34-71034
Dec. 11, 2013
SR-ISE-2013-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (78 FR 76363)
34-71032
Dec. 11, 2013
SR-ICC-2013-08
Notice of Withdrawal of Proposed Rule Change To Add Rules Related to the Clearing of MCDX Index CDS Contracts and Make Conforming Changes to Existing Rules Comments Due: Rel. No. 34-70826 Federal Register version (78 FR 76358)
34-71042
Dec. 11, 2013
SR-FINRA-2013-052
Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant Comments Due: Exhibit 3 , Rel. No. 34-71457 Federal Register version (78 FR 76341)
34-71028
Dec. 9, 2013
SR-NASDAQ-2013-149
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NOM Penny and Non-Penny Pilot Options Comments Due: Exhibit 5 Federal Register version (78 FR 75949)
34-71027
Dec. 9, 2013
SR-FINRA-2013-051
Notice of Filing of a Proposed Rule Change To Amend the Uniform Branch Office Registration Form (Form BR) Comments Due: View Received Comments Rel. No. 34-71626 , Rel. No. 34-71373 Federal Register version (78 FR 75954)
34-71023
Dec. 6, 2013
SR-BATS-2013-059
Notice of Filing of a Proposed Rule Change in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c , Exhibit 5d , Exhibit 5e , Exhibit 5f , Exhibit 5g , Exhibit 5h , Rel. No. 34-71375 Federal Register version (78 FR 75607)
34-71020
Dec. 6, 2013
SR-SCCP-2013-01
Notice of Filing of Proposed Rule Change To Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Rel. No. 34-71353 Federal Register version (78 FR 75598)
34-71024
Dec. 6, 2013
SR-BYX-2013-039
Notice of Filing of a Proposed Rule Change in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC Comments Due: Exhibit 5a , Exhibit 5b , Exhibit 5c , Exhibit 5d , Exhibit 5e , Exhibit 5f , Exhibit 5g , Exhibit 5h , Rel. No. 34-71375 Federal Register version (78 FR 75585)
34-71019
Dec. 6, 2013
SR-BSECC-2013-001
Notice of Filing of Proposed Rule Change To Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Rel. No. 34-71353 Federal Register version (78 FR 75633)
34-71010
Dec. 6, 2013
SR-Phlx-2013-115
Notice of Filing of Proposed Rule Change To Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Exhibit 5 , Rel. No. 34-71353 Federal Register version (78 FR 75661)
34-71015
Dec. 6, 2013
SR-NYSEMKT-2013-98
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Include FLEX Option Transactions in the Strategy Execution Fee Cap Comments Due: Exhibit 5 Federal Register version (78 FR 75642)
34-71016
Dec. 6, 2013
SR-NYSEArca-2013-136
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Raise the Take Liquidity Fee for Lead Market Maker and Market Maker Electronic Executions in Penny Pilot Issues Comments Due: Exhibit 5 Federal Register version (78 FR 75655)
34-71011
Dec. 6, 2013
SR-BX-2013-057
Notice of Filing of Proposed Rule Change To Amend the Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc. Comments Due: Exhibit 5 , Rel. No. 34-71353 Federal Register version (78 FR 75645)
34-71008
Dec. 6, 2013
SR-NASDAQ-2013-146
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (78 FR 75657)
34-71013
Dec. 6, 2013
SR-NASDAQ-2013-148
Notice of Filing of Proposed Rule Change To Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Exhibit 5 , Rel. No. 34-71353 Federal Register version (78 FR 75619)
34-71017
Dec. 6, 2013
SR-NASDAQ-2013-134
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Listing of Additional Shares Fees Payable by Non-U.S. Companies Comments Due: Exhibit 5 Federal Register version (78 FR 75631)
34-71009
Dec. 6, 2013
SR-MIAX-2013-56
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 75629)
34-71014
Dec. 6, 2013
SR-MIAX-2013-53
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change for the Extension of a Pilot Program for SPY Position and Exercise Limits Comments Due: Exhibit 5 Federal Register version (78 FR 75627)
34-71007
Dec. 6, 2013
SR-CBOE-2013-117
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (78 FR 75653)
34-71006
Dec. 6, 2013
SR-C2-2013-040
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (78 FR 75597)
34-71025
Dec. 6, 2013
SR-BOX-2013-55
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Permit the Exchange to Exclude from Its Average Daily Volume Calculations Any Trading Day on Which the Exchange Is Closed for Trading Due To an Early Closing Or a Market-Wide Trading Halt Comments Due: Exhibit 5 Federal Register version (78 FR 75644)
34-70994
Dec. 5, 2013
SR-NYSEArca-2013-132
Notice of Filing of Proposed Rule Change To List and Trade Shares of Merk Hard Currency ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-71377 Federal Register version (78 FR 75423)
34-70995
Dec. 5, 2013
SR-NYSEArca-2013-92
