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)
34-71890
April 7, 2014
SR-NYSE-2014-18
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 20283)
34-71887
April 7, 2014
SR-NSCC-2014-04
Notice of Filing of Proposed Rule Change To Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service Comments Due: Exhibit 5 , Rel. No. 34-72223 Federal Register version (79 FR 20290)
34-71892
April 7, 2014
SR-NASDAQ-2014-027
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the PowerShares Multi-Strategy Alternative Portfolio, a series of PowerShares Actively Managed Exchange-Traded Fund Trust Comments Due: Rel. No. 34-72241 Federal Register version (79 FR 20262)
34-71884
April 7, 2014
SR-ISE-2014-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 703A Comments Due: Exhibit 5 Federal Register version (79 FR 20269)
34-71886
April 7, 2014
SR-DTC-2014-04
Notice of Filing of Proposed Rule Change To Effect Changes to the DTC Settlement Service Guide Relating to the Automated Customer Account Transfer Service of National Securities Clearing Corporation Comments Due: Exhibit 5 , Rel. No. 34-72224 Federal Register version (79 FR 20260)
34-71888
April 7, 2014
SR-DTC-2014-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Settlement Service Guide to Clarify the Largest Provisional Net Credit Procedures Comments Due: Exhibit 5 Federal Register version (79 FR 20285)
34-71883
April 7, 2014
SR-CBOE-2014-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market-Maker Appointment Adjustments Comments Due: Exhibit 5 Federal Register version (79 FR 20288)
34-71870
April 4, 2014
SR-NYSEMKT-2014-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 953.1NY(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, Until February 20, 2015 Comments Due: Exhibit 5 Federal Register version (79 FR 19692)
34-71869
April 4, 2014
SR-NYSEArca-2014-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 6.65A(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, Until February 20, 2015 Comments Due: Exhibit 5 Federal Register version (79 FR 19689)
34-71879
April 4, 2014
SR-NYSE-2014-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Introduce a New Credit for Certain Retail Providing Liquidity on the Exchange Comments Due: Federal Register version (79 FR 19947)
34-71874
April 4, 2014
SR-NASDAQ-2014-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Managed Data Solution for Non-Display Usage Comments Due: Exhibit 5 Federal Register version (79 FR 19942)
34-71881
April 4, 2014
SR-MIAX-2014-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Applicable to Rule 530 Relating to Limit Up/Limit Down Comments Due: Exhibit 5 Federal Register version (79 FR 19956)
34-71868
April 4, 2014
SR-FINRA-2014-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules Comments Due: Federal Register version (79 FR 19954)
34-71872
April 4, 2014
SR-CBOE-2014-026
Notice of Filing of a Proposed Rule Change To Amend Its Rule 24.19 Comments Due: View Received Comments Rel. No. 34-72495 Federal Register version (79 FR 19940)
34-71880
April 4, 2014
SR-CBOE-2014-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the End of Trading on CBSX Comments Due: Exhibit 5 Federal Register version (79 FR 19950)
34-71873
April 4, 2014
SR-BOX-2014-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Interpretive Material to BOX Rule 5050 To Replace the Reference To "GOOG" With "GOOGL" Comments Due: Exhibit 5 Federal Register version (79 FR 19953)
34-71853
April 3, 2014
SR-CME-2014-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Clarifications to Its Chapter 7 Delivery Rules Comments Due: Federal Register version (79 FR 19683)
34-71854
April 3, 2014
SR-ISEGemini-2014-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Market Makers To Enter Opening Only Orders in Appointed Options Classes Comments Due: Exhibit 5 Federal Register version (79 FR 19685)
34-71857
April 3, 2014
SR-CBOE-2014-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.25 Comments Due: Exhibit 5 Federal Register version (79 FR 19678)
34-71858
April 3, 2014
SR-CBOE-2014-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule of Its CBOE Stock Exchange Comments Due: View Received Comments Exhibit 5 Federal Register version (79 FR 19703)
34-71859
April 3, 2014
SR-CBOE-2014-029
Notice of Filing of a Proposed Rule Change To Enhance the Exchange Audit Trail Comments Due: Rel. No. 34-72230 Federal Register version (79 FR 19697)
34-71860
April 3, 2014
SR-CBOE-2014-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Fix Technical Errors Comments Due: Exhibit 5 Federal Register version (79 FR 19702)
34-71856
April 3, 2014
SR-C2-2014-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.15 Comments Due: Exhibit 5 Federal Register version (79 FR 19676)
34-71855
April 3, 2014
SR-BOX-2014-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program That Suspends Certain Obvious Error Provisions During Limit Up-Limit Down States in Securities That Underlie Options Traded on the Exchange Comments Due: Exhibit 5 Federal Register version (79 FR 19695)
34-71848
April 2, 2014
SR-CBOE-2014-030
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 5.5 Comments Due: Federal Register version (79 FR 19405)
34-71842
April 1, 2014
SR-CME-2014-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to CME Rule 281H.02.A. Regarding CME's Cleared OTC U.S. Dollar/Indonesian Rupiah (USD/IDR) Spot, Forwards and Swaps Contracts Comments Due: Federal Register version (79 FR 19158)
34-71843
April 1, 2014
SR-CME-2014-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Applicable to Its MXN OTC IRS Clearing Offering Comments Due: Federal Register version (79 FR 19145)
34-71846
April 1, 2014
SR-OCC-2014-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Change Which Would Authorize the Executive Chairman, the Management Vice Chairman, or the President To Delegate to Other OCC Officers Their Authority To Review and Approve Certain Clearing Member Business Expansion Requests and Changes in Facilities Management Arrangements, Provided That Such Delegate Is an Officer of the Rank of Senior Vice President or Higher Comments Due: Federal Register version (79 FR 19141)
34-71838
April 1, 2014
SR-NYSEMKT-2014-22
Notice of Filing of Proposed Rule Change Amending Rule 98-Equities To Adopt a Principles-based Approach To Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules Comments Due: Exhibit 5 , Rel. No. 34-72535 , Rel. No. 34-72202 Federal Register version (79 FR 19131)
34-71840
April 1, 2014
SR-NYSEMKT-2014-21
Notice of Filing of Proposed Rule Change To Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-72536 Federal Register version (79 FR 19162)
34-71844
April 1, 2014
SR-NYSEMKT-2014-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules To Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options Comments Due: Exhibit 5 Federal Register version (79 FR 19160)
