34-72884
Aug. 20, 2014
SR-CME-2014-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 802.H Comments Due: Federal Register version (79 FR 50962)
34-72885
Aug. 20, 2014
SR-MIAX-2014-44
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404 Regarding the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (79 FR 50956)
34-72865
Aug. 19, 2014
SR-NYSEMKT-2014-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 50725)
34-72864
Aug. 19, 2014
SR-NYSEArca-2014-86
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.70 to Make the Rule Applicable to All Transactions on the Exchange Comments Due: Exhibit 5 Federal Register version (79 FR 50718)
34-72866
Aug. 19, 2014
SR-CBOE-2014-050
Notice of Withdrawal of Proposed Rule Change Relating to Trade Nullification and Price Adjustment Comments Due: Rel. No. 34-72390 Federal Register version (79 FR 50724)
34-72857
Aug. 18, 2014
SR-NYSEMKT-2014-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 332 of the NYSE MKT Company Guide To Provide That Listed Companies Should Pay Listing Fees Due in Connection With the Listing of Additional Securities in the Manner Specified in the Exchange's Invoice Comments Due: Exhibit 5 Federal Register version (79 FR 49824)
34-72860
Aug. 18, 2014
SR-DTC-2013-11
Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends To Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities Comments Due: View Received Comments Rel. No. 34-72391 , Rel. No. 34-71745 , Rel. No. 34-71132 Federal Register version (79 FR 49825)
34-72853
Aug. 15, 2014
SR-NYSEArca-2014-57
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2 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. 34-72531 , Rel. No. 34-72180 Federal Register version (79 FR 49544)
34-72854
Aug. 15, 2014
SR-FINRA-2014-036
Notice of Filing of a Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings Comments Due: Rel. No. 34-73230 Federal Register version (79 FR 49549)
34-72855
Aug. 15, 2014
SR-CBOE-2014-064
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 49552)
34-72844
Aug. 14, 2014
SR-EDGA-2014-22
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 49355)
34-72847
Aug. 14, 2014
SR-NYSEArca-2014-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change (1) to Reflect a Change to the Value Used by the iShares Silver Trust, ETFS Silver Trust, ETFS White Metals Basket Trust and ETFS Precious Metals Basket Trust With Respect to Calculation of the Net Asset Value of Shares of Each Trust; and (2) to Reflect a Change to the Underlying Benchmark for ProShares Ultra Silver and ProShares UltraShort Silver Comments Due: Federal Register version (79 FR 49350)
34-72849
Aug. 14, 2014
SR-ICEEU-2014-13
Notice of Filing of Proposed Rule Change Relating to the 2014 ISDA Credit Derivatives Definitions Comments Due: Exhibit 5 Federal Register version (79 FR 49357)
34-72830
Aug. 13, 2014
SR-BATS-2014-030
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 49136)
34-72833
Aug. 13, 2014
SR-CME-2014-31
Notice of Filing of Proposed Rule Change Related to Clearing of Certain iTraxx Europe Index Untranched CDS Contracts on Indices Administered by Markit Comments Due: Exhibit 5 , Rel. No. 34-73626 , Rel. No. 34-73290 , Rel. No. 34-73275 Federal Register version (79 FR 48797)
34-72834
Aug. 13, 2014
SR-CME-2014-28
Notice of Filing of Proposed Rule Change Related to Enhancements to Its Risk Model for Credit Default Swaps Comments Due: Rel. No. 34-73627 , Rel. No. 34-73283 , Rel. No.34-72959 Federal Register version (79 FR 48805)
34-72837
Aug. 13, 2014
SR-CME-2014-30
Notice of Filing of Proposed Rule Change Related to 2014 ISDA Definitions Comments Due: Exhibit 5 , Rel. No. 34-73232 Federal Register version (79 FR 49132)
34-72831
Aug. 13, 2014
SR-NASDAQ-2014-077
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees in Penny and Non-Penny Pilot Options Comments Due: Exhibit 5 Federal Register version (79 FR 49127)
34-72835
Aug. 13, 2014
SR-MIAX-2014-30
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change 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. 34-72492 Federal Register version (79 FR 49140)
34-72814
Aug. 12, 2014
SR-EDGX-2014-22
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 48796)
