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)
34-72298
June 3, 2014
SR-NYSEArca-2014-59
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the AdvisorShares Athena High Dividend ETF Under NYSE Arca Equities Rule 8.600 Comments Due: View Received Comments Rel. No. 34-72665 Federal Register version (79 FR 33024)
34-72299
June 3, 2014
SR-NYSEArca-2014-44
Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of First Trust Long/Short Equity ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-72645 Federal Register version (79 FR 33018)
34-72302
June 3, 2014
SR-NYSE-2014-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Eliminate a Credit for Certain Non-Floor Broker Transactions Comments Due: Exhibit 5 Federal Register version (79 FR 33017)
34-72300
June 3, 2014
SR-MIAX-2014-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Exchange Rules To Harmonize the Language With Certain Rules of the Financial Industry Regulatory Authority, Inc. ("FINRA") and Other Exchanges Comments Due: Exhibit 5 Federal Register version (79 FR 33012)
34-72294
June 2, 2014
SR-OCC-2014-12
Notice of Filing of Proposed Rule Change To Make The Options Clearing Corporation's Existing Policy Concerning Specified Concentration Limits Related to Deposits of Certain Letters of Credit Applicable to All Letters of Credit Comments Due: Rel. No. 34-72597 , Rel. No. 34-72597 Federal Register version (79 FR 32801)
34-72288
June 2, 2014
SR-MIAX-2014-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules 515, 519 and 529 Comments Due: Exhibit 5 Federal Register version (79 FR 32799)
34-72291
June 2, 2014
SR-MIAX-2014-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Order Monitor Comments Due: Exhibit 5 Federal Register version (79 FR 32797)
34-72297
June 2, 2014
SR-ICEEU-2014-06
Notice of Filing of Proposed Rule Change Regarding Investment Losses and Non-Default Losses Comments Due: Rel. No. 34-72551 Federal Register version (79 FR 32792)
34-72281
May 30, 2014
SR-NASDAQ-2014-057
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Low Duration Mortgage Opportunities ETF of First Trust Exchange-Traded Fund IV Comments Due: Rel. No. 34-72607 Federal Register version (79 FR 32586)
34-72283
May 30, 2014
SR-DTC-2014-06
Notice of Filing of Proposed Rule Change To Modify the Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction Comments Due: Rel. No. 34-72576 Federal Register version (79 FR 32599)
34-72284
May 30, 2014
SR-CBOE-2014-043
Notice of Filing of a Proposed Rule Change Relating to Closing Rotation Procedures for S&P 500 Index Options Comments Due: Federal Register version (79 FR 32594)
34-72272
May 29, 2014
SR-CME-2014-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to IRS Coupon Blending Comments Due: Federal Register version (79 FR 32340)
34-72278
May 29, 2014
SR-ISEGemini-2014-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Federal Register version (79 FR 32353)
34-72273
May 29, 2014
SR-MIAX-2014-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Rule 516 To Remove the Size Restrictions on Contra-Party Participation on a Qualified Contingent Cross Order Comments Due: Exhibit 5 Federal Register version (79 FR 32345)
34-72279
May 29, 2014
SR-ISE-2014-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Federal Register version (79 FR 32354)
34-72271
May 29, 2014
SR-CBOE-2014-046
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 24.20 Comments Due: Exhibit 5 Federal Register version (79 FR 32342)
34-72277
May 29, 2014
SR-CBOE-2014-047
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program Comments Due:
34-72276
May 29, 2014
SR-C2-2014-010
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Federal Register version (79 FR 32349)
34-72266
May 28, 2014
SR-OCC-2014-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require That Intraday Margin Be Collected and Margin Assets Not Be Withdrawn When a Clearing Member's Reasonably Anticipated Settlement Obligations to OCC Would Exceed the Liquidity Resources Available to OCC To Satisfy Such Settlement Obligations Comments Due: Federal Register version (79 FR 32009)
34-72268
May 28, 2014
SR-OCC-2014-802
Advance Notice Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors Comments Due: Federal Register version (79 FR 31998)
34-72265
May 28, 2014
SR-NYSEArca-2013-127
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2 Thereto, 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 34-72686 , Rel. No. 34-71645 , Rel. No. 34-71309 , Rel. No. 34-70954 Federal Register version (79 FR 32008)
34-72269
May 28, 2014
SR-FINRA-2014-008
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating To Protecting Personal Confidential Information in Documents Filed With FINRA Dispute Resolution Comments Due: Rel. No. 34-71608 Federal Register version (79 FR 32003)
