34-73409
Oct. 22, 2014
SR-CBOE-2014-015
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Complex Orders Comments Due: Rel. No. 34-72957 Federal Register version (79 FR 64240)
34-73393
Oct. 21, 2014
SR-ISEGemini-2014-27
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 63994)
34-73395
Oct. 21, 2014
SR-MIAX-2014-53
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Top of Market ("ToM") and AIS Data Feeds Comments Due: Federal Register version (79 FR 63979)
34-73394
Oct. 21, 2014
SR-ISE-2014-50
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 63992)
34-73392
Oct. 21, 2014
SR-FINRA-2014-044
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Implementation Date for the Supplemental Inventory Schedule Approved Pursuant to SR-FINRA-2014-025 Comments Due:
34-73397
Oct. 21, 2014
SR-BOX-2014-24
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 63982)
34-73391
Oct. 20, 2014
SR-FICC-2014-07
Notice of Filing of Proposed Rule Change To Amend the Clearing Rules of the Mortgage-Backed Securities Division To Establish a Membership Category and Minimum Financial Requirements for Insured Credit Unions Comments Due: Rel. No. 34-73735 Federal Register version (79 FR 63657)
34-73385
Oct. 17, 2014
SR-CFE-2014-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Exchange of Contract for Related Position Transactions and Minor Rule Violations Comments Due: Exhibit 4 Federal Register version (79 FR 63453)
34-73382
Oct. 17, 2014
SR-MIAX-2014-52
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Rule 1107 Concerning Exchange Arbitrations Comments Due: Federal Register version (79 FR 63196)
34-73384
Oct. 17, 2014
SR-ICC-2014-14
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Add Rules Related to the Clearing of Standard Western European Sovereign CDS Contracts Comments Due: Rel. No. 34-72941 Federal Register version (79 FR 63453)
34-73388
Oct. 17, 2014
SR-FICC-2014-801
Notice of No Objection to Advance Notice Filing, as Amended by Amendment No. 1, Concerning the Government Security Division's Inclusion of GCF Repo® Positions in Its Intraday Participant Clearing Fund Requirement Calculation, and Its Hourly Internal Surveillance Cycles Comments Due: Federal Register version (79 FR 63458)
34-73383
Oct. 17, 2014
4-678
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Miami International Securities Exchange, LLC Comments Due: Rel. No. 34-79974 , Rel. No. 34-79779 , Rel. No. 34-73641 Federal Register version (79 FR 63448)
34-73376
Oct. 16, 2014
SR-BATS-2014-026
Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval of a Proposed Rule Change To List and Trade Shares of Certain Funds of the Alpha Architect ETF Trust Comments Due: Rel. No. 34-73003 , Rel. No. 34-72636 Federal Register version (79 FR 63198)
34-73370
Oct. 16, 2014
SR-CME-2014-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to CME Rule 816 Comments Due: Federal Register version (79 FR 63194)
34-73371
Oct. 16, 2014
SR-CME-2014-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 850 Regarding Fees Comments Due: Federal Register version (79 FR 63186)
34-73372
Oct. 16, 2014
SR-NYSEMKT-2014-83
Notice of Filing of Proposed Rule Change in Connection With the Proposed Termination of the Amended and Restated Trust Agreement, Dated as of November 13, 2013 and Amended on June 2, 2014 By and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and Each of Jacques de Larosire de Champfeu, Alan Trager and John Shepard Reed, as Trustees Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-73740 Federal Register version (79 FR 63201)
34-73374
Oct. 16, 2014
SR-NYSEArca-2014-112
Notice of Filing of Proposed Rule Change in Connection With the Proposed Termination of the Amended and Restated Trust Agreement, Dated as of November 13, 2013 and Amended on June 2, 2014 By and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and Each of Jacques de Larosire de Champfeu, Alan Trager and John Shepard Reed, as Trustees Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-73740 Federal Register version (79 FR 63188)
34-73373
Oct. 16, 2014
SR-NYSE-2014-53
Notice of Filing of Proposed Rule Change in Connection With the Proposed Termination of the Amended and Restated Trust Agreement, Dated as of November 13, 2013 and Amended on June 2, 2014 by and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and Each of Jacques de Larosire de Champfeu, Alan Trager and John Shepard Reed, as Trustees Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-73740 Federal Register version (79 FR 63191)
34-73356
Oct. 15, 2014
