34-72152
May 12, 2014
SR-Phlx-2014-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Limitation on Entering Electronic Limit Orders From Off the Floor of the Exchange Comments Due: Exhibit 5 Federal Register version (79 FR 28561)
34-72148
May 12, 2014
SR-NYSEMKT-2014-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Account for Recent Changes to the Securities Eligible To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Comments Due: Exhibit 5 Federal Register version (79 FR 28583)
34-72147
May 12, 2014
SR-NYSE-2014-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.02 of the Listed Company Manual To Modify How It Calculates Annual Fees for Certain Issuers in Their First Year of Listing on the Exchange Which Will Result in Large Issuers Receiving a Reduction in Their First Year's Annual Fee That Is Proportional to Their Reduced Time Listed on the Exchange Comments Due: Exhibit 5 Federal Register version (79 FR 28581)
34-72149
May 12, 2014
SR-BX-2014-024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Consolidate Certain Committee Functions Into the BX Review Council Comments Due: Federal Register version (79 FR 28564)
34-72150
May 12, 2014
SR-NASDAQ-2014-049
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7018 Fees and Establish Fee Tiers for the Execution of Market-on-Close and Limit-on-Close Orders Executed in the NASDAQ Closing Cross and Eliminate the High Volume Market Participant Identifier Program Comments Due: Federal Register version (79 FR 28568)
34-72151
May 12, 2014
SR-NASDAQ-2014-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Consolidate Certain Committee Functions Into the NASDAQ Review Council Comments Due: Federal Register version (79 FR 28571)
34-72153
May 12, 2014
SR-NASDAQ-2014-045
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for the NASDAQ Basic Data Product Comments Due: Exhibit 5 Federal Register version (79 FR 28575)
34-72135
May 9, 2014
SR-Phlx-2014-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Rollout of the New Options Floor Broker Management System Until September 1, 2014 Comments Due: View Received Comments Federal Register version (79 FR 27966)
34-72136
May 9, 2014
SR-Phlx-2014-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Rebates Comments Due: Exhibit 5 Federal Register version (79 FR 27968)
34-72139
May 9, 2014
SR-NYSEArca-2014-45
Notice of Filing of Proposed Rule Change Relating to PowerShares Insured California Municipal Bond Portfolio, PowerShares Insured National Municipal Bond Portfolio, and PowerShares Insured New York Municipal Bond Portfolio Comments Due: Rel. No. 34-72464 Federal Register version (79 FR 27950)
34-72143
May 9, 2014
SR-BX-2014-025
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Relating to the Elimination of SPY Position Limits Comments Due: Exhibit 5 Federal Register version (79 FR 27963)
34-72141
May 9, 2014
SR-NASDAQ-2014-009
Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to the Means of Achieving the Investment Objectives of the First Trust Tactical High Yield ETF of First Trust Exchange-Traded Fund IV Comments Due: Rel. No. 34-71813 , Rel. No. 34-71473 Federal Register version (79 FR 27944)
34-72142
May 9, 2014
SR-NASDAQ-2014-052
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Relating to the Elimination of SPY Position Limits Comments Due: Exhibit 5 Federal Register version (79 FR 27961)
34-72128
May 8, 2014
SR-BATS-2014-017
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 27666)
34-72127
May 8, 2014
SR-BYX-2014-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 27661)
34-72125
May 8, 2014
SR-OCC-2013-804
Notice of Withdrawal of an Advance Notice in Connection With a Proposed Change to its Operations in the Form of a Private Offering by OCC of Senior Unsecured Debt Securities Comments Due: Rel. No. 34-69955 Federal Register version (79 FR 28568)
34-72123
May 8, 2014
SR-NYSE-2014-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List, Effective May 2, 2014, To Set Forth a Fee for a Bond Trading License Under Rule 87 and a Rebate for Bond Liquidity Providers That Bring Liquidity to the Exchange's Bond Market in Accordance With Rule 88 and To Delete an Obsolete Fee Comments Due: Exhibit 5 Federal Register version (79 FR 27657)
34-72131
May 8, 2014
SR-NSCC-2014-805
Notice of Filing and No Objection to Advance Notice to Renew NSCC's Existing Credit Facility Comments Due: Federal Register version (79 FR 27654)
34-72126
May 8, 2014
SR-NASDAQ-2014-047
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees Set Forth in Rule 7015(e) Governing WebLink ACT and the ACT Workstation Comments Due: Federal Register version (79 FR 27671)
34-72129
May 8, 2014
SR-MSRB-2014-01
