34-72502
July 1, 2014
SR-BX-2014-035
Notice of Filing of Proposed Rule Change Relating to Market Maker Quoting Obligations and the Introduction of a Lead Market Maker Comments Due: Exhibit 5 , Rel. No. 34-72883 Federal Register version (79 FR 38620)
34-72497
June 30, 2014
SR-OC-2014-03
Notice of Filing of a Proposed Rule Change To Update OCX's Rulebook for a Filing Previously Made With the Commodity Futures Trading Commission Comments Due: Exhibit 4 Federal Register version (79 FR 38343)
34-72498
June 30, 2014
SR-NFA-2014-04
Notice of Filing of Proposed Rule Change to the Interpretive Notice to NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms Comments Due: Federal Register version (79 FR 38349)
34-72499
June 30, 2014
SR-C2-2014-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exchange's Quote Risk Monitor Mechanism Comments Due: Federal Register version (79 FR 38345)
34-72489
June 27, 2014
SR-ISEGemini-2014-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Rule 720A Comments Due: Federal Register version (79 FR 38086)
34-72488
June 27, 2014
SR-NSCC-2014-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Broaden the Scope of the Licensing and Appointments Service and To Amend NSCC's Fee Structure Comments Due: Exhibit 5 Federal Register version (79 FR 38098)
34-72493
June 27, 2014
SR-NASDAQ-2014-063
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the Arrow DWA Balanced ETF, Arrow DWA Tactical ETF and Arrow DWA Tactical Yield ETF of Arrow Investments Trust Comments Due: Rel. No. 34-72809 Federal Register version (79 FR 38088)
34-72492
June 27, 2014
SR-MIAX-2014-30
Notice of Filing of a Proposed Rule Change by Miami International Securities Exchange LLC 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. 34-72835 Federal Register version (79 FR 38099)
34-72490
June 27, 2014
SR-ISE-2014-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Rule 720A Comments Due: Federal Register version (79 FR 38105)
34-72491
June 27, 2014
SR-FINRA-2014-028
Notice of Filing of a Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator Comments Due: View Received Comments Rel. No. 34-74383 , Rel. No. 34-73277 Federal Register version (79 FR 38080)
34-72495
June 27, 2014
SR-CBOE-2014-026
Notice of Withdrawal of Proposed Rule Change To Amend Rule 24.19 Comments Due: View Received Comments Rel. No. 34-71872 Federal Register version (79 FR 38080)
34-72478
June 26, 2014
SR-CME-2014-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Collateral Acceptance Practices for Products in the Base Guaranty Fund Comments Due: Federal Register version (79 FR 37784)
34-72479
June 26, 2014
SR-FINRA-2014-026
Notice of Filing of a Proposed Rule Change To Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes To Increase Arbitrator Honoraria and Increase Certain Arbitration Fees Comments Due: View Received Comments Rel. No. 34-73245 Federal Register version (79 FR 37786)
34-72484
June 26, 2014
SR-FINRA-2014-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Options Exercise Procedures Comments Due: Federal Register version (79 FR 37822)
34-72482
June 26, 2014
SR-CBOE-2014-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Strike Settings for Mini-S&P 500 Index Options Comments Due: Federal Register version (79 FR 37825)
34-72477
June 26, 2014
SR-BOX-2014-16
Notice of Filing of Proposed Rule Change To Adopt New Trade Allocation Algorithms for Matching Trades at the Conclusion of the PIP and COPIP Comments Due: Exhibit 5 , Rel. No. 34-72848 Federal Register version (79 FR 37798)
34-72483
June 26, 2014
SR-BOX-2014-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Interpretive Material to Rule 5050 (Series of Options Contracts Open for Trading) and Rule 6090 (Terms of Index Options Contracts) To Introduce Finer Strike Price Intervals for Standard Expiration Contracts in Option Classes That Also Have Short Term Options Listed on Them Comments Due: Federal Register version (79 FR 37820)
34-72465
June 25, 2014
SR-CME-2014-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to Its OTC IRS Fee Schedule Comments Due: Federal Register version (79 FR 37371)
34-72466
June 25, 2014
SR-ISE-Gemini-2014-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Price Improvement Mechanism Pilot Program Comments Due: Federal Register version (79 FR 37378)