SR-BATS-2014-045
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.16 of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 63011)
34-73359
Oct. 15, 2014
SR-BATS-2014-047
Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes Related to Fees for Use of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 62985)
34-73357
Oct. 15, 2014
SR-BYX-2014-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.16 of BATS Y-Exchange, Inc. Comments Due: Federal Register version (79 FR 62979)
34-73365
Oct. 15, 2014
SR-CME-2014-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Its Collateral Acceptance Practices for Its Base Guaranty Fund Comments Due: Federal Register version (79 FR 62998)
34-73351
Oct. 15, 2014
SR-NYSEMKT-2014-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15-Equities To Specify That Exchange Systems Can Publish Pre-Opening Indications and To Extend the Time Order Imbalance Information is Disseminated When an Opening Is Delayed Comments Due: Federal Register version (79 FR 62991)
34-73353
Oct. 15, 2014
SR-NYSEMKT-2014-89
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Amend Certain of Its Rules To Remove and Replace Obsolete References to Fixed Return Options With the Updated References to Binary Return Derivatives Contracts Comments Due: Exhibit 5 Federal Register version (79 FR 63007)
34-73367
Oct. 15, 2014
SR-NYSEMKT-2014-86
Notice of Filing of Proposed Rule Change Modifying Its Quote Mitigation Plan and Amending Rule 970NY and Rule 970.1NY Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-75190 , Rel. No. 34-74087 , Rel. No. 34-73718 Federal Register version (79 FR 63009)
34-73362
Oct. 15, 2014
SR-NYSEArca-2014-117
Notice of Filing of Proposed Rule Change Modifying Its Quote Mitigation Plan and Amending Rule 6.86 Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-75191 , Rel. No. 34-74088 , Rel. No. 34-73720 Federal Register version (79 FR 62983)
34-73364
Oct. 15, 2014
SR-NYSEArca-2014-89
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Shares of Eight PIMCO Exchange-Traded Funds Comments Due: Rel. No. 34-74407 , Rel. No. 34-73706 , Rel. No. 34-72937 , Rel. No. 34-74842 Federal Register version (79 FR 62988)
34-73352
Oct. 15, 2014
SR-NYSE-2014-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 To Specify That Exchange Systems Can Publish Pre-Opening Indications and To Extend the Time Order Imbalance Information Is Disseminated When an Opening is Delayed Comments Due: Federal Register version (79 FR 63005)
34-73358
Oct. 15, 2014
SR-NSCC-2014-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 52 (Mutual Fund Services) and Addendum A (Fee Structure) With Respect to the DTCC Payment aXis Service, and To Make Certain Technical Changes Comments Due: Exhibit 5 Federal Register version (79 FR 62977)
34-73354
Oct. 15, 2014
SR-CBOE-2014-075
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Order Routing Subsidy Program and the Complex Order Routing Subsidy Program Comments Due: Exhibit 5 Federal Register version (79 FR 62988)
34-73355
Oct. 15, 2014
SR-CBOE-2014-073
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Margin Treatment of Over-the-Counter Options Contracts Cleared by The Options Clearing Corporation Comments Due: Federal Register version (79 FR 62995)
34-73343
Oct. 14, 2014
SR-OCC-2014-805
Notice of Filing 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. 34-73710 Federal Register version (79 FR 62684)
34-73346
Oct. 14, 2014
SR-NYSEMKT-2014-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Amendments to Reflect Recent Deletion of Rule 343-Equities Comments Due: Federal Register version (79 FR 62693)
34-73349
Oct. 14, 2014
SR-ISE-2014-47
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 62691)
34-73344
Oct. 14, 2014
SR-ICEEU-2014-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to EMIR Requirements Comments Due: Federal Register version (79 FR 62694)
34-73348
Oct. 14, 2014
SR-ICEEU-2014-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rules and Procedures Comments Due: Federal Register version (79 FR 62688)
34-73347
Oct. 14, 2014
SR-ICC-2014-16
Notice of Filing of Proposed Rule Change Related to ICC's Use of House Initial Margin as an Internal Liquidity Resource Comments Due: Rel. No. 34-73666 Federal Register version (79 FR 62683)
34-73342
Oct. 10, 2014
SR-NYSEArca-2014-114
Notice of Filing of 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. 34-73659 Federal Register version (79 FR 62492)
34-73340
Oct. 10, 2014