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend NYSE Arca Equities Rules 7.31, 7.32, 7.37, and 7.38 in Order To Comprehensively Update Rules Related to the Exchange's Order Types and Modifiers Comments Due: View Received Comments Rel. No. 34-70637 , Rel. No. 34-71331 Federal Register version (78 FR 75434)
34-70998
Dec. 5, 2013
SR-NYSEARCA-2013-133
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Specify the Exclusion of Odd Lot Transactions From Consolidated Average Daily Volume Calculations for a Limited Period of Time for Purposes of Certain Transaction Pricing on the Exchange Through January 31, 2014 Comments Due: Exhibit 5 Federal Register version (78 FR 75396)
34-70997
Dec. 5, 2013
SR-NYSE-2013-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Specify the Exclusion of Odd Lot Transactions From Consolidated Average Daily Volume Calculations for a Limited Period of Time for Purposes of Certain Transaction Pricing on the Exchange Through January 31, 2014 Comments Due: Exhibit 5 Federal Register version (78 FR 75432)
34-71000
Dec. 5, 2013
SR-NSCC-2013-802
Notice of No Objection to Advance Notice Filing, as Modified by Amendment Nos. 1, 2, and 3, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs Comments Due: View Received Comments Federal Register version (78 FR 75400)
34-70992
Dec. 5, 2013
SR-MIAX-2013-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 402 Comments Due: Exhibit 5 Federal Register version (78 FR 75439)
34-70996
Dec. 5, 2013
SR-CBOE-2013-114
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend CBOE Rule 18.2 (Procedures in Trading Permit Holder Controversies) Comments Due: Federal Register version (78 FR 75435)
34-70991
Dec. 5, 2013
SR-BOX-2013-57
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretive Material To Rule 5050 To Eliminate the Cap on the Number of Additional Series That May be Listed Per Expiration Month for Each Quarterly Options Series in Exchange-Traded Fund Options Comments Due: Exhibit 5 Federal Register version (78 FR 75420)
34-70978
Dec. 4, 2013
SR-NYSEMKT-2013-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 925NY To Eliminate the Requirement That Market Makers Comply With the Bid-Ask Differential Requirements Specified in Rule 925NY(b)(4)(A)-(E) When Electronically Bidding and Offering on the Exchange System During the Opening Auction Process Comments Due: Exhibit 5 Federal Register version (78 FR 74210)
34-70982
Dec. 4, 2013
SR-NYSEMKT-2013-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule in Order To Provide for Fees for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center Comments Due: Exhibit 5 Federal Register version (78 FR 74197)
34-70977
Dec. 4, 2013
SR-NYSEARCA-2013-129
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.37A To Eliminate the Requirement That Market Makers Comply With the Bid-Ask Differential Requirements Specified in Rule 6.37(b)(1)(A)-(F) When Electronically Bidding and Offering on the Exchange System During the Opening Auction Process Comments Due: Exhibit 5 Federal Register version (78 FR 74208)
34-70981
Dec. 4, 2013
SR-NYSEARCA-2013-131
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services in Order To Provide for Fees for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center Comments Due: Exhibit 5 Federal Register version (78 FR 74203)
34-70979
Dec. 4, 2013
SR-NYSE-2013-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List in Order To Provide for Fees for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center Comments Due: Exhibit 5 Federal Register version (78 FR 74200)
34-70985
Dec. 4, 2013
SR-NASDAQ-2013-145
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Acceptable Trade Range Comments Due: Exhibit 5 Federal Register version (78 FR 74206)
34-70969
Dec. 3, 2013
SR-Phlx-2013-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program Comments Due: Exhibit 5 Federal Register version (78 FR 73907)
34-70968
Dec. 3, 2013
SR-NYSEArca-2013-130
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Rule 6.8 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF Comments Due: Exhibit 5 Federal Register version (78 FR 73899)
34-70972
Dec. 3, 2013
SR-MIAX-2013-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (78 FR 73909)
34-70967
Dec. 3, 2013
SR-ISE-2013-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program That Eliminated the Position and Exercise Limits for Options on SPDR S&P 500 ETF Comments Due: Exhibit 5 Federal Register version (78 FR 73912)
34-70966
Dec. 3, 2013
SR-FINRA-2013-036
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations) Comments Due: Rel. No. 34-72067 , Rel. No. 34-71636 , Rel. No. 34-70276 , Rel. No. 34-70613 Federal Register version (78 FR 73900)
34-70970
Dec. 3, 2013
SR-BOX-2013-53