34-72473
June 25, 2014
SR-Phlx-2014-34
Notice of Withdrawal of Proposed Rule Change To Delete the PHOTO Historical Data Product From Section IX of the Exchange's Options Fee Schedule Comments Due: Rel. No. 34-72225 Federal Register version (79 FR 37384)
34-72469
June 25, 2014
SR-NYSEMKT-2014-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule by Adopting Fees and Rebates for a New Electronic Crossing Mechanism Called the CUBE Auction Comments Due: View Received Comments Federal Register version (79 FR 37380)
34-72467
June 25, 2014
SR-ISE-2014-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Price Improvement Mechanism Pilot Program Comments Due: Federal Register version (79 FR 37377)
34-72453
June 24, 2014
SR-NYSEArca-2014-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect Changes to the Name of, and the Means of Seeking the Investment Objective Applicable to, the PIMCO Real Return Exchange-Traded Fund Comments Due: Federal Register version (79 FR 36851)
34-72458
June 24, 2014
SR-NYSEArca-2014-56
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Listing and Trading of Shares of the PIMCO Income Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 Comments Due: 34-73598 , Rel. No. 34-72867 , Rel. No. 34-72170 Federal Register version (79 FR 36849)
34-72459
June 24, 2014
SR-FINRA-2014-010
Notice of Withdrawal of Proposed Rule Change To Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices) Rel. No. 34-71786 Federal Register version (79 FR 36855)
34-72447
June 23, 2014
SR-Phlx-2014-23
Notice of Designation of Longer Period for Commission Action on 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 Rel. No. 34-73291 , Rel. No. 34-72751 , Rel. No. 34-72119 Federal Register version (79 FR 36569)
34-72441
June 20, 2014
SR-OC-2014-02
Notice of Filing of Proposed Rule Change To Update OCX's Rulebook for Filings Previously Made with the Commodity Futures Trading Commission Comments Due: Exhibit 4 Federal Register version (79 FR 36351)
34-72439
June 20, 2014
SR-NYSEArca-2014-47
Notice of Filing of Amendments No. 2 and No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3 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. 34-72068 Federal Register version (79 FR 36361)
34-72442
June 20, 2014
SR-NASDAQ-2014-066
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of the Nasdaq Opening Cross Contingency Comments Due: Federal Register version (79 FR 36349)
34-72444
June 20, 2014
SR-FINRA-2014-025
Notice of Filing of a Proposed Rule Change To Adopt a Supplemental Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) Comments Due: View Received Comments Federal Register version (79 FR 36357)
34-72433
June 19, 2014
SR-NYSEArca-2014-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Holdings in Equity Securities by the Peritus High Yield ETF Comments Due: Federal Register version (79 FR 36114)
34-72436
June 19, 2014
SR-NYSEArca-2014-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Use of U.S. Exchange-Listed Options by the AdvisorShares EquityPro ETF (Formerly, the Global Alpha & Beta ETF) Comments Due: Federal Register version (79 FR 36118)
34-72432
June 19, 2014
SR-DTC-2014-08
Notice of Filing of Proposed Rule Change To Transfer the NIIDS Service to a Non-Clearing Agency Affiliate Comments Due: Exhibit 5 , Rel. No. 34-72763 Federal Register version (79 FR 36116)
34-72420
June 18, 2014
SR-CME-2014-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Fee Waiver Program for Certain OTC FX Cleared-Only Products Comments Due: Federal Register version (79 FR 35838)
34-72422
June 18, 2014
SR-NYSEArca-2014-46
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, 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. 34-72748 , Rel. No. 34-72064 Federal Register version (79 FR 35832)
34-72426
June 18, 2014
SR-NASDAQ-2014-035
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 AdvisorShares Sunrise Global Multi-Strategy ETF of AdvisorShares Trust Comments Due: View Received Comments Rel. No. 34-72077 Federal Register version (79 FR 35825)
34-72425
June 18, 2014
SR-MSRB-2014-04
Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Classification of Principals and Representatives, Numerical Requirements, Testing, Continuing Education Requirements; Rule G-7, on Information Concerning Associated Persons; and Rule G-27, on Supervision Comments Due: View Received Comments Exhibit 2 , Exhibit 5 , Rel. No. 34-72743 Federal Register version (79 FR 35829)