SR-FINRA-2014-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Implementation Date of Market Participant Identifier Requirements for Alternative Trading Systems Comments Due: Federal Register version (79 FR 62500)
34-73338
Oct. 10, 2014
SR-CBOE-2014-076
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a Pilot Program Comments Due: Exhibit 5 Federal Register version (79 FR 62502)
34-73330
Oct. 9, 2014
SR-Phlx-2014-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Floor Procedure Advice F-27, Options Exchange Official Rulings Comments Due: Federal Register version (79 FR 62239)
34-73329
Oct. 9, 2014
SR-NYSEARCA-2014-115
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Retail Liquidity Program and NYSE Arca Equities Rule 7.44 To Provide That Retail Price Improvement Orders That Are Not Priced Better Than the Best Protected Bid or Best Protected Offer Will Not Be Rejected Upon Entry Comments Due: Exhibit 5 Federal Register version (79 FR 62227)
34-73331
Oct. 9, 2014
SR-NYSEArca-2014-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Use of Derivative Instruments by Certain PIMCO Exchange-Traded Funds Comments Due:
34-73325
Oct. 9, 2014
SR-NYSE-2014-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Amendments To Reflect Recent Deletion of Rule 343 Comments Due: Federal Register version (79 FR 62229)
34-73326
Oct. 9, 2014
SR-MIAX-2014-51
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 62233)
34-73328
Oct. 9, 2014
SR-MIAX-2014-50
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 62230)
34-73332
Oct. 9, 2014
SR-FINRA-2014-043
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt as Permanent the Limited Fee Waiver Pilot Program Pursuant to FINRA Rule 7730 Comments Due: Exhibit 5 Federal Register version (79 FR 62221)
34-73327
Oct. 9, 2014
SR-CBOE-2014-072
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 62237)
34-73317
Oct. 8, 2014
SR-ISEGemini-2014-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 723 To Add a New PIM ISO Order Type Comments Due: Exhibit 5 Federal Register version (79 FR 61911)
34-73320
Oct. 8, 2014
SR-NYSEArca-2014-30
Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of Hull Tactical US ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-73741 , Rel. No. 34-72571 , Rel. No. 34-72214 , Rel. No. 34-71894 Federal Register version (79 FR 61911)
34-73321
Oct. 8, 2014
SR-NYSEArca-2014-113
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting Changes in the Concentration Policies of ARK Innovation ETF and ARK Genomic Revolution ETF as Well as a Change in the Name of the ARK Genomic Revolution ETF to the ARK Genomic Revolution Multi-Sector ETF Comments Due: Federal Register version (79 FR 61922)
34-73318
Oct. 8, 2014
SR-ISE-2014-49
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 723 to Add a New PIM ISO Order Type Comments Due: Exhibit 5 Federal Register version (79 FR 61920)
34-73311
Oct. 7, 2014
SR-Phlx-2014-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 705 (Fidelity Bonds) Comments Due: Federal Register version (79 FR 61674)
34-73315
Oct. 7, 2014
SR-NASDAQ-2014-097
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Algo Test Facility Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 61672)
34-73316
Oct. 7, 2014
SR-FINRA-2014-040
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Operative Date for Deletion of Rule 7740 Pursuant to SR-FINRA-2014-032 Comments Due: Federal Register version (79 FR 61913)
34-73314
Oct. 7, 2014
SR-BOX-2014-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs That Permit the Exchange To Have No Minimum Size Requirement for Orders Entered Into the PIP ("PIP Pilot Program") and COPIP ("COPIP Pilot Program") Until December 18, 2014 Comments Due: Exhibit 5 Federal Register version (79 FR 61682)
34-73302
Oct. 6, 2014
SR-NYSEMKT-2014-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change That Constitutes a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 46-Equities Comments Due: Federal Register version (79 FR 61355)
34-73304
Oct. 6, 2014
SR-NYSE-2014-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change That Constitutes a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 46 Comments Due: Federal Register version (79 FR 61360)
34-73305
Oct. 6, 2014
SR-BX-2014-047
Notice of Filing of Proposed Rule Change To Amend Fees for Optional Wireless Connectivity for Co-Located Clients Comments Due: Exhibit 5 Federal Register version (79 FR 61362)
34-73303
Oct. 6, 2014
SR-NASDAQ-2014-096
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 61358)
34-73308
Oct. 6, 2014