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 Revisions to MSRB Rule G-30, on Prices and Commissions and the Deletion of Rule G-18, on Execution of Transactions Comments Due: View Received Comments Exhibit 4 , Exhibit 5 , Rel. No. 34-71536 Federal Register version (79 FR 27662)
34-72130
May 8, 2014
SR-ISE-2014-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Quarterly Options Series Program Comments Due: Exhibit 5 Federal Register version (79 FR 27673)
34-72124
May 8, 2014
SR-ICC-2014-06
Notice of Filing of Proposed Rule Change To Provide for the Clearance of Additional Non-Investment Grade Instruments on Standard North American Corporate Single Name Reference Entities Comments Due: Rel. No. 34-72437 Federal Register version (79 FR 27669)
34-72132
May 8, 2014
SR-DTC-2014-805
Notice of Filing and No Objection to Advance Notice to Renew DTC's Existing Credit Facility Comments Due: Federal Register version (79 FR 27658)
34-72118
May 7, 2014
SR-ISEGemini-2014-09
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to Market Maker Risk Parameters Comments Due: View Received Comments Rel. No. 34-73148 , Rel. No. 34-72454 , Rel. No. 34-71758 Federal Register version (79 FR 27355)
34-72119
May 7, 2014
SR-Phlx-2014-23
Notice of Filing of Proposed Rule Change Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation and Solicited Orders in Open Outcry Trading Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-73291 , Rel. No. 34-72751 , Rel. No. 34-72447 Federal Register version (79 FR 27351)
34-72117
May 7, 2014
SR-ISE-2014-09
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to Market Maker Risk Parameters Comments Due: View Received Comments Rel. No. 34-72455 , Rel. No. 34-71759 Federal Register version (79 FR 27360)
34-72115
May 7, 2014
SR-CBOE-2014-039
Notice of Filing of a Proposed Rule Change To Amend Certain Margin Rules for Volatility Index Options Comments Due: Partial Amendment No. 1 , Rel. No. 34-72468 Federal Register version (79 FR 27358)
34-72101
May 6, 2014
SR-EDGX-2014-15
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 27004)
34-72097
May 6, 2014
SR-CME-2014-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Making Changes in the Position Limits and Accountability Levels of CME Cleared OTC FX Spot, Forward and Swap Contracts Comments Due: Federal Register version (79 FR 27010)
34-72100
May 6, 2014
SR-EDGA-2014-13
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 27021)
34-72106
May 6, 2014
SR-NSX-2014-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule To Change Certain Fees Applicable to Liquidity Providers, Eliminate a Rebate and Adopt a Fee for Removing Liquidity, and Reducing a Fee for Routed Orders, All With Respect to Securities Priced at $1.00 or Greater Comments Due: Exhibit 5 Federal Register version (79 FR 27012)
34-72107
May 6, 2014
SR-NSX-2014-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Cease Trading on Its Trading System Comments Due: Exhibit 5 Federal Register version (79 FR 27017)
34-72103
May 6, 2014
SR-Phlx-2014-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options Comments Due: Exhibit 5 Federal Register version (79 FR 27009)
34-72102
May 6, 2014
SR-NYSEARCA-2014-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .01 to Rule 6.3. To Replace the Reference to "GOOG" With "GOOGL" Comments Due: Exhibit 5 Federal Register version (79 FR 27020)
34-72104
May 6, 2014
SR-BX-2014-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to Mini Options Comments Due: Exhibit 5 Federal Register version (79 FR 27016)
34-72105
May 6, 2014
SR-NASDAQ-2014-043
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options Comments Due: Exhibit 5 Federal Register version (79 FR 27014)
34-72098
May 6, 2014
SR-ISE-2014-23
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Regarding the Short Term Option Series Program Comments Due: Exhibit 5 , Rel. No. 34-72452 Federal Register version (79 FR 27006)
34-72094
May 5, 2014
SR-Phlx-2014-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to JBO Orders Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 26787)
34-72095
May 5, 2014
SR-Phlx-2014-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options Pricing Comments Due: Exhibit 5 Federal Register version (79 FR 26785)
34-72096
May 5, 2014
SR-NASDAQ-2014-040
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Calamos Focus Growth ETF of the Calamos ETF Trust Comments Due: Rel. No. 34-72411 Federal Register version (79 FR 26789)
34-72086
May 2, 2014
SR-EDGX-2014-05
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt a New Order Type Called the Mid-Point Discretionary Order Rel. No. 34-72955 , Rel. No. 34-72445 , Rel. No. 34-71747 Federal Register version (79 FR 26473)
34-72088
May 2, 2014