34-72418
June 18, 2014
SR-MIAX-2014-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A Comments Due: Federal Register version (79 FR 35833)
34-72421
June 18, 2014
SR-ICEEU-2014-07
Notice of Filing of Proposed Rule Change Related to List of Permitted Cover Comments Due: Rel. No. 34-72755 Federal Register version (79 FR 35823)
34-72413
June 17, 2014
SR-CME-2014-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Physical Delivery of CLS-Eligible Foreign Currencies Comments Due: Federal Register version (79 FR 35607)
34-72406
June 17, 2014
SR-BX-2014-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exercise Limits Comments Due: Exhibit 5 Federal Register version (79 FR 35623)
34-72407
June 17, 2014
SR-NASDAQ-2014-064
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exercise Limits Comments Due: Exhibit 5 Federal Register version (79 FR 35602)
34-72412
June 17, 2014
SR-NASDAQ-2014-065
Notice of Filing of Proposed Rule Change To Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares Commodities Trust I Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-74299 , Rel. No. 34-73843 , Rel. No. 34-73142 , Rel. No. 34-72779 Federal Register version (79 FR 35610)
34-72408
June 17, 2014
SR-MIAX-2014-28
Notice of Filing of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Rule 515 Comments Due: Rel. No. 34-72747 Federal Register version (79 FR 35625)
34-72410
June 17, 2014
SR-MIAX-2014-27
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Establish a Billing Dispute Practice Comments Due: Federal Register version (79 FR 35605)
34-72405
June 17, 2014
SR-ICEEU-2014-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearance of New Energy Futures and Options Contracts Comments Due: Federal Register version (79 FR 35604)
34-72398
June 16, 2014
SR-ISEGemini-2014-15
Notice of Filing of a Proposed Rule Change on Bid/Offer Differentials for In-The-Money Option Series Comments Due: Exhibit 5 , Rel. No. 34-72739 Federal Register version (79 FR 35397)
34-72395
June 16, 2014
SR-Phlx-2014-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing in Multiply Listed Options Comments Due: Exhibit 5 Federal Register version (79 FR 35391)
34-72399
June 16, 2014
SR-ISE-2014-31
Notice of Filing of a Proposed Rule Change on Bid/Offer Differentials for In-The-Money Option Series Comments Due: Exhibit 5 , Rel. No. 34-72740 Federal Register version (79 FR 35396)
34-72396
June 16, 2014
SR-FICC-2014-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove References to New York Portfolio Clearing, LLC in the Rules of the Government Securities Division and in the Cross-Margining Agreement With the Chicago Mercantile Exchange Comments Due: Exhibit 5 Federal Register version (79 FR 35400)
34-72392
June 13, 2014
SR-CFE-2014-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Notification and Reporting Provisions for Exchange of Contract for Related Position Transactions and Block Trades Comments Due: Federal Register version (79 FR 35196)
34-72387
June 13, 2014
SR-CHX-2014-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Obsolete Rule Language and To Permit the Exchange To Enable or Disable Trade Adjustment Functionalities Pursuant to Notice Comments Due: Exhibit 5 Federal Register version (79 FR 35206)
34-72389
June 13, 2014
SR-NYSEMKT-2014-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 971.1NY(c)(4)(D) To Add Specificity Regarding When a Customer Best Execution Auction Would Conclude Early Comments Due: Exhibit 5 Federal Register version (79 FR 35201)
34-72385
June 13, 2014
SR-NYSEArca-2014-41
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 4 Thereto, Relating to Listing and Trading of Shares of the Reality Shares DIVS Index ETF Under NYSE Arca Equities Rule 5.2(j)(3) Comments Due: View Received Comments Rel. No. 34-73631 , Rel. No. 34-72714 , Rel. No. 34-72015 Federal Register version (79 FR 35205)
34-72386
June 13, 2014
SR-BX-2014-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Under Exchange Rule 7018(a) With Respect to Transactions in Securities Priced at $1 per Share or More Comments Due: Exhibit 5 Federal Register version (79 FR 35194)