34-72267
May 28, 2014
SR-CBOE-2014-031
Notice of Withdrawal of a Proposed Rule Change To Amend the Fees Schedule Comments Due: View Received Comments Rel. No. 34-71899 Federal Register version (79 FR 32008)
34-72251
May 27, 2014
SR-Phlx-2014-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (79 FR 31356)
34-72252
May 27, 2014
SR-NYSEMKT-2014-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 13-Equities to Introduce a New "Retail" Modifier for Orders and to Make Related, Administrative Changes to Its Price List Comments Due: Exhibit 5 Federal Register version (79 FR 31368)
34-72253
May 27, 2014
SR-NYSE-2014-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 13 to Introduce a New "Retail" Modifier for Orders and to Make Related, Administrative Changes to Its Price List Comments Due: Exhibit 5 Federal Register version (79 FR 31353)
34-72260
May 27, 2014
SR-NSCC-2014-802
Notice of Filing Amendment No. 1 and No Objection to Advance Notice, as Modified by Amendment No. 1, to Enhance NSCC's Existing Parametric Value-at-Risk Margining Model Comments Due: Federal Register version (79 FR 31360)
34-72254
May 27, 2014
SR-ISE-2014-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Complex Orders Comments Due: Exhibit 5 Federal Register version (79 FR 31372)
34-72240
May 23, 2014
SR-OC-2014-01
Notice of Filing of Proposed Rule Change to Suspend Competitive Trading of EFPs Comments Due: Exhibit 4 Federal Register version (79 FR 31162)
34-72245
May 23, 2014
SR-Phlx-2014-37
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted Comments Due: Federal Register version (79 FR 31164)
34-72250
May 23, 2014
SR-Phlx-2014-24
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Modify the Order Execution Algorithm of NASDAQ OMX PSX Comments Due: Exhibit 5 , Rel. No. 34-72603 Federal Register version (79 FR 31147)
34-72242
May 23, 2014
SR-OCC-2014-09
Notice of Filing of Proposed Rule Change Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors Comments Due: Rel. No. 34-72564 , Rel. No. 34-72564 Federal Register version (79 FR 31166)
34-72239
May 23, 2014
SR-BX-2014-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (79 FR 31171)
34-72246
May 23, 2014
SR-BX-2014-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program Comments Due: Federal Register version (79 FR 31160)
34-72238
May 23, 2014
SR-NASDAQ-2014-055
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (79 FR 31153)
34-72241
May 23, 2014
SR-NASDAQ-2014-027
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 PowerShares Multi-Strategy Alternative Portfolio of PowerShares Actively Managed Exchange-Traded Fund Trust Comments Due: Rel. No. 34-71892 Federal Register version (79 FR 31156)
34-72244
May 23, 2014
SR-NASDAQ-2014-056
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted Comments Due: Federal Register version (79 FR 31151)
34-72243
May 23, 2014
SR-MIAX-2014-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510 To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (79 FR 31163)
34-72227
May 22, 2014
SR-NSX-2014-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Requirements Pertaining to Sponsored Access Under Rules 11.9 and 11.17 Comments Due: Exhibit 5 Federal Register version (79 FR 30914)
34-72225
May 22, 2014
SR-Phlx-2014-34
Notice of Filing of Proposed Rule Change To Delete From Section IX of the Exchange's Options Fee Schedule the PHOTO Historical Data Product Comments Due: Rel. No. 34-72473 Federal Register version (79 FR 30917)
34-72229
May 22, 2014
SR-Phlx-2014-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reporting of Accounts Comments Due: Federal Register version (79 FR 30906)
34-72226
May 22, 2014
SR-NASDAQ-2014-054
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Nasdaq Opening Cross Contingency Comments Due: Exhibit 5 Federal Register version (79 FR 30905)
34-72228
May 22, 2014
SR-MIAX-2014-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503 Comments Due: Exhibit 5 Federal Register version (79 FR 30908)
34-72215
May 21, 2014
SR-NSX-2014-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.1 to Shorten the Operating Hours for the Post-Regular Trading Hours Trading Session Comments Due: Exhibit 5 Federal Register version (79 FR 30678)
34-72202
May 21, 2014
SR-NYSEMKT-2014-22
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 98 To Adopt a Principles-based Approach To Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules Comments Due: Rel. No. 34-72535 , Rel. No. 34-71838 Federal Register version (79 FR 30671)
34-72214
May 21, 2014
SR-NYSEArca-2014-30
Notice of Designation of a Longer Period for Commission Action on 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. 34-71894 Federal Register version (79 FR 30672)
34-72216
May 21, 2014
SR-NYSEArca-2013-122
