FR 68494)
34-73563
Nov. 7, 2014
SR-EDGX-2014-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 68341)
34-73564
Nov. 7, 2014
SR-EDGA-2014-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 68327)
34-73556
Nov. 7, 2014
SR-NYSEArca-2014-85
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the PIMCO Low Duration Investment Grade Corporate Bond Active Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-73908 Federal Register version (79 FR 68330)
34-73557
Nov. 7, 2014
SR-NYSEArca-2014-131
Notice of Filing of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Qualified Contingent Cross ("QCC") Transactions Fees, Effective November 1, 2014 Comments Due: Exhibit 5 Federal Register version (79 FR 68321)
34-73558
Nov. 7, 2014
SR-NASDAQ-2014-098
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Comments Due: Exhibit 5 Federal Register version (79 FR 68319)
34-73562
Nov. 7, 2014
SR-NASDAQ-2014-020
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Exchange-Traded Managed Fund Shares Comments Due: View Received Comments Federal Register version (79 FR 68309)
34-73549
Nov. 6, 2014
SR-BATS-2014-028
Notice of Withdrawal of Proposed Rule Changes To Establish a New Market Data Product Called the BATS One Feed File Nos.: Federal Register version (79 FR 67519)
34-73549
Nov. 6, 2014
SR-EDGA-2014-16
Notice of Withdrawal of Proposed Rule Changes To Establish a New Market Data Product Called the BATS One Feed File Nos.: Comments Due: View Received Comments Federal Register version (79 FR 67519)
34-73549
Nov. 6, 2014
SR-EDGX-2014-19
Notice of Withdrawal of Proposed Rule Changes To Establish a New Market Data Product Called the BATS One Feed File Nos.: Federal Register version (79 FR 67519)
34-73549
Nov. 6, 2014
SR-BYX-2014-011
Notice of Withdrawal of Proposed Rule Changes To Establish a New Market Data Product Called the BATS One Feed File Nos.: Federal Register version (79 FR 67519)
34-73545
Nov. 6, 2014
SR-Phlx-2014-54
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add a New Complex Order Process Called Legging Orders Comments Due: View Received Comments 34-73152 Federal Register version (79 FR 67498)
34-73546
Nov. 6, 2014
SR-Phlx-2014-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Two Typographical Errors in Rule 3315 Comments Due: Federal Register version (79 FR 67495)
34-73548
Nov. 6, 2014
SR-Phlx-2014-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (79 FR 67504)
34-73542
Nov. 6, 2014
SR-NYSEMKT-2014-87
Notice of Filing of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Add a Service Fee for Certain Post Trade Adjustments Performed by the Exchange To Be Effective December 1, 2014 Comments Due: Exhibit 5 Federal Register version (79 FR 67496)
34-73544
Nov. 6, 2014
SR-NYSEMKT-2014-14
Notice of Filing of Proposed Rule Change Amending Rule 967NY To Enhance the Functionality of the Trade Collar Protection Mechanism Comments Due: Exhibit 5 Federal Register version (79 FR 67485)
34-73543
Nov. 6, 2014
SR-NYSEArca-2014-14
Notice of Filing of Proposed Rule Change Amending Rule 6.60 To Enhance the Functionality of the Trade Collar Protection Mechanism Comments Due: Exhibit 5 Federal Register version (79 FR 67488)
34-73553
Nov. 6, 2014
SR-NYSE-2014-40
Notice of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Establish the NYSE Best Quote & Trades Data Feed Comments Due: View Received Comments Rel. No. 34-73137 , Rel. No. 34-72750 Federal Register version (79 FR 67491)
34-73554
Nov. 6, 2014
SR-NYSE-2014-56
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 67508)
34-73541
Nov. 6, 2014
SR-BX-2014-055
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Cancel-Replacement Orders and Routing Comments Due: Exhibit 5 Federal Register version (79 FR 67526)
34-73540
Nov. 6, 2014
SR-NASDAQ-2014-099
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Cancel-Replacement and Route Timer Comments Due: Exhibit 5 Federal Register version (79 FR 67501)
34-73550
Nov. 6, 2014
SR-NASDAQ-2014-034
Notice of Withdrawal of a Proposed Rule Change Relating to Proposed Changes To Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of "Third-Party Data" Comments Due: Rel. No. 34-72654 , Rel. No. 34-72328 , Rel. No. 34-71990 Federal Register version (79 FR 67495)