SR-EDGX-2014-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.5 Regarding the Route Peg Order Comments Due: Exhibit 5 Federal Register version (79 FR 26479)
34-72089
May 2, 2014
SR-EDGA-2014-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.5 Regarding the Route Peg Order Comments Due: Exhibit 5 Federal Register version (79 FR 26493)
34-72084
May 2, 2014
SR-NYSEMKT-2014-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 980NY To Adopt Rules Governing an Opening Auction Process for Electronic Complex Orders and To Amend and Reorganize Existing Rules Specifying Available Electronic Complex Order Types and Modifiers Comments Due: Exhibit 5 Federal Register version (79 FR 26470)
34-72081
May 2, 2014
SR-NYSEArca-2014-04
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, 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. 34-72703 , Rel. No. 34-71733 , Rel. No. 34-71425 Federal Register version (79 FR 26474)
34-72085
May 2, 2014
SR-NYSEArca-2014-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.91 To Adopt Rules Governing an Opening Auction Process for Electronic Complex Orders and To Amend and Reorganize Existing Rules Specifying Available Electronic Complex Order Types and Modifiers Comments Due: Exhibit 5 Federal Register version (79 FR 26482)
34-72083
May 2, 2014
SR-ICC-2014-05
Notice of Filing of Proposed Rule Change To Update ICC's Policy Regarding Valuation of Maturing U.S. Treasury Securities and Update ICC's Collateral Asset Haircut Methodology Comments Due: Rel. No. 34-72397 Federal Register version (79 FR 26490)
34-72082
May 2, 2014
SR-CBOE-2014-038
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Availability of Certain Delayed Market Data on CBOE Web Sites Comments Due: Federal Register version (79 FR 26481)
34-72078
May 2, 2014
SR-C2-2014-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Qualification and Registration Requirements of Permit Holders and Associated Persons of Permit Holders Comments Due: Exhibit 5 Federal Register version (79 FR 26485)
34-72070
May 1, 2014
SR-Phlx-2014-30
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Quarterly Options Series Program Comments Due: Exhibit 5 Federal Register version (79 FR 26274)
34-72075
May 1, 2014
SR-NYSEMKT-2014-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Offering ArcaBook for Amex Options-Complex on a Standalone Basis Without Charge From May 1, 2014 Through October 31, 2014 Comments Due: Exhibit 5 Federal Register version (79 FR 26290)
34-72064
May 1, 2014
SR-NYSEArca-2014-46
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of 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. 34-72748 , Rel. No. 34-72422 Federal Register version (79 FR 25908)
34-72068
May 1, 2014
SR-NYSEArca-2014-47
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Proposing To List and Trade Shares of Fidelity Corporate Bond ETF Managed Shares Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-72439 Federal Register version (79 FR 25923)
34-72074
May 1, 2014
SR-NYSEARCA-2014-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Offering ArcaBook for Arca Options-Complex on a Standalone Basis Without Charge From May 1, 2014 Through October 31, 2014 Comments Due: Exhibit 5 Federal Register version (79 FR 26277)
34-72069
May 1, 2014
SR-BX-2014-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Quarterly Options Series Program Comments Due: Exhibit 5 Federal Register version (79 FR 26280)
34-72071
May 1, 2014
SR-NASDAQ-2014-046
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Quarterly Options Series Program Comments Due: Exhibit 5 Federal Register version (79 FR 26272)
34-72077
May 1, 2014
SR-NASDAQ-2014-035
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the AdvisorShares Sunrise Global Multi-Strategy ETF of AdvisorShares Trust Comments Due: View Received Comments Rel. No. 34-72426 Federal Register version (79 FR 26283)
34-72066
May 1, 2014
SR-FINRA-2014-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of SR-FINRA-2013-046 Comments Due: Federal Register version (79 FR 25979)
34-72047
April 30, 2014
SR-EDGA-2014-11
Notice of Filing of a Proposed Rule Change To Amend Rule 11.13, Entitled "Clearly Erroneous Executions" Comments Due: Exhibit 5 , Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions Federal Register version (79 FR 25940)
34-72046
April 30, 2014
SR-NSX-2014-08
Notice of Filing of Proposed Rule Change to Amend Exchange Rule 11.19 Entitled "Clearly Erroneous Executions" To Add Provisions Regarding Executions Based on Incorrect or Grossly Misinterpreted Issuance Information and Executions Occurring After a Trading Halt Has Been Declared Comments Due: Exhibit 5 , Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions Federal Register version (79 FR 25972)
34-72051