34-72821
Aug. 12, 2014
SR-BATS-2014-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect Changes to the Means of Achieving the Investment Objective Applicable to the iShares Short Maturity Bond Fund Comments Due: Federal Register version (79 FR 48809)
34-72815
Aug. 12, 2014
SR-NYSEMKT-2014-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 935NY and Rule 964NY To Delete Obsolete References to Tracking Orders and Make Other Non-Substantive, Technical Changes to the Exchange Rules Comments Due: Exhibit 5 Federal Register version (79 FR 48783)
34-72820
Aug. 12, 2014
SR-OPRA-2014-03
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Sections 5.4 and 7.1 of the OPRA Plan Comments Due: Rel. No. 34-72824 Federal Register version (79 FR 48779)
34-72820
Aug. 12, 2014
SR-OPRA-2013-03
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Sections 5.4 and 7.1 of the OPRA Plan Comments Due: Rel. No. 34-72824 Federal Register version (79 FR 48779)
34-72824
Aug. 12, 2014
SR-OPRA-2014-03
Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend OPRA's Definition of the Term "Nonprofessional" Comments Due: Rel. No. 34-72820 Federal Register version (79 FR 48780)
34-72825
Aug. 12, 2014
SR-OPRA-2014-04
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend OPRA's Fee Schedule To Establish Fees for After-Ho Comments Due: Federal Register version (79 FR 48782)
34-72826
Aug. 12, 2014
SR-OPRA-2014-06
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend OPRA's Fee Schedule Comments Due: Federal Register version (79 FR 49824)
34-72813
Aug. 12, 2014
SR-NASDAQ-2014-053
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the iShares Commodities Strategy ETF of iShares U.S. ETF Trust Comments Due: Rel. No. 34-73233 Federal Register version (79 FR 48787)
34-72816
Aug. 12, 2014
SR-ISE-2014-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change on Non-Customer Linkage and Sweep Orders Comments Due: Exhibit 5 Federal Register version (79 FR 48811)
34-72817
Aug. 12, 2014
SR-ISE-2014-39
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 48801)
34-72822
Aug. 12, 2014
SR-CBOE-2014-061
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 48814)
34-72823
Aug. 12, 2014
SR-C2-2014-016
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 48785)
34-72812
Aug. 11, 2014
SR-EDGA-2014-20
Notice of Filing of Proposed Rule Change Relating To Include Additional Specificity Within Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-73592 , Rel. No. 34-73217 Federal Register version (79 FR 48823)
34-72806
Aug. 11, 2014
SR-Phlx-2014-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options Comments Due: Exhibit 5 Federal Register version (79 FR 48269)
34-72807
Aug. 11, 2014
SR-Phlx-2014-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program Comments Due: Exhibit 5 Federal Register version (79 FR 48289)
34-72803
Aug. 11, 2014
SR-OCC-2014-803
Notice of Filing of an Advance Notice to Better Manage Risks Concentration and Other Risks Associated with Accepting Deposits of Common Stocks for Margin Purposes Comments Due: Request for Additional Information , Rel. No. 34-73482 Federal Register version (79 FR 48285)
34-72804
Aug. 11, 2014
SR-OCC-2014-804
Notice of Filing of an Advance Notice to Permit OCC to Adjust the Size of its Clearing Fund Intra-Month and Clearing Member's Clearing Fund Contributions Intra-Month Comments Due: Request for Additional Information Federal Register version (79 FR 48276)
34-72805
Aug. 11, 2014
SR-NYSE-2014-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Modify the Tier 2 Adding Credit Comments Due: Exhibit 5 Federal Register version (79 FR 48274)
34-72810
Aug. 11, 2014
SR-NASDAQ-2014-078
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program Under Rule 7014, and the Schedule of Fees and Rebates Under Rule 7018 Comments Due: Exhibit 5 Federal Register version (79 FR 48281)
34-72811
Aug. 11, 2014
SR-NASDAQ-2014-079
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7051 Fees Relating to Pricing for Direct Circuit Connections Comments Due: Exhibit 5 Federal Register version (79 FR 48262)
34-72802
Aug. 11, 2014
SR-ICC-2014-13