Notice of Filing of Proposed Rule Change To Amend IM-3120-2 to Rule 3120 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF Comments Due: Exhibit 5 Federal Register version (78 FR 73911)
34-70964
Dec. 2, 2013
SR-BATS-2013-060
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Risk Monitoring Functionality Offered by the Exchange Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 73577)
34-70963
Nov. 29, 2013
SR-NYSEMKT-2013-95
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules Concerning Communications With the Public To Harmonize Them With Certain Financial Industry Regulatory Authority, Inc. Rules and Make Other Conforming Changes Comments Due: Federal Register version (78 FR 73223)
34-70962
Nov. 29, 2013
SR-NYSE-2013-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules Concerning Communications With the Public To Harmonize Them With Certain Financial Industry Regulatory Authority, Inc. Rules and Make Other Conforming Changes Comments Due: View Received Comments Federal Register version (78 FR 73214)
34-70961
Nov. 29, 2013
SR-CBOE-2013-113
Notice of Filing of a Proposed Rule Change Relating to Multi-Class Spread Orders Comments Due: Exhibit 5 , Rel. No. 34-71556 , Rel. No. 34-71248 Federal Register version (78 FR 73211)
34-70955
Nov. 27, 2013
SR-NYSEMKT-2013-84
Notice of Filing of Proposed Rule Change Amending NYSE MKT Rules 13-Equities, 70.25-Equities, 107C-Equities and 1000-Equities To Adopt a New Order Type Called a Midpoint Passive Liquidity Order Comments Due: Exhibit 5 , Rel. No. 34-71329 Federal Register version (78 FR 72965)
34-70954
Nov. 27, 2013
SR-NYSEArca-2013-127
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Under NYSE Arca Equities Rule 8.600 Shares of Nine Series of the IndexIQ Active ETF Trust Comments Due: View Received Comments 34-72686 , Rel. No. 34-72265 , Rel. No. 34-71645 , Rel. No. 34-71309 Federal Register version (78 FR 72955)
34-70956
Nov. 27, 2013
SR-NYSE-2013-71
Notice of Filing of Proposed Rule Change Amending NYSE Rules 13, 70.25, 107C and 1000 To Adopt a New Order Type Called a Midpoint Passive Liquidity Order Comments Due: Exhibit 5 , Rel. No. 34-71330 Federal Register version (78 FR 72968)
34-70953
Nov. 27, 2013
S7-24-89
Notice of Filing and Immediate Effectiveness of Amendment No. 31 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: Federal Register version (78 FR 72932)
34-70957
Nov. 27, 2013
SR-FINRA-2013-037
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend FINRA Rule 5131 (New Issue Allocations and Distributions) Comments Due: View Received Comments Rel. No. 34-70312 Federal Register version (78 FR 72946)
34-70948
Nov. 26, 2013
SR-CHX-2013-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Match Trade Prevention Modifier for Limit and Market Orders Submitted to the Exchange Comments Due: Exhibit 5 Federal Register version (78 FR 72731)
34-70947
Nov. 26, 2013
SR-OCC-2013-21
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Changes to OCC's By-Laws and Rules in Connection with the Modification of the Individual Registration Categories of the Investment Industry Regulatory Organization of Canada Comments Due: Federal Register version (78 FR 72729)
34-70946
Nov. 26, 2013
SR-NSCC-2013-12
Notice of Filing of Proposed Rule Change To Provide Its Members With a Risk Management Tool That Would Enable Members To Monitor Trading Activity and Receive Notifications When Pre-Set Trading Limits are Reached Comments Due: View Received Comments Exhibit 5 , 34-71637 Federal Register version (78 FR 72737)
34-70945
Nov. 26, 2013
SR-NASDAQ-2013-142
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify a Level 2 Subscriber Fee Comments Due: View Received Comments Federal Register version (78 FR 72740)
34-70935
Nov. 25, 2013
SR-OCC-2013-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify OCC's Existing Policy Regarding Use of Clearing Fund Assets in Anticipation of a Clearing Member Default Comments Due: Federal Register version (78 FR 72135)
34-70937
Nov. 25, 2013
SR-NSCC-2013-11
Notice of Filing of Proposed Rule Change To Add a New Service to the National Securities Clearing Corporation's Obligation Warehouse ("OW") Which Would Pair Off and Close Certain Open Obligations, Reducing the Number of Open Obligations in OW Comments Due: Rel. No. 34-71251 Federal Register version (78 FR 71686)
34-70936
Nov. 25, 2013
SR-CBOE-2013-112
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Class Quoting Limit for Options on Twitter Comments Due: Federal Register version (78 FR 72134)
34-70943
Nov. 25, 2013
SR-CBOE-2013-115
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBSX Fees Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 72137)
34-70928
Nov. 22, 2013