34-72384
June 13, 2014
SR-NASDAQ-2014-038
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of the Reality Shares NASDAQ-100 DIVS 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. 34-72014 Federal Register version (79 FR 35205)
34-72391
June 13, 2014
SR-DTC-2013-11
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether the Approve or Disapprove 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. 34-72860 , Rel. No. 34-71745 , Rel. No. 34-71132 Federal Register version (79 FR 35193)
34-72388
June 13, 2014
SR-CBOE-2014-049
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 35200)
34-72390
June 13, 2014
SR-CBOE-2014-050
Notice of Filing of a Proposed Rule Change Relating to Trade Nullification and Price Adjustment Comments Due: Rel. No. 34-72866 Federal Register version (79 FR 35198)
34-72374
June 12, 2014
SR-EDGX-2014-16
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 34803)
34-72371
June 12, 2014
SR-BATS-2014-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (79 FR 34810)
34-72376
June 12, 2014
SR-BATS-2014-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 34817)
34-72377
June 12, 2014
SR-BATS-2014-024
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 34822)
34-72375
June 12, 2014
SR-EDGA-2014-14
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 34808)
34-72381
June 12, 2014
SR-NYSEARCA-2014-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Add an Additional Requirement To Qualify for Step Up Tier 3 Comments Due: Federal Register version (79 FR 34819)
34-72378
June 12, 2014
SR-NASDAQ-2014-062
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates Comments Due: Exhibit 5 Federal Register version (79 FR 34814)
34-72379
June 12, 2014
SR-ISE-2014-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 34812)
34-72361
June 10, 2014
SR-BX-2014-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Joint Back Office Pricing Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 34374)
34-72357
June 10, 2014
SR-NASDAQ-2014-059
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Global X Commodities ETF of Global X Funds Comments Due: View Received Comments Rel. No. 34-72728 Federal Register version (79 FR 34376)
34-72362
June 10, 2014
SR-NASDAQ-2014-060
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Joint Back Office Pricing Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 34372)
34-72355
June 10, 2014
SR-MIAX-2014-25
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 34368)
34-72356
June 10, 2014
SR-MIAX-2014-26
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 34384)
34-72358
June 10, 2014
SR-ICC-2014-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the ICC Risk Management Framework Comments Due: Federal Register version (79 FR 34371)
34-72346
June 9, 2014
SR-BATS-2014-022
Notice of a Proposed Rule Change to Amend the Competitive Liquidity Provider Program Comments Due: Exhibit 5 , Rel. No. 34-72692 Federal Register version (79 FR 33982)
34-72351
June 9, 2014
SR-Phlx-2014-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 1080.08 Comments Due: Federal Register version (79 FR 33977)
34-72347
June 9, 2014
SR-NYSEArca-2014-20
Notice of Filing of Amendment Nos. 3 and 5 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 3 and 5, Relating to the Listing and Trading of Shares of Reality Shares DIVS ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-73081 , Rel. No. 34-72000 , Rel. No. 34-71686 Federal Register version (79 FR 33964)
34-72349
June 9, 2014
SR-NYSEArca-2014-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect a Change to the Reference Index Relating to the Columbia Select Large Cap Value ETF Comments Due: Federal Register version (79 FR 33973)
34-72348
June 9, 2014
SR-BOX-2014-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (79 FR 33976)
34-72343
June 6, 2014
SR-NYSEMKT-2014-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 33790)
34-72342
June 6, 2014
SR-NYSEArca-2014-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Floor Booth Fees Comments Due: Exhibit 5 Federal Register version (79 FR 33791)
34-72344
June 6, 2014
SR-NSCC-2014-07
Notice of Filing of Proposed Rule Change To Implement a New Scorecard Feature to the Mutual Fund Profile Service Comments Due: Exhibit 5 , Rel. No. 34-72657 Federal Register version (79 FR 33793)