Notice of Filing of Proposed Rule Change To Provide for the Clearance of Additional Standard Emerging European and Middle Eastern Sovereign Single Names Comments Due: Rel. No. 34-73220 Federal Register version (79 FR 48280)
34-72796
Aug. 8, 2014
SR-Phlx-2014-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Simple Order Fees for Removing Liquidity in SPY Options Comments Due: Exhibit 5 Federal Register version (79 FR 47694)
34-72798
Aug. 8, 2014
SR-MIAX-2014-41
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 47695)
34-72799
Aug. 8, 2014
SR-MIAX-2014-40
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 47698)
34-72787
Aug. 7, 2014
SR-BATS-2014-018
Notice of Filing of Proposed Rule Change To Adopt Rule 14.11(k) To Permit BATS Exchange, Inc. To List Managed Portfolio Shares and To List and Trade Shares of Certain Funds of the Spruce ETF Trust Comments Due: View Received Comments Rel. No. 34-73559 , Rel. No. 34-73199 Federal Register version (79 FR 47488)
34-72784
Aug. 7, 2014
SR-Phlx-2014-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Fees Comments Due: Exhibit 5 Federal Register version (79 FR 47506)
34-72786
Aug. 7, 2014
SR-Phlx-2014-53
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (79 FR 47509)
34-72790
Aug. 7, 2014
SR-NYSEMKT-2014-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule in a Number of Different Ways Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 47485)
34-72789
Aug. 7, 2014
SR-NYSEArca-2014-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Lead Market Maker Rights Fees Comments Due: Exhibit 5 Federal Register version (79 FR 47502)
34-72791
Aug. 7, 2014
SR-NYSEArca-2014-63
Notice of Withdrawal of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Lead Market Maker Rights Fees Comments Due: Rel. No. 34-72642 , Rel. No. 34-72312 Federal Register version (79 FR 47501)
34-72785
Aug. 7, 2014
SR-MIAX-2014-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 47504)
34-72778
Aug. 6, 2014
SR-NYSE-2014-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Relating to Certain Transactions Involving Floor Brokers Comments Due: Exhibit 5 Federal Register version (79 FR 47163)
34-72779
Aug. 6, 2014
SR-NASDAQ-2014-065
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares Commodities Trust I Comments Due: View Received Comments Rel. No. 34-74299 , Rel. No. 34-73843 , Rel. No. 34-73142 , Rel. No. 34-72412 Federal Register version (79 FR 47162)
34-72777
Aug. 6, 2014
SR-MIAX-2014-39
Notice of Filing of a Proposed Rule Change To List and Trade Options on Shares of the Market Vectors ETFs Comments Due: View Received Comments Rel. No. 34-74304 , Rel. No. 34-74150 , Rel. No. 34-73212 Federal Register version (79 FR 47165)
34-72759
Aug. 5, 2014
SR-CHX-2014-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Section P of the Fee Schedule Concerning the Market Data Revenue Rebates Program Comments Due: Exhibit 5 Federal Register version (79 FR 46890)
34-72760
Aug. 5, 2014
SR-NASDAQ-2014-076
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Utilize a Trade Condition Modifier Comments Due: Federal Register version (79 FR 46892)
34-72761
Aug. 5, 2014
SR-ICEEU-2014-12
Notice of Filing of Proposed Rule Change to Liquidity Policies Relating to EMIR Comments Due: Rel. No. 34-73075 Federal Register version (79 FR 46894)
34-72762
Aug. 5, 2014
SR-ICC-2014-12
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise the ICC Treasury Policies and Procedures Comments Due: Federal Register version (79 FR 46896)
34-72765
Aug. 5, 2014
SR-FINRA-2014-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 23 Examination Program Comments Due: Exhibit 3A Federal Register version (79 FR 46898)
34-72766
Aug. 5, 2014
SR-FINRA-2014-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 24 Examination Program Comments Due: Exhibit 3A Federal Register version (79 FR 46887)
34-72751
Aug. 4, 2014
SR-Phlx-2014-23
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading Comments Due: View Received Comments Rel. No. 34-73291 , Rel. No. 34-72447 , Rel. No. 34-72119 Federal Register version (79 FR 46474)
34-72752
Aug. 4, 2014
SR-OCC-2014-17