April 30, 2014
SR-NYSEMKT-2014-37
Notice of Filing of Proposed Rule Change Adding New Paragraphs (j) and (k) to Rule 128-Equities, Entitled "Clearly Erroneous Executions for Equities" Comments Due: Exhibit 5 , Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions Federal Register version (79 FR 25954)
34-72057
April 30, 2014
SR-BATS-2014-014
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) Comments Due: Exhibit 5 , Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions Federal Register version (79 FR 25937)
34-72044
April 30, 2014
SR-BATS-2014-014
Notice of Filing of a Proposed Rule Change to Amend Rule 11.17, entitled "Clearly Erroneous Executions" Exhibit 5
34-72039
April 29, 2014
SR-BATS-2014-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Treatment of Intermarket Sweep Orders Entered Prior to the Completion of the Options Opening Process of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 25636)
34-72042
April 29, 2014
SR-CFE-2014-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt and Amend Certain Customer Protection and Financial Rules Comments Due: Federal Register version (79 FR 25631)
34-72040
April 29, 2014
SR-NYSEMKT-2014-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .01 to Rule 901 To Replace the Reference to "GOOG" with "GOOGL" Comments Due: Exhibit 5 Federal Register version (79 FR 25635)
34-72041
April 29, 2014
SR-BX-2014-022
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule Text Related to Acceptable Trade Range in Chapter VI, Section 10 of the BX Options Rules Comments Due: Exhibit 5 Federal Register version (79 FR 25633)
34-72037
April 28, 2014
SR-BATS-2014-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Short Term Option Series Comments Due: Exhibit 5 Federal Register version (79 FR 25164)
34-72036
April 28, 2014
SR-ICC-2014-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Revisions Consistent with U.S. Commodity Futures Trading Commission ("CFTC") Recommendations Comments Due: Federal Register version (79 FR 25163)
34-72020
April 25, 2014
SR-BATS-2014-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Institute an Incentive Program for Market Makers for BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 55040)
34-72027
April 25, 2014
SR-Phlx-2014-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 1064 and 1080 Comments Due: Federal Register version (79 FR 24776)
34-72017
April 25, 2014
SR-NYSEMKT-2014-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules Governing Letters of Guarantee and Letters of Authorization Comments Due: Federal Register version (79 FR 24800)
34-72025
April 25, 2014
SR-NYSEMKT-2014-17
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Adopting Rule 971.1NY for an Electronic Price Improvement Auction for Single-Leg Options Orders Comments Due: View Received Comments Rel. No. 34-71655 Federal Register version (79 FR 24779)
34-72018
April 25, 2014
SR-NYSEArca-2014-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules Governing Letters of Guarantee and Letters of Authorization Comments Due: Federal Register version (79 FR 24805)
34-72028
April 25, 2014
SR-NYSEArca-2014-42
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of Schwab Active Short Duration Income ETF; Schwab TargetDuration 2-Month ETF; Schwab TargetDuration 9-Month ETF; and Schwab TargetDuration 12-Month ETF Under NYSEArca Equities Rule 8.600 Comments Due: Rel. No. 34-72336 Federal Register version (79 FR 24789)
34-72030
April 25, 2014
SR-NASDAQ-2014-041
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the First Trust Enhanced Short Maturity ETF of First Trust Exchange-Traded Fund IV Comments Due: Rel. No. 34-72382 Federal Register version (79 FR 24765)
34-72019
April 25, 2014
SR-MSRB-2014-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of New Rule A-11, on Assessments for Municipal Advisor Professionals Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 24798)
34-72016
April 24, 2014
SR-EDGX-2014-13
Notice of Filing of Proposed Rule Change To Amend Footnote 4 of the Exchange's Fee Schedule To Permit Members To Designate Their Retail Orders To Be Identified as Retail on the EDGX Book Feed Comments Due: Exhibit 5 , Rel. No. 34-72292 Federal Register version (79 FR 24463)
34-72015
April 24, 2014
SR-NYSEArca-2014-41
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of Reality Shares Isolated Dividend Growth 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 Federal Register version (79 FR 24475)
34-72014
April 24, 2014
SR-NASDAQ-2014-038
Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Reality Shares NASDAQ-100 Isolated Dividend Growth Index ETF of the Reality Shares ETF Trust Under Rule 5705 Comments Due: Rel. No. 34-73630 , Rel. No. 34-73418 , Rel. No. 34-72715 , Rel. No. 34-72384 Federal Register version (79 FR 24465)