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund Comments Due: View Received Comments Rel. No. 34-72666 , Rel. No. 34-71606 , Rel. No. 34-71271 , Rel. No. 34-70905 Federal Register version (79 FR 30680)
34-72203
May 21, 2014
SR-NYSE-2014-12
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 98 To Adopt a Principles-Based Approach To Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules Comments Due: View Received Comments Rel. No. 34-72534 , Rel. No. 34-71837 Federal Register version (79 FR 30667)
34-72205
May 21, 2014
SR-NYSEMKT-2013-91
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes To Establish an Institutional Liquidity Program on a One-Year Pilot Basis File Nos.: Comments Due: View Received Comments Rel. No. 34-72512 , Rel. No. 34-71609 , Rel. No. 34-71267 , Rel. No. 34-70909 , Rel. No. 34-70910 Federal Register version (79 FR 30668)
34-72205
May 21, 2014
SR-NYSE-2013-72
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes To Establish an Institutional Liquidity Program on a One-Year Pilot Basis File Nos.: Comments Due: View Received Comments Rel. No. 34-72512 , Rel. No. 34-71609 , Rel. No. 34-71267 , Rel. No. 34-70909 , Rel. No. 34-70910 Federal Register version (79 FR 30668)
34-72213
May 21, 2014
SR-MIAX-2014-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To List and Trade on the Exchange Options on Shares of the iShares MSCI Mexico Index Fund Comments Due: Federal Register version (79 FR 30669)
34-72204
May 21, 2014
SR-ISE-2014-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 1614 Comments Due: Exhibit 5 Federal Register version (79 FR 30672)
34-72208
May 21, 2014
SR-FINRA-2014-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 2121 (Fair Prices and Commissions), Supplementary Material .01 (Mark-Up Policy) and Supplementary Material .02 (Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities) in the Consolidated FINRA Rulebook Comments Due: Federal Register version (79 FR 30675)
34-72207
May 21, 2014
SR-CBOE-2014-045
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 30681)
34-72190
May 20, 2014
SR-NYSEMKT-2014-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 2014 Comments Due: Exhibit 5 Federal Register version (79 FR 30215)
34-72194
May 20, 2014
SR-NYSEMKT-2014-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY to Provide for New Procedures To Account for Erroneous Trades Occurring From Disruptions and/or Malfunctions of Exchange Systems Comments Due: Exhibit 5 Federal Register version (79 FR 30205)
34-72192
May 20, 2014
SR-NYSEARCA-2014-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Exchange Rule 6.72 in Order to Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 2014 Comments Due: Exhibit 5 Federal Register version (79 FR 30209)
34-72191
May 20, 2014
SR-FINRA-2014-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Definition of "Reporting Member" in the Order Audit Trail System Rules Comments Due: Federal Register version (79 FR 30219)
34-72196
May 20, 2014
SR-FINRA-2014-005
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Broadening Arbitrators' Authority to Make Referrals During an Arbitration Proceeding Comments Due: View Received Comments Rel. No. 34-71534 Federal Register version (79 FR 30206)
34-72195
May 20, 2014
SR-CBOE-2014-044
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Regulatory Cooperation Comments Due: Exhibit 5 Federal Register version (79 FR 30213)
34-72197
May 20, 2014
SR-CBOE-2014-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Trading Space Allocation Procedures Comments Due: Federal Register version (79 FR 30210)
34-72184
May 19, 2014
SR-FICC-2014-02
Notice of Filing of Request To Extend the Pilot Program for Certain Government Securities Division Rules Relating to the GCF Repo Service Comments Due: Exhibit 5 , Rel. No. 34-72457 Federal Register version (79 FR 29828)
34-72180
May 16, 2014
SR-NYSEArca-2014-57
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the following Under NYSE Arca Equities Rule 8.600: 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. 34-72853 , Rel. No. 34-72531 Federal Register version (79 FR 29461)
34-72170
May 15, 2014
SR-NYSEArca-2014-56
Notice of Filing of Proposed Rule Change Relating To 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. 34-72458 Federal Register version (79 FR 29231)
34-72172
May 15, 2014
SR-NYSEArca-2014-37
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of the Shares of iShares 2020 S&P AMT-Free Municipal Series Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 Comments Due: View Received Comments Rel. No. 34-72523 Federal Register version (79 FR 29241)
34-72169
May 15, 2014
SR-NASDAQ-2014-050
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Income ETF of First Trust Exchange-Traded Fund IV Comments Due: Rel. No. 34-72506 Federal Register version (79 FR 29247)