Notice of Filing of Proposed Rule Change To Permit OCC To Adjust the Size of Its Clearing Fund Intra-Month and Clearing Member's Clearing Fund Contributions Intra-Month Comments Due: Federal Register version (79 FR 46490)
34-72748
Aug. 4, 2014
SR-NYSEArca-2014-46
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-72422 , Rel. No. 34-72064 Federal Register version (79 FR 46484)
34-72750
Aug. 4, 2014
SR-NYSE-2014-40
Notice of Filing of Proposed Rule Change Establishing the NYSE Best Quote & Trades Data Feed Comments Due: View Received Comments Rel. No. 34-73137 , 34-73553 Federal Register version (79 FR 46494)
34-72736
Aug. 1, 2014
SR-NASDAQ-2014-075
Notice of Filing and Immediate Effectiveness To Correct Language in the Text of Rule 4753 Comments Due: Exhibit 5 Federal Register version (79 FR 45860)
34-72742
Aug. 1, 2014
SR-CBOE-2014-059
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Market-Maker Quoting Obligations Comments Due: Exhibit 5 Federal Register version (79 FR 46282)
34-72741
Aug. 1, 2014
SR-C2-2014-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Market-Maker Quoting Obligations Comments Due: Exhibit 5 Federal Register version (79 FR 46286)
34-72730
July 31, 2014
SR-BYX-2014-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.24(a)(2) to Include Riskless Principal Orders To the Types of Orders that May Qualify as Retail Orders under the Retail Price Improvement Program Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 45857)
34-72717
July 30, 2014
SR-OCC-2014-14
Notice of Filing of Proposed Rule Change To Better Manage Risks Concentration and Other Risks Associated With Accepting Deposits of Common Stocks for Margin Purposes Comments Due: Rel. No. 34-73483 , Rel. No. 34-73483 Federal Register version (79 FR 45523)
34-72718
July 30, 2014
SR-OCC-2014-16
Notice of Filing of Proposed Rule Change to Apply Enhanced Post-Trade Price Reasonableness Checks on Confirmed Trades in Standardized Options and Futures Options to Increase the Likelihood that Erroneous Trades will be Identified and Voided Comments Due: View Received Comments
34-72719
July 30, 2014
SR-NYSEMKT-2014-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule, Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (79 FR 45502)
34-72720
July 30, 2014
SR-NYSEArca-2014-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services, Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (79 FR 45577)
34-72721
July 30, 2014
SR-NYSE-2014-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Related to Co-Location Services Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 45562)
34-72716
July 30, 2014
SR-NASDAQ-2014-073
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the First Trust Emerging Markets Local Currency Bond ETF of First Trust Exchange-Traded Fund III Comments Due: Rel. No. 34-73140 Federal Register version (79 FR 45535)
34-72711
July 29, 2014
SR-CHX-2014-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Use of Market Data Feeds by the Exchange Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 45570)
34-72713
July 29, 2014
SR-Phlx-2014-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Disclose Publicly the Sources of Data Used for Exchange Functions Comments Due: View Received Comments Federal Register version (79 FR 45544)
34-72709
July 29, 2014
SR-NYSEMKT-2014-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance Comments Due: View Received Comments Federal Register version (79 FR 45513)
34-72703
July 29, 2014
SR-NYSEArca-2014-04
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca, Inc.'s Rules by Revising the Order of Priority of Bids and Offers When Executing Orders in Open Outcry Comments Due: View Received Comments Rel. No. 34-72081 , Rel. No. 34-71733 , Rel. No. 34-71425 Federal Register version (79 FR 45535)
34-72708
July 29, 2014
SR-NYSEArca-2014-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance Comments Due: View Received Comments Federal Register version (79 FR 45572)
34-72710
July 29, 2014
SR-NYSE-2014-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance Comments Due: View Received Comments Federal Register version (79 FR 45511)
34-72700
July 29, 2014
SR-BX-2014-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Term Options Series Comments Due: Federal Register version (79 FR 45515)