SR-ISE-2014-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Reference to Exchange Act Rule 10C-1 in the Exchange's Rules Concerning Unlisted Trading Privileges Comments Due: Exhibit 5 Federal Register version (79 FR 61364)
34-73306
Oct. 6, 2014
SR-C2-2014-025
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 61357)
34-73296
Oct. 3, 2014
SR-BATS-2014-044
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.13 and 21.9 of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 61121)
34-73295
Oct. 3, 2014
SR-BYX-2014-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 61117)
34-73299
Oct. 3, 2014
SR-FINRA-2014-041
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) Comments Due: Exhibit 5 Federal Register version (79 FR 61120)
34-73287
Oct. 2, 2014
SR-CME-2014-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Amendments to CME ClearPort Hours for Certain Commodity Index Cleared OTC Swap Contracts Comments Due: Federal Register version (79 FR 60879)
34-73290
Oct. 2, 2014
SR-CME-2014-31
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 2, Related to Clearing of Certain iTraxx Europe Index Untranched CDS Contracts on Indices Administered by Markit Rel. No. 34-73626 , Rel. No. 34-73275 , Rel. No. 34-72833 Federal Register version (79 FR 60873)
34-73286
Oct. 2, 2014
SR-PHLX-2014-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 60 Comments Due: Federal Register version (79 FR 60883)
34-73288
Oct. 2, 2014
SR-NYSEArca-2014-109
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Modify the Fees That It Charges for Routing Orders to the New York Stock Exchange LLC Comments Due: Exhibit 5 Federal Register version (79 FR 60882)
34-73289
Oct. 2, 2014
SR-FINRA-2014-039
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of the Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050 Comments Due: Federal Register version (79 FR 60874)
34-73275
Oct. 1, 2014
SR-CME-2014-31
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Related to Clearing of Certain iTraxx Europe Index Untranched CDS Contracts on Indices Administered by Markit Comments Due: Rel. No. 34-73626 , Rel. No. 34-73290 , Rel. No. 34-72833 Federal Register version (79 FR 60563)
34-73283
Oct. 1, 2014
SR-CME-2014-28
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 2, Related to Enhancements to Its Risk Model for Credit Default Swaps Rel. No. 34-73627 , Rel. No.34-72959 , Rel. No. 34-72834 Federal Register version (79 FR 60563)
34-73280
Oct. 1, 2014
SR-NYSEMKT-2014-81
Notice of Filing of Proposed Rule Change 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 Exhibit 5 , Rel. No. 34-73817 , Rel. No. 34-73669 Federal Register version (79 FR 60553)
34-73284
Oct. 1, 2014
SR-NYSEMKT-2014-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 900.2NY To Codify the Terms Complex BBO and Complex NBBO and To Amend Exchange Rule 900.3NY(w) To Revise the Definition of a PNP Plus Order Comments Due: Exhibit 5 Federal Register version (79 FR 60560)
34-73281
Oct. 1, 2014
SR-NYSEArca-2014-110
Notice of Filing of Proposed Rule Change 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 Exhibit 5 , Rel. No. 34-73818 , Rel. No. 34-73668 Federal Register version (79 FR 60552)
34-73279
Oct. 1, 2014
S7-24-89
Notice of Filing and Immediate Effectiveness of Amendment No. 33 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Rel. No. 34-73448 , Rel. No. 34-73239 Federal Register version (79 FR 60522)
34-73278
Oct. 1, 2014
SR-CTA/CQ-2014-03
Notice of Filing and Immediate Effectiveness of the Twenty-First Charges Amendment to the Second Restatement of the CTA Plan and Twelfth Charges Amendment to the Restated CQ Plan Comments Due: View Received Comments Federal Register version (79 FR 60536)
34-73285
Oct. 1, 2014
SR-CTA/CQ-2014-02
Notice of Filing and Immediate Effectiveness of the Twentieth Substantive Amendment to the Second Restatement of the CTA Plan and Fourteenth Substantive Amendment to the Restated CQ Plan Comments Due: View Received Comments Rel. No. 34-73457 Federal Register version (79 FR 60555)
34-73276
Oct. 1, 2014
SR-ISE-2014-41
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 60545)
34-73258
Sept. 30, 2014
SR-CME-2014-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Settlement Procedures Regarding a CME Cleared OTC FX Spot, Forward and Swap Contract Comments Due: Federal Register version (79 FR 60221)
34-73259
Sept. 30, 2014
SR-CME-2014-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Acceptance of a New Series of Credit Default Swap Index Product Comments Due: Federal Register version (79 FR 60211)
34-73268
Sept. 30, 2014