34-72333
June 5, 2014
SR-BATS-2014-019
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 33630)
34-72324
June 5, 2014
SR-CHX-2014-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Create a Uniform Taxonomy for CHX Rules and To Amend Certain Cross-References Comments Due: Exhibit 5 Federal Register version (79 FR 33611)
34-72330
June 5, 2014
SR-OCC-2014-11
Notice of Filing of Proposed Rule Change To Correct an Inadvertent Omission in a Prior Proposed Rule Change Concerning OCC's Clearing Fee Schedule Comments Due: Federal Register version (79 FR 33610)
34-72331
June 5, 2014
SR-OCC-2014-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide for the Calculation of Initial Margin Requirements for Segregated Futures Accounts Through the Use of the Standard Portfolio Analysis of Risk Margin Calculation System Comments Due: Federal Register version (79 FR 33607)
34-72326
June 5, 2014
SR-NYSEMKT-2014-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT BBO Market Data Product Offering Comments Due: Federal Register version (79 FR 33605)
34-72327
June 5, 2014
SR-NYSE-2014-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE BBO Market Data Product Offering Comments Due: Federal Register version (79 FR 33625)
34-72328
June 5, 2014
SR-NASDAQ-2014-034
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Proposed Changes To Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of "Third-Party Data" Comments Due: Rel. No. 34-73550 , Rel. No. 34-73416 , Rel. No. 34-72654 , Rel. No. 34-71990 Federal Register version (79 FR 33605)
34-72332
June 5, 2014
SR-FINRA-2014-020
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information Rel. No. 34-72649 , Rel. No. 34-71959 , Rel. No. 34-72332A Federal Register version (79 FR 33625)
34-72332A
June 5, 2014
SR-FINRA-2014-020
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information; Correction Rel. No. 34-72649 , Rel. No. 34-71959 , Rel. No. 34-72332 Federal Register version (79 FR 35194)
34-72325
June 5, 2014
SR-CBOE-2014-048
Notice of Filing of a Proposed Rule Change Relating to the Give Up of a Clearing Trading Permit Holder Comments Due: Exhibit 3 , Exhibit 5 , Rel. No. 34-72668 Federal Register version (79 FR 33614)
34-72313
June 4, 2014
SR-NYSEMKT-2014-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY(d)(3) in Order To Delete Reserve Orders and References Thereto From the Rules Comments Due: Exhibit 5 Federal Register version (79 FR 33249)
34-72309
June 4, 2014
SR-NYSEArca-2014-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Fees on Strategy Executions Comments Due: Exhibit 5 Federal Register version (79 FR 33252)
34-72312
June 4, 2014
SR-NYSEArca-2014-63
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: Rel. No. 34-72791 , Rel. No. 34-72642 , Exhibit 5 Federal Register version (79 FR 33247)
34-72314
June 4, 2014
SR-NYSEArca-2014-64
Notice of Filing of Proposed Rule Change To List and Trade Shares of the ARK Innovation ETF, ARK Genomic Revolution ETF, ARK Industrial Innovation ETF, and ARK Web x.0 ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-72641 Federal Register version (79 FR 33229)
34-72307
June 4, 2014
SR-NSCC-2014-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 33250)
34-72311
June 4, 2014
SR-NASDAQ-2014-058
Notice of Filing of Proposed Rule Change to Amend IM-5900-7 to, Among Other Things, Modify the Free Services Offered to Certain Newly Listing Companies Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-72669 Federal Register version (79 FR 33239)
34-72306
June 4, 2014
SR-ICC-2014-07
Notice of Filing of Proposed Rule Change to Revise End-of-Day Price Discovery Policies and Procedures Comments Due: Rel. No. 34-72596 Federal Register version (79 FR 33243)
34-72305
June 4, 2014
SR-FICC-2014-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Government Securities Division Fee Schedule, the Mortgage-Backed Securities Division Fee Schedule for Dealers and the Mortgage-Backed Securities Division EPN Fee Schedule Comments Due: Exhibit 5 Federal Register version (79 FR 33244)
34-72308
June 4, 2014
SR-DTC-2014-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the Implementation of a Fee for ACATS-Related Deliveries and Receives Comments Due: Federal Register version (79 FR 33241)