34-73547
Nov. 6, 2014
SR-BOX-2014-25
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility Comments Due: Exhibit 5 Federal Register version (79 FR 67520)
34-73531
Nov. 5, 2014
SR-ISEGemini-2014-24
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a Corporate Transaction Involving Its Indirect Parent Comments Due: Exhibit 5A , Exhibit 5B , Exhibit 5C , Exhibit 5D , Exhibit 5E , Exhibit 5F , Exhibit 5G , Exhibit 5H , Exhibit 5I Federal Register version (79 FR 67215)
34-73535
Nov. 5, 2014
SR-Phlx-2014-70
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 and the Excess Order Fee Comments Due: Exhibit 5 Federal Register version (79 FR 67229)
34-73529
Nov. 5, 2014
SR-NYSEARCA-2014-128
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Amend NYSE Arca Equities Rule 7.44(j) To Delete Reference to the Exchange's Proprietary Data Feed When Disseminating the Retail Liquidity Identifier Comments Due: Exhibit 5 Federal Register version (79 FR 67210)
34-73527
Nov. 5, 2014
SR-NYSE-2014-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the NYSE Proprietary Market Data Fee Schedule To Reflect the Offering of the NYSE Bonds Market Data Products Comments Due: Exhibit 5 Federal Register version (79 FR 67212)
34-73528
Nov. 5, 2014
SR-NYSE-2014-58
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Proprietary Market Data Fee Schedule Regarding Non-Display Use Fees Comments Due: Exhibit 5 Federal Register version (79 FR 67220)
34-73530
Nov. 5, 2014
SR-ISE-2014-44
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a Corporate Transaction Involving Its Indirect Parent Comments Due: Exhibit 5A , Exhibit 5B , Exhibit 5C , Exhibit 5D , Exhibit 5E , Exhibit 5F , Exhibit 5G , Exhibit 5H , Exhibit 5I Federal Register version (79 FR 67224)
34-73515
Nov. 4, 2014
SR-NYSEArca-2014-100
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSgA Global Managed Volatility ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-75023 , Rel. No. 34-73914 , Rel. No. 34-73141 Federal Register version (79 FR 66758)
34-73497
Nov. 3, 2014
SR-OCC-2014-18
Notice of Filing of Proposed Rule Change to Provide That the Options Clearing Corporation's President Will Be Its Chief Operating Officer, and That the President Will Not Be a Management Director Comments Due: Federal Register version (79 FR 66440)
34-73512
Nov. 3, 2014
SR-NYSEArca-2014-107
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Reflect Changes to the Means of Achieving the Investment Objective Applicable to the Guggenheim Enhanced Short Duration ETF Comments Due: View Received Comments Rel. No. 34-74814 , Rel. No. 34-74199 , Rel. No. 34-73512 Federal Register version (79 FR 66442)
34-73511
Nov. 3, 2014
4-657
BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.; Notice of Filing of Proposed National Market System Plan To Implement a Tick Size Pilot Program on a One-Year Pilot Basis Comments Due: View Received Comments Release No. 34-76382 , Release No. 34-74892 , Release No. 34-74388 Federal Register version (79 FR 66423)
34-73482
Oct. 31, 2014
SR-OCC-2014-803
Notice of No Objection to Advance Notice Filing to Better Manage Risks Concentration and Other Risks Associated with Accepting Deposits of Common Stocks for Margin Purposes Comments Due: Rel. No. 34-72803 Federal Register version (79 FR 66018)
34-73490
Oct. 31, 2014
SR-NYSEMKT-2014-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Modify the Fees Related to the Use of Ports That Provide Connectivity to the Exchange's Trading Systems for Entry of Orders and/or Quotes Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 66007)
34-73489
Oct. 31, 2014
SR-NYSEARCA-2014-123
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Modify the Fees Related to the Use of Ports That Provide Connectivity to the Exchange's Trading Systems for Entry of Orders and/or Quotes Comments Due: Exhibit 5 Federal Register version (79 FR 66004)
34-73479
Oct. 31, 2014
SR-CBOE-2014-083
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of the Requirement To Apply an Indicator to SPX Combo Orders Upon Systematization Comments Due: View Received Comments Federal Register version (79 FR 66014)
34-73487
