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)
34-71977
April 21, 2014
SR-BX-2014-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Listing PHLX Proprietary Products Comments Due: Exhibit 5 Federal Register version (79 FR 23023)
34-71978
April 21, 2014
SR-NASDAQ-2014-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing PHLX Proprietary Products Comments Due: Exhibit 5 Federal Register version (79 FR 23036)
34-71981
April 21, 2014
SR-FINRA-2014-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending the Security Futures Risk Disclosure Statement Comments Due: Federal Register version (79 FR 23034)
34-71971
April 18, 2014
SR-CBOE-2014-037
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 22838)
34-71963
April 17, 2014
SR-EDGX-2014-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its ROOC Routing Option Under EDGX Rule 11.9(b)(2)(n) Comments Due: Exhibit 5 Federal Register version (79 FR 22739)
34-71962
April 17, 2014
SR-EDGA-2014-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its ROOC Routing Option Under EDGA Rule 11.9(b)(2)(n) Comments Due: Exhibit 5 Federal Register version (79 FR 22748)
34-71966
April 17, 2014
SR-NYSEMKT-2014-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY (Orders Defined) To Remove the Size Restriction on Contra-Party Participation on a Qualified Contingent Cross Order Comments Due: Exhibit 5 Federal Register version (79 FR 22741)
34-71960
April 17, 2014
SR-NYSEArca-2014-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Schedule for Implementing the Exchange's Recently Approved Retail Liquidity Program Pursuant to NYSE Arca Equities Rule 7.44 Comments Due: Federal Register version (79 FR 22746)
34-71965
April 17, 2014
SR-NYSEArca-2014-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 To Remove the Size Restriction on Contra-Party Participation on a Qualified Contingent Cross Order Comments Due: Exhibit 5 Federal Register version (79 FR 22737)
34-71961
April 17, 2014
SR-NASDAQ-2014-036
Notice of Filing of Proposed Rule Change To Clarify the Rule Governing the Operation of the Closing Cross in Circumstances Where a Pause Triggered Under the LULD Plan Would Be Triggered After 3:50 p.m. EST Comments Due: Exhibit 5 Federal Register version (79 FR 22744)
34-71959
April 17, 2014
SR-FINRA-2014-020
Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information) Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-72649 , Rel. No. 34-72332 , Rel. No. 34-72332A Federal Register version (79 FR 22734)
34-71964
April 17, 2014
4-536
Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., the Chicago Board Options Comments Due: Rel. No. 34-72137 Federal Register version (79 FR 22709)
34-71952
April 16, 2014
SR-NYSEMKT-2014-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes To Amend Certain of Its NYSE MKT Equities Rule Series (500 through 525) To Permit Additional Securities To Be Admitted to Dealings on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Comments Due: Exhibit 5 Federal Register version (79 FR 22558)
34-71956
April 16, 2014
SR-BX-2014-018
Notice of Filing 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: Federal Register version (79 FR 22565)
34-71953
April 16, 2014
SR-BOX-2014-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7130 (Execution and Price/Time Priority) To Include Public Customer Bid/Ask Volume Information in BOX's Proprietary High Speed Vendor Feed ("HSVF") Comments Due: Federal Register version (79 FR 22561)
34-71946
April 15, 2014
SR-NYSEArca-2014-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Regarding Transaction Fees and Credits Comments Due: Exhibit 5 Federal Register version (79 FR 22172)
34-71945
April 15, 2014
SR-NSCC-2014-802
Notice of Filing of Advance Notice to Enhance NSCC's Existing Parametric Value-at-Risk Margining Model Comments Due: Federal Register version (79 FR 22174)
34-71950
April 15, 2014
SR-C2-2014-009
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 22170)
34-71941
April 14, 2014
SR-BATS-2014-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 21986)
34-71939
April 14, 2014
SR-BYX-2014-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 21977)
34-71940
April 14, 2014
SR-BYX-2014-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (79 FR 21975)
34-71938
April 14, 2014
SR-NYSEArca-2013-144
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the ETSpreads HY Long Credit Fund, the ETSpreads HY Short Credit Fund, the ETSpreads IG Long Credit Fund, and the ETSpreads IG Short Credit Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-71618 , Rel. No. 34-71266 Federal Register version (79 FR 21981)
34-71935
April 11, 2014
SR-BATS-2014-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Federal Register version (79 FR 21827)
34-71936
April 11, 2014
SR-BYX-2014-006
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 21825)
34-71934
April 11, 2014
SR-NYSEMKT-2014-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Professional User Fees for NYSE Amex Options Market Data, Operative on April 1, 2014 Comments Due: Exhibit 5 Federal Register version (79 FR 21818)
34-71933
April 11, 2014
SR-NYSEARCA-2014-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Professional User Fees for NYSE Arca Options Market Data, Operative on April 1, 2014 Comments Due: Federal Register version (79 FR 21821)