SR-CME-2013-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Addition of a New Rate Option for Interest Rate Swaps Denominated in Mexican Peso Comments Due: Federal Register version (78 FR 71694)
34-70926
Nov. 22, 2013
SR-NASDAQ-2013-141
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NOM Market Maker Penny Pilot Options Rebate To Add Liquidity Comments Due: Exhibit 5 Federal Register version (78 FR 71690)
34-70924
Nov. 22, 2013
SR-FINRA-2013-050
Notice of Filing of a Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-71623 , Rel. No. 34-71262 Federal Register version (78 FR 71695)
34-70925
Nov. 22, 2013
SR-FICC-2013-10
Notice of Filing of Proposed Rule Change To Establish the Minimum Financial Requirements for the Existing Membership Category of Registered Investment Company Netting Members in the Government Securities Division Comments Due: View Received Comments Rel. No. 34-71265 Federal Register version (78 FR 71702)
34-70917
Nov. 21, 2013
SR-CME-2013-24
Notice of Filing of Proposed Rule Change Regarding the Designation of a Primary Backup Data Center Comments Due: Rel. No. 34-71218 Federal Register version (78 FR 71015)
34-70910
Nov. 21, 2013
SR-NYSEMKT-2013-91
Notice of Filing of Proposed Rule Change to Establish an Institutional Liquidity Program on a One-Year Pilot Basis Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-72205 , Rel. No. 34-71267 , Rel. No. 34-71609 Federal Register version (78 FR 70992)
34-70914
Nov. 21, 2013
SR-NYSEMKT-2013-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (78 FR 71000)
34-70912
Nov. 21, 2013
SR-NYSEARCA-2013-128
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Specify the Method of Billing When More Than One Pricing Tier Could Be Applicable Comments Due: Exhibit 5 Federal Register version (78 FR 71016)
34-70916
Nov. 21, 2013
SR-NYSEARCA-2013-124
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (78 FR 70989)
34-70918
Nov. 21, 2013
SR-NYSEArca-2013-42
Notice of Withdrawal of Proposed Rule Change Amending NYSE Arca Rule 6.72 To Make the Penny Pilot Program for Options Permanent Comments Due: View Received Comments Rel. No. 34-70733 , Rel. No. 34-70317 Federal Register version (78 FR 71014)
34-70909
Nov. 21, 2013
SR-NYSE-2013-72
Notice of Filing of Proposed Rule Change To Establish an Institutional Liquidity Program on a One-Year Pilot Basis Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-72512 , Rel. No. 34-71609 Federal Register version (78 FR 71002)
34-70913
Nov. 21, 2013
SR-NYSE-2013-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the New York Stock Exchange Price List Related to Co-Location Services Comments Due: Exhibit 5 Federal Register version (78 FR 70987)
34-70911
Nov. 21, 2013
SR-NASDAQ-2013-143
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rule 4120(c)(7)(C) To Modify the Parameters for Releasing Securities for Trading Upon the Termination of a Trading Halt Comments Due: Federal Register version (78 FR 71011)
34-70915
Nov. 21, 2013
SR-NASDAQ-2013-140
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Connectivity Options and Fees Comments Due: Exhibit 5 Federal Register version (78 FR 71018)
34-70905
Nov. 20, 2013
SR-NYSEArca-2013-122
Notice of Filing of Proposed Rule Change 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. 34-72216 , Rel. No. 34-71606 , Rel. No. 34-71271 Federal Register version (78 FR 70610)
34-70903
Nov. 20, 2013
SR-MIAX-2013-52
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 (78 FR 70615)
34-70906
Nov. 20, 2013
SR-FINRA-2013-046
Notice of Filing of a Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-71607 , Rel. No. 34-71282 Federal Register version (78 FR 70602)
34-70907
Nov. 20, 2013
SR-CBOE-2013-111
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the CBSX Fees Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 70607)
34-70901
Nov. 19, 2013
SR-CME-2013-30
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Corrections to Chicago Mercantile Exchange Inc. Rule 274H.02.A. Regarding Timing of Determination of the Spot Exchange Rate of Chilean Peso per United States Dollar for Use in Settlement of Cleared Spot, Forward and Swap Contracts Comments Due: Federal Register version (78 FR 70368)
34-70899
Nov. 19, 2013
SR-NYSEMKT-2013-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising Rule 61(a)(iii)-Equities To Harmonize the Existing Rule Text With the Recent Amendment to the CTA Plan, and Concordant Change to the Nasdaq UTP Plan, Which Provides That Odd-Lot Transactions Are To Be Reported On the Consolidated Tape Comments Due: Exhibit 5 Federal Register version (78 FR 70380)
34-70902
Nov. 19, 2013
SR-NYSEArca-2013-121