SR-CHX-2014-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt and Amend Fees for the CHX Routing Services Comments Due: Exhibit 5 Federal Register version (79 FR 60205)
34-73257
Sept. 30, 2014
SR-OCC-2014-806
Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal to Enter a New Credit Facility Agreement Comments Due: Federal Register version (79 FR 60214)
34-73255
Sept. 30, 2014
SR-NYSEMKT-2014-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 900.3NY (Orders Defined) To Delete WAIT Orders From Its Rules Comments Due: Exhibit 5 Federal Register version (79 FR 60217)
34-73256
Sept. 30, 2014
SR-NYSEARCA-2014-111
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 (Certain Types of Orders Defined) by Deleting WAIT Orders From Its Rules Comments Due: Exhibit 5 Federal Register version (79 FR 60212)
34-73267
Sept. 30, 2014
SR-NYSEArca-2014-108
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 6.1A To Codify the Terms Complex BBO and Complex NBBO and To Amend Rule 6.62(y) To Revise the Definition of a PNP Plus Order Comments Due: Exhibit 5 Federal Register version (79 FR 60223)
34-73265
Sept. 30, 2014
SR-NYSE-2014-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 102.01C of the NYSE Listed Company Manual To Adopt a New Global Market Capitalization Test Initial Listing Standard for Operating Companies and To Eliminate All of the Current Initial Listing Standards for Operating Companies Except the Earnings Test Comments Due: Exhibit 5 Federal Register version (79 FR 60218)
34-73266
Sept. 30, 2014
SR-NASDAQ-2014-095
Notice of Filing of Proposed Rule Change To Provide a New Optional Functionality to Minimum Quantity Orders Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-73959 , Rel. No. 34-73621 Federal Register version (79 FR 60207)
34-73261
Sept. 30, 2014
SR-ISE-2014-43
Notice of Filing of Proposed Rule Change Amending Its Information Barrier Rules Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-74521 , Rel. No. 34-73973 , Rel. No. 34-73614 Federal Register version (79 FR 60226)
34-73246
Sept. 29, 2014
SR-Phlx-2014-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Period of the New Options Floor Broker Management System Until November 3, 2014 Comments Due: View Received Comments Federal Register version (79 FR 59874)
34-73234
Sept. 26, 2014
SR-BATS-2014-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(c) To Adopt a Supplemental Peg Order Comments Due: Exhibit 5 Federal Register version (79 FR 59527)
34-73237
Sept. 26, 2014
SR-BATS-2014-043
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 11.24 To Permit Members To Designate Their Retail Orders To Be Identified as Retail on the Exchange's Proprietary Data Feeds Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 59537)
34-73235
Sept. 26, 2014
SR-BYX-2014-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(c) To Adopt a Supplemental Peg Order Comments Due: Exhibit 5 Federal Register version (79 FR 59524)
34-73236
Sept. 26, 2014
SR-BYX-2014-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.24 To Permit Members To Designate Their Retail Orders To Be Identified as Retail on the Exchange's Proprietary Data Feeds Comments Due: Exhibit 5 Federal Register version (79 FR 59541)
34-73232
Sept. 26, 2014
SR-CME-2014-30
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to 2014 ISDA Definitions Comments Due: Rel. No. 34-72837 Federal Register version (79 FR 59544)
34-73239
Sept. 26, 2014
S7-24-89
Notice of Filing of Amendment No. 32 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Arca, Inc. and NYSE MKT, LLC Comments Due: Rel. No. 34-73448 , Rel. No. 34-73279 Federal Register version (79 FR 60203)
34-73231
Sept. 26, 2014
SR-ICC-2014-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Implementation of the Revised 2014 ISDA Credit Derivatives Definitions Comments Due: Federal Register version (79 FR 59535)
34-73238
Sept. 26, 2014
SR-FINRA-2014-038
Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 3110(e) (Responsibility of Member To Investigate Applicants for Registration) in the Consolidated FINRA Rulebook Comments Due: View Received Comments 34-73210 Federal Register version (79 FR 59884)
34-73221
Sept. 25, 2014
SR-BYX-2014-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. Comments Due: Federal Register version (79 FR 59335)
34-73217
Sept. 25, 2014
SR-EDGA-2014-20
Notice of Designation of Longer Period for Commission Action on 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 Rel. No. 34-73592 , Rel. No. 34-72812 Federal Register version (79 FR 59336)