Oct. 31, 2014
SR-CBOE-2014-067
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Automatic Order Handling Process in No-Bid Series Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 66016)
34-73488
Oct. 31, 2014
SR-C2-2014-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Automatic Handling Process in No-Bid Series Comments Due: Exhibit 5 Federal Register version (79 FR 65749)
34-73476
Oct. 30, 2014
SR-EDGX-2014-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.12, Limitation of Liability Comments Due: Exhibit 5 Federal Register version (79 FR 65746)
34-73477
Oct. 30, 2014
SR-EDGA-2014-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.12, Limitation of Liability Comments Due: Exhibit 5 Federal Register version (79 FR 65739)
34-73474
Oct. 30, 2014
SR-Phlx-2014-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program Comments Due: View Received Comments Federal Register version (79 FR 65742)
34-73469
Oct. 30, 2014
SR-BX-2014-052
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (79 FR 65733)
34-73470
Oct. 30, 2014
SR-BX-2014-053
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Under Exchange Rule 7018(a) With Respect to Transactions in Securities Priced at $1 per Share or More Comments Due: Exhibit 5 Federal Register version (79 FR 65738)
34-73468
Oct. 29, 2014
SR-EDGX-2014-18
Notice of Filing of Amendment Nos. 1 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To Amend EDGX Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions Comments Due: Rel. No. 34-72676 Federal Register version (79 FR 65450)
34-73462
Oct. 29, 2014
SR-BATS-2014-053
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 65447)
34-73461
Oct. 29, 2014
SR-BYX-2014-029
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 65468)
34-73465
Oct. 29, 2014
SR-CME-2014-44
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 65463)
34-73464
Oct. 29, 2014
SR-NYSEArca-2014-120
Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of the Sit Rising Rate Fund Under NYSE Arca Equities Rule 8.200 Comments Due: View Received Comments 34-73602 Federal Register version (79 FR 65437)
34-73463
Oct. 29, 2014
SR-MIAX-2014-54
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Exchange Rule 531, Trade Nullification and Price Adjustment Procedure Comments Due: Exhibit 5 Federal Register version (79 FR 65445)
34-73459
Oct. 29, 2014
SR-ICEEU-2014-18
Notice of Filling of Proposed Rule Change To Provide for the Clearance of Additional Sovereign Contracts Comments Due: Rel. No. 34-73737 Federal Register version (79 FR 65443)
34-73460
Oct. 29, 2014
SR-CBOE-2014-080
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related To Extending the FLEX Exercise Settlement Values Pilot Comments Due: Exhibit 5 Federal Register version (79 FR 65464)
34-73445
Oct. 28, 2014
SR-CME-2014-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Changes to Settlement Procedures Regarding Seven CME Cleared OTC FX Spot, Forward and Swap Contracts Comments Due: Federal Register version (79 FR 65275)
34-73449
Oct. 28, 2014
SR-OCC-2014-19
Notice of Filing of Proposed Rule Change To Permit the Executive Chairman, the President or a Delegate of Such Officer To Approve Requests by a Hedge Clearing Member To Become a Market Loan Clearing Member Comments Due: Rel. No. 34-73725 , Rel. No. 34-73725 Federal Register version (79 FR 65277)
34-73453
Oct. 28, 2014
SR-NYSEARCA-2014-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.16(f)(v) To Provide That Proactive if Locked Modifiers Will Be Ignored for Short Sale Orders During a Short Sale Period Comments Due: Exhibit 5 Federal Register version (79 FR 65273)
34-73446
Oct. 28, 2014
SR-BX-2014-050
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Exchange Fees Comments Due: Exhibit 5 Federal Register version (79 FR 65271)
34-73452
Oct. 28, 2014
SR-BX-2014-054
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Billing Policy Comments Due: Exhibit 5 Federal Register version (79 FR 65279)
34-73444
Oct. 28, 2014
SR-ICC-2014-18
Notice of Filing of Proposed Rule Change To Revise the ICC Risk Management Framework Comments Due: Federal Register version (79 FR 65270)
34-73451
Oct. 28, 2014
SR-ICC-2014-17