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of AdvisorShares Sage Core Reserves ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-71263 Federal Register version (78 FR 70370)
34-70898
Nov. 19, 2013
SR-NYSE-2013-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising Rule 61(a)(iii) To Harmonize the Existing Rule Text With the Recent Amendment to the CTA Plan, Which Provides That Odd-Lot Transactions Are To Be Reported on the Consolidated Tape Comments Due: Exhibit 5 Federal Register version (78 FR 70386)
34-70897
Nov. 19, 2013
SR-NASDAQ-2013-139
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Post-Only Orders Received Prior to the Opening Comments Due: Federal Register version (78 FR 70388)
34-70900
Nov. 19, 2013
SR-ISE-2013-58
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Expiration Date for Most Options Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday Comments Due: Exhibit 5 Federal Register version (78 FR 70382)
34-70894
Nov. 18, 2013
SR-CHX-2013-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Certain Rule Taxonomy Issues and Postpone Until December 2, 2013 the Operative Date of an Approved Proposed Rule Change Comments Due: Federal Register version (78 FR 70085)
34-70885
Nov. 15, 2013
SR-TOPAZ-2013-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Address the Treatment of Certain Stop Orders During a Limit State or Straddle State Comments Due: Exhibit 5 Federal Register version (78 FR 69921)
34-70890
Nov. 15, 2013
SR-NSX-2013-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 69900)
34-70886
Nov. 15, 2013
SR-NYSEMKT-2013-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding Co-location Services to Provide for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center Comments Due: Federal Register version (78 FR 69904)
34-70887
Nov. 15, 2013
SR-NYSEArca-2013-123
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding Co-Location Services To Provide for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center Comments Due: Federal Register version (78 FR 69897)
34-70888
Nov. 15, 2013
SR-NYSE-2013-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding Co-location Services To Provide for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center Comments Due: Federal Register version (78 FR 69907)
34-70892
Nov. 15, 2013
4-668
BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc. and Topaz Exchange, LLC; Notice of Filing of Proposed National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail Comments Due: View Received Comments Rel. No. 34-71596 Federal Register version (78 FR 69910)
34-70884
Nov. 15, 2013
SR-ISE-2013-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Address the Treatment of Certain Stop Orders During a Limit State or Straddle State Comments Due: Exhibit 5 Federal Register version (78 FR 69923)
34-70889
Nov. 15, 2013
SR-CBOE-2013-108
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 53.23 Related to CBSX RMM Quoting Obligations Comments Due: Federal Register version (78 FR 69918)
34-70881
Nov. 14, 2013
SR-NSX-2013-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.11 Regarding the Entry and Execution of Zero Display Reserve Orders Marked "Sell Short" Comments Due: Federal Register version (78 FR 69734)
34-70879
Nov. 14, 2013
SR-Phlx-2013-108
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of a Pilot Program for SPY Position and Exercise Limits Comments Due: Exhibit 5 Federal Register version (78 FR 69731)
34-70871
Nov. 14, 2013
SR-NYSEArca-2013-118
Notice of Filing of Proposed Rule Change, As Modified By Amendment No. 1 Thereto, To List and Trade of Shares of the Market Vectors Short High-Yield Municipal Index ETF Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 Comments Due: Rel. No. 34-71232 Federal Register version (78 FR 69503)
34-70877
Nov. 14, 2013
SR-MIAX-2013-48
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Rules 1302, 1304 and the MIAX Options Fee Schedule Comments Due: Federal Register version (78 FR 69720)
34-70872
Nov. 14, 2013
SR-ISE-2013-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (78 FR 69718)
34-70873
Nov. 14, 2013
SR-ISE-2013-56
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (78 FR 69714)
34-70876
Nov. 14, 2013
SR-FINRA-2013-048
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-71196 Federal Register version (78 FR 69728)
34-70880
Nov. 14, 2013
SR-FINRA-2013-047
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-71195 Federal Register version (78 FR 69732)
34-70878
Nov. 14, 2013
SR-CBOE-2013-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fourteen Month Extension of Pilot Program That Eliminates Position and Exercise Limits for Physically-Settled SPDR S&P 500 ETF Trust ("SPY") Options Comments Due: Exhibit 5 Federal Register version (78 FR 69737)