34-72712
July 29, 2014
SR-BX-2014-037
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Disclose Publicly the Sources of Data Used for Exchange Functions Comments Due: View Received Comments Federal Register version (79 FR 45521)
34-72699
July 29, 2014
SR-NASDAQ-2014-074
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Term Options Series Comments Due: Federal Register version (79 FR 45506)
34-72705
July 29, 2014
SR-MSRB-2014-05
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, Regarding Continuing Education Requirements Comments Due: View Received Comments Exhibit 2 , Exhibit 5 , Rel. No. 34-73368 Federal Register version (79 FR 45529)
34-72706
July 29, 2014
SR-MSRB-2014-06
Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors; Proposed Amendments to Rule G-8, on Books and Records To Be Made by Brokers, Dealers and Municipal Securities Dealers; and Proposed Amendments to Rule G-9, on Preservation of Records Comments Due: View Received Comments Exhibit 2 , Exhibit 5 , Rel. No. 34-73415 Federal Register version (79 FR 45546)
34-72701
July 29, 2014
SR-ICC-2014-11
Notice of Filing of Proposed Rule Change To Revise Rules To Provide for the 2014 ISDA Definitions Comments Due: Exhibit 5a , Exhibit 5b , Rel. No. 34-73007 Federal Register version (79 FR 45565)
34-72704
July 29, 2014
SR-CBOE-2014-060
Notice of Filing of a Proposed Rule Change To Amend Rule 24.19 Comments Due: Exhibit 5 , Rel. No. 34-72892 Federal Register version (79 FR 45560)
34-72683
July 28, 2014
SR-EDGX-2014-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of EDGX Exchange, Inc. Comments Due: View Received Comments Federal Register version (79 FR 44950)
34-72691
July 28, 2014
SR-EDGX-2014-19
Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed Comments Due: Rel. No. 34-73099 Federal Register version (79 FR 44892)
34-72685
July 28, 2014
SR-BATS-2014-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of BATS Exchange, Inc. Comments Due: View Received Comments Federal Register version (79 FR 44889)
34-72688
July 28, 2014
SR-BATS-2014-028
Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed Comments Due: View Received Comments Rel. No. 34-73101 Federal Register version (79 FR 44941)
34-72687
July 28, 2014
SR-BYX-2014-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of BATS Y-Exchange, Inc. Comments Due: View Received Comments Federal Register version (79 FR 44926)
34-72690
July 28, 2014
SR-BYX-2014-011
Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed Comments Due: View Received Comments Rel. No. 34-73102 Federal Register version (79 FR 44929)
34-72682
July 28, 2014
SR-EDGA-2014-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of EDGA Exchange, Inc. Comments Due: View Received Comments Federal Register version (79 FR 44938)
34-72689
July 28, 2014
SR-EDGA-2014-16
Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed Comments Due: View Received Comments Rel. No. 34-73098 Federal Register version (79 FR 44917)
34-72680
July 28, 2014
SR-NYSEMKT-2014-63
Notice of Filing of Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented From the Exchange Comments Due: Rel. No. 34-73095 Federal Register version (79 FR 44953)
34-72679
July 28, 2014
SR-NYSEArca-2014-71
Notice of Filing of Proposed Rule Change Proposing To List and Trade Shares of Treesdale Rising Rates ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-73082 Federal Register version (79 FR 44878)
34-72686
July 28, 2014
SR-NYSEArca-2013-127
Notice of Filing of Amendments No. 2 and No. 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, No. 2, and No. 3, To List and Trade Shares of Nine Series of the IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Federal Register version (79 FR 44901)
34-72681
July 28, 2014
SR-NYSE-2014-39
Notice of Filing of Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented From the Exchange Comments Due: Rel. No. 34-73096 Federal Register version (79 FR 44906)
34-72684
July 28, 2014
SR-NASDAQ-2014-072
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Disclose Publicly the Sources of Data Used for Exchange Functions Comments Due: View Received Comments Federal Register version (79 FR 44956)