34-71931
April 11, 2014
SR-NASDAQ-2014-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 4120(c)(8) With Respect to Initial Pricing of Certain Securities Not Subject to an Initial Public Offering Comments Due: Federal Register version (79 FR 21829)
34-71932
April 11, 2014
SR-ISE-2014-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .13 to Rule 504 Comments Due: Exhibit 5 Federal Register version (79 FR 21816)
34-71925
April 10, 2014
SR-NASDAQ-2014-031
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: View Received Comments Exhibit 5 Federal Register version (79 FR 21328)
34-71918
April 9, 2014
SR-EDGX-2014-09
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 21310)
34-71917
April 9, 2014
SR-EDGA-2014-08
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 21313)
34-71915
April 9, 2014
SR-ISE-Gemini-2014-12
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 21340)
34-71910
April 9, 2014
SR-OCC-2014-07
Notice of Filing of Proposed Rule Change To Eliminate Preferred Stock and Corporate Bonds as Acceptable Forms of Margin Assets and Make Additional, Conforming, Rule Changes Comments Due: Rel. No. 34-72206 , Rel. No. 34-72206 Federal Register version (79 FR 21319)
34-71909
April 9, 2014
SR-NYSEARCA-2014-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule To Change the Time By Which Purchase Orders and Redemption Orders Must Be Placed With Respect to the Market Vectors Low Volatility Commodity ETF and Market Vectors Long/Short Commodity ETF Comments Due: View Received Comments Federal Register version (79 FR 21337)
34-71912
April 9, 2014
SR-NYSEArca-2014-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Raise the Fee and Fee Cap for Market and Auction-Only Orders Executed in an Opening, Market Order or Trading Halt Auction; Modify the Fees Charges for Routing Orders To The New York Stock Exchange LLC; and Modify Certain Credits in the Basic Rate Pricing Comments Due: Exhibit 5 Federal Register version (79 FR 21308)
34-71913
April 9, 2014
SR-NASDAQ-2014-019
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Managed Municipal Fund of First Trust Exchange-Traded Fund III Comments Due: Rel. No. 34-71572 Federal Register version (79 FR 21333)
34-71914
April 9, 2014
SR-ISE-2014-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: 34-71914A Correction , Exhibit 5 Federal Register version (79 FR 21321)
34-71911
April 9, 2014
SR-FINRA-2014-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems Comments Due: Federal Register version (79 FR 21316)
34-71919
April 9, 2014
SR-FINRA-2014-018
Notice of Filing of a Proposed Rule Change To Establish a Fee Schedule for Alternative Trading System Volume Information Comments Due: View Received Comments Rel. No. 34-72280 Federal Register version (79 FR 21324)
34-71901
April 8, 2014
SR-Phlx-2014-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (79 FR 20955)
34-71906
April 8, 2014
SR-Phlx-2014-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Emergency and Extraordinary Market Conditions Comments Due: Federal Register version (79 FR 20949)
34-71898
April 8, 2014
SR-NYSEMKT-2014-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities Governing Pegging Interest Comments Due: Exhibit 5 Federal Register version (79 FR 20957)
34-71897
April 8, 2014
SR-NYSE-2014-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Governing Pegging Interest Comments Due: Exhibit 5 Federal Register version (79 FR 20953)
34-71900
April 8, 2014
SR-BX-2014-017
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (79 FR 20951)
34-71902
April 8, 2014
SR-NASDAQ-2014-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (79 FR 20946)
34-71899
April 8, 2014
SR-CBOE-2014-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-72267 Federal Register version (79 FR 20945)
34-71891
April 7, 2014
SR-Phlx-2013-113
Request for Comment and Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Offer a Customer Rebate Comments Due: View Received Comments Rel. No. 34-72633 , Rel. No. 34-70940 , Rel. No. 34-70866 Federal Register version (79 FR 20287)
34-71893
April 7, 2014
SR-OCC-2014-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Certain Enhancements and Clarifications With Respect to OCC's Indemnification of Its Directors, Officers and Other Personnel Comments Due: Federal Register version (79 FR 20272)
34-71889
April 7, 2014
SR-NYSEMKT-2014-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List for Certain Executions at the Opening Comments Due: Exhibit 5 Federal Register version (79 FR 20281)
34-71894
April 7, 2014
SR-NYSEArca-2014-30
Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of Hull Tactical US ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-73741 , Rel. No. 34-73320 , Rel. No. 34-72571 , Rel. No. 34-72214 Federal Register version (79 FR 20273)
34-71895
April 7, 2014
SR-NYSEArca-2014-10
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt NYSE Arca Equities Rule 8.900, Which Permits the Listing and Trading of Managed Portfolio Shares, and To List and Trade Shares of the ActiveShares SM Comments Due: View Received Comments Rel. No. 34-72901 , Rel. No. 34-72255 , Rel. No. 34-71588 Federal Register version (79 FR 20285)