34-72163
May 14, 2014
SR-ISE-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 28985)
34-72161
May 13, 2014
SR-ISEGemini-2014-13
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 28781)
34-72156
May 13, 2014
SR-NYSEMKT-2014-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Name Changes of Its Ultimate Parent, IntercontinentalExchange Group, Inc., and Its Indirect Parents, IntercontinentalExchange, Inc. and NYSE Euronext Holdings LLC Comments Due: Exhibit 5 Federal Register version (79 FR 28782)
34-72157
May 13, 2014
SR-NYSEARCA-2014-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Name Changes of Its Ultimate Parent, IntercontinentalExchange Group, Inc., and Its Indirect Parents, IntercontinentalExchange, Inc. and NYSE Euronext Holdings LLC Comments Due: Exhibit 5 Federal Register version (79 FR 28792)
34-72159
May 13, 2014
SR-NYSEARCA-2014-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Arca Equities Rule 9.1(b) To Harmonize NYSE Arca's Rules With the Rules of Other Self-Regulatory Organizations Concerning Office Space Sharing Comments Due: Exhibit 5 Federal Register version (79 FR 28794)
34-72160
May 13, 2014
SR-NYSEARCA-2014-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Arca Rule 9.1(b) To Harmonize NYSE Arca's Rules With the Rules of Other Self-Regulatory Organizations Concerning Office Space Sharing Comments Due: Exhibit 5 Federal Register version (79 FR 28779)
34-72158
May 13, 2014
SR-NYSE-2014-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Name Changes of Its Ultimate Parent, IntercontinentalExchange Group, Inc., and Its Indirect Parents, IntercontinentalExchange, Inc. and NYSE Euronext Holdings LLC Comments Due: Exhibit 5 Federal Register version (79 FR 28784)
34-72154
May 13, 2014
SR-CBOE-2014-040
Notice of Filing of a Proposed Rule Change Relating to Orders That Are Tied to Stock Comments Due: View Received Comments Rel. No. 34-72839 Federal Register version (79 FR 28787)
34-72152
May 12, 2014
SR-Phlx-2014-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Limitation on Entering Electronic Limit Orders From Off the Floor of the Exchange Comments Due: Exhibit 5 Federal Register version (79 FR 28561)
34-72148
May 12, 2014
SR-NYSEMKT-2014-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Account for Recent Changes to the Securities Eligible To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Comments Due: Exhibit 5 Federal Register version (79 FR 28583)
34-72147
May 12, 2014
SR-NYSE-2014-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.02 of the Listed Company Manual To Modify How It Calculates Annual Fees for Certain Issuers in Their First Year of Listing on the Exchange Which Will Result in Large Issuers Receiving a Reduction in Their First Year's Annual Fee That Is Proportional to Their Reduced Time Listed on the Exchange Comments Due: Exhibit 5 Federal Register version (79 FR 28581)
34-72149
May 12, 2014
SR-BX-2014-024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Consolidate Certain Committee Functions Into the BX Review Council Comments Due: Federal Register version (79 FR 28564)
34-72150
May 12, 2014
SR-NASDAQ-2014-049
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7018 Fees and Establish Fee Tiers for the Execution of Market-on-Close and Limit-on-Close Orders Executed in the NASDAQ Closing Cross and Eliminate the High Volume Market Participant Identifier Program Comments Due: Federal Register version (79 FR 28568)
34-72151
May 12, 2014
SR-NASDAQ-2014-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Consolidate Certain Committee Functions Into the NASDAQ Review Council Comments Due: Federal Register version (79 FR 28571)
34-72153
May 12, 2014
SR-NASDAQ-2014-045
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for the NASDAQ Basic Data Product Comments Due: Exhibit 5 Federal Register version (79 FR 28575)
34-72135
May 9, 2014
SR-Phlx-2014-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Rollout of the New Options Floor Broker Management System Until September 1, 2014 Comments Due: View Received Comments Federal Register version (79 FR 27966)
34-72136
May 9, 2014
SR-Phlx-2014-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Rebates Comments Due: Exhibit 5 Federal Register version (79 FR 27968)
34-72139
May 9, 2014
SR-NYSEArca-2014-45
Notice of Filing of Proposed Rule Change Relating to PowerShares Insured California Municipal Bond Portfolio, PowerShares Insured National Municipal Bond Portfolio, and PowerShares Insured New York Municipal Bond Portfolio Comments Due: Rel. No. 34-72464 Federal Register version (79 FR 27950)
34-72143
May 9, 2014
SR-BX-2014-025
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Relating to the Elimination of SPY Position Limits Comments Due: Exhibit 5 Federal Register version (79 FR 27963)