Notice of Filing of Proposed Rule Change To Revise ICC End-of-Day Price Discovery Policies and Procedures Comments Due: Federal Register version (79 FR 65280)
34-73443
Oct. 28, 2014
SR-DTC-2014-10
Notice of Filing of Proposed Rule Change in Connection With the Modifications To Require Receiver Authorized Delivery Approval for DTC Processing of Institutional Delivery Transactions Comments Due: Exhibit 5 , Rel. No. 34-73804 Federal Register version (79 FR 65268)
34-73450
Oct. 28, 2014
SR-CBOE-2014-081
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Functionality of Public Automated Routing System Comments Due: Federal Register version (79 FR 65263)
34-73441
Oct. 27, 2014
SR-Phlx-2014-66
Notice of Filing of Proposed Rule Change To Adopt New Exchange Rule 1081, Solicitation Mechanism, To Introduce a New Electronic Solicitation Mechanism Comments Due: Exhibit 5 , Rel. No. 34-75300 , Rel. No. 34-74746 , Rel. No. 34-74167 , Rel. No. 34-73791 Federal Register version (79 FR 64862)
34-73433
Oct. 27, 2014
SR-NYSEArca-2014-122
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Use of Derivative Instruments by the AdvisorShares Global Echo ETF Comments Due: View Received Comments Federal Register version (79 FR 64849)
34-73440
Oct. 27, 2014
SR-ISE-2014-48
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 64857)
34-73435
Oct. 27, 2014
SR-CBOE-2014-071
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Complex Order Book Comments Due: Federal Register version (79 FR 64858)
34-73439
Oct. 27, 2014
SR-CBOE-2014-082
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CBOE Trade Match System Comments Due: Exhibit 5 Federal Register version (79 FR 64846)
34-73436
Oct. 27, 2014
SR-C2-2014-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Complex Order Book Comments Due: Federal Register version (79 FR 64853)
34-73425
Oct. 24, 2014
SR-MIAX-2014-55
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 64642)
34-73422
Oct. 24, 2014
SR-CBOE-2014-079
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program Comments Due: Federal Register version (79 FR 64640)
34-73412
Oct. 23, 2014
SR-BATS-2014-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9 and 11.13 of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 64431)
34-73413
Oct. 23, 2014
SR-BATS-2014-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 64445)
34-73414
Oct. 23, 2014
SR-BATS-2014-050
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 64434)
34-73411
Oct. 23, 2014
SR-BYX-2014-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9 and 11.13 of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 64452)
34-73417
Oct. 23, 2014
SR-NYSEArca-2014-41
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change as Modified by Amendment Nos. 1 and 4 Thereto, Relating to Listing and Trading of Shares of the Reality Shares DIVS Index ETF Under NYSE Arca Equities Rule 5.2(j)(3) Comments Due: View Received Comments Rel. No. 34-73631 , Rel. No. 34-72714 , Rel. No. 34-72385 , Rel. No. 34-72015 Federal Register version (79 FR 64430)
34-73410
Oct. 23, 2014
SR-BX-2014-048
Notice of Filing of a Proposed Rule Change To Establish the Retail Price Improvement Program on a Pilot Basis Expiring Twelve Months From the Date of Implementation Comments Due: Exhibit 5 , Rel. No. 34-82198 , Rel. No. 34-79448 , Rel. No. 34-73702 Federal Register version (79 FR 64447)
34-73416
Oct. 23, 2014
SR-NASDAQ-2014-034
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Proposed Changes To Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of "Third-Party Data" Comments Due: Rel. No. 34-73550 , Rel. No. 34-72654 , Rel. No. 34-72328 , Rel. No. 34-71990 Federal Register version (79 FR 64444)
34-73418
Oct. 23, 2014
SR-NASDAQ-2014-038
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Listing and Trading of Shares of the NASDAQ-100 DIVS Index ETF Under Rule 5705 Comments Due: Rel. No. 34-73630 , Rel. No. 34-72715 , Rel. No. 34-72384 , Rel. No. 34-72014 Federal Register version (79 FR 64431)
34-73415
Oct. 23, 2014
SR-MSRB-2014-06
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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 4 , Exhibit 5 , Rel. No. 34-72706 Federal Register version (79 FR 64423)