34-72013
April 24, 2014
SR-MIAX-2014-15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404 Comments Due: Exhibit 5 Federal Register version (79 FR 24474)
34-72002
April 23, 2014
SR-EDGX-2014-10
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 24028)
34-72001
April 23, 2014
SR-EDGA-2014-09
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 24049)
34-71999
April 23, 2014
SR-NYSEArca-2014-19
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, to List and Trade Shares of the iShares Core Allocation Conservative ETF, iShares Core Allocation Moderate ETF, iShares Core Allocation Moderate Growth ETF, and iShares Core Allocation Growth ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-71702 Federal Register version (79 FR 24040)
34-72000
April 23, 2014
SR-NYSEArca-2014-20
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of Reality Shares Isolated Dividend Growth ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-73081 , Rel. No. 34-72347 , Rel. No. 34-71686 Federal Register version (79 FR 24032)
34-72007
April 23, 2014
SR-NASDAQ-2014-020
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares Comments Due: View Received Comments Rel. No. 34-72987 , Rel. No. 34-72350 , Rel. No. 34-71657 Federal Register version (79 FR 24045)
34-72012
April 23, 2014
SR-NASDAQ-2014-042
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 4758 to Correct a Typographical Error Comments Due: Exhibit 5 Federal Register version (79 FR 24045)
34-72009
April 23, 2014
SR-MIAX-2014-09
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt the MIAX PRIME Price Improvement Mechanism and the MIAX PRIME Solicitation Mechanism Comments Due: Rel. No. 34-71640 Federal Register version (79 FR 24032)
34-72006
April 23, 2014
SR-ISE-2014-10
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Complex Orders Comments Due: View Received Comments Rel. No. 34-73023 , Rel. No. 34-72359 , Rel. No. 34-71669 Federal Register version (79 FR 24031)
34-71998
April 23, 2014
SR-FINRA-2014-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 26 Examination Program Comments Due: Exhibit 3 Federal Register version (79 FR 24047)
34-72008
April 23, 2014
SR-CBOE-2014-017
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment 1 Thereto, to Amend Its Rules Related to Complex Orders Comments Due: View Received Comments Rel. No. 34-72986 , Rel. No. 34-72329 , Rel. No. 34-71648 Federal Register version (79 FR 24032)
34-71985
April 22, 2014
SR-Phlx-2014-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quoting Obligations Comments Due: Exhibit 5 Federal Register version (79 FR 23395)
34-71988
April 22, 2014
SR-NYSEMKT-2014-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT Rule 343-Equities to Harmonize the NYSE MKT's Rules With Changes by Financial Industry Regulatory Authority, Inc. to Amend the Uniform Branch Office Registration Form Comments Due: Exhibit 5 Federal Register version (79 FR 23393)
34-71986
April 22, 2014
SR-NYSE-2014-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 9268, 9559, and 9620 To Conform the Exchange's Rules to Changes Recently Adopted by the Financial Industry Regulatory Authority, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 23398)
34-71989
April 22, 2014
SR-NYSE-2014-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 343 and Its Interpretation to Harmonize the NYSE's Rules with Changes by Financial Industry Regulatory Authority, Inc. to Amend the Uniform Branch Office Registration Form Comments Due: Exhibit 5 Federal Register version (79 FR 23391)
34-71990
April 22, 2014
SR-NASDAQ-2014-034
Notice of Filing of 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. 34-73416 , Rel. No. 34-72654 , Rel. No. 34-72328 Federal Register version (79 FR 23389)
34-71976
April 21, 2014
SR-NFA-2014-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Interpretive Notice to NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for SFPs Comments Due: Federal Register version (79 FR 23028)
34-71980
April 21, 2014
SR-NFA-2014-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretive Notice entitled "NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts" Comments Due: Federal Register version (79 FR 23027)
34-71983
April 21, 2014
SR-NSX-2014-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule With Respect to Securities Priced at $1.00 or Greater Comments Due: Exhibit 5 Federal Register version (79 FR 23030)
34-71982
April 21, 2014
SR-NYSEARCA-2014-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 1.1, 7.31, 7.34, 7.35, 7.37 and 7.43 To Update Rules Related to the Exchange's Order Types and Modifiers Comments Due: Exhibit 5 Federal Register version (79 FR 23032)
