34-70855
Nov. 13, 2013
SR-NYSEArca-2013-120
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .08 to Rule 6.4 To Modify the Quarterly Option Series Program To Eliminate the Cap on the Number of Additional Series That May Be Listed Per Expiration Month for Each QOS in Exchange-Traded Fund Options Comments Due: Exhibit 5 Federal Register version (78 FR 69493)
34-70861
Nov. 13, 2013
SR-NYSEArca-2013-119
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.69(a) To Provide That a Pattern or Practice of Late Reporting of Option Transactions to the Exchange for Dissemination to the Options Price Reporting Authority Is Subject to Disciplinary Action Comments Due: Exhibit 5 Federal Register version (78 FR 69497)
34-70851
Nov. 13, 2013
SR-NASDAQ-2013-137
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Under Rule 7030(d) for Use of the Carteret NASDAQ Testing Facility Test Environment Comments Due: Federal Register version (78 FR 69485)
34-70860
Nov. 13, 2013
SR-NASDAQ-2013-138
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Modifications to Fees and Rebates Under Rules 7014 and 7018 Comments Due: Exhibit 5 Federal Register version (78 FR 69512)
34-70862
Nov. 13, 2013
SR-MIAX-2013-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 504, Trading Halts Comments Due: Exhibit 5 Federal Register version (78 FR 69468)
34-70859
Nov. 13, 2013
SR-ISE-2013-54
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 69501)
34-70856
Nov. 13, 2013
SR-CBOE-2013-109
Notice of Filing of Proposed Rule Change Relating to Market Maker Appointment Cost Rebalances Comments Due: Exhibit 5 , Rel. No. 34-71223 Federal Register version (78 FR 69491)
34-70857
Nov. 13, 2013
SR-CBOE-2013-107
Notice of Filing of a Proposed Rule Change To Amend Its Rules Regarding Option Orders That Are Tied to Stock Orders Comments Due: View Received Comments Rel. No. 34-71489 , Rel. No. 34-71178 Federal Register version (78 FR 69487)
34-70858
Nov. 13, 2013
SR-BOX-2013-52
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Fee Schedule To Specify the Frequency With Which the Exchange May Change the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (78 FR 69496)
34-70850
Nov. 12, 2013
SR-Phlx-2013-109
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Box Spread Strategies Comments Due: Exhibit 5 Federal Register version (78 FR 69164)
34-70844
Nov. 12, 2013
SR-CBOE-2013-103
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Obvious Error Comments Due: Exhibit 5 Federal Register version (78 FR 69159)
34-70845
Nov. 12, 2013
SR-CBOE-2013-104
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the Customized Option Pricing Service Comments Due: Exhibit 5 Federal Register version (78 FR 69168)
34-70846
Nov. 12, 2013
SR-C2-2013-038
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Obvious Error Comments Due: Exhibit 5 Federal Register version (78 FR 69162)
34-70836
Nov. 8, 2013
SR-EDGX-2013-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 3.5 (Advertising Practices) and To Repeal Rule 3.20 (Initial or Partial Payments) To Conform with the Rules of the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (78 FR 68897)
34-70837
Nov. 8, 2013
SR-EDGA-2013-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 3.5 (Advertising Practices) and To Repeal Rule 3.20 (Initial or Partial Payments) To Conform With the Rules of the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (78 FR 68889)
34-70840
Nov. 8, 2013
SR-Phlx-2013-110
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program Comments Due: Federal Register version (78 FR 68895)
34-70838
Nov. 8, 2013
SR-OCC-2013-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning an Amendment to the Amended and Restated Clearing and Services Agreement Between The Options Clearing Corporation and NYSE Liffe US LLC in Connection With NYSE Liffe US LLC's Transition to Electronic Vault Receipts Comments Due: Federal Register version (78 FR 68888)
34-70839
Nov. 8, 2013
SR-FINRA-2013-049
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) Comments Due: Federal Register version (78 FR 68893)
34-70830
Nov. 7, 2013
SR-TOPAZ-2013-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Exchange Trading Days and Hours of Business and Trading Halts Comments Due: Exhibit 5 Federal Register version (78 FR 68485)
34-70832
Nov. 7, 2013
SR-NYSEMKT-2013-88
Notice of Filing of Proposed Rule Change Amending Certain Rules That Address Wash Sales in Order To Harmonize the Exchange's Rules With the Rules of New York Stock Exchange LLC and the Financial Industry Regulatory Authority Comments Due: Exhibit 5 , Rel. No. 34-71157 Federal Register version (78 FR 68488)
34-70834
Nov. 7, 2013
SR-ISE-2013-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Trading Days and Hours of Business and Trading Halts Comments Due: Exhibit 5 Federal Register version (78 FR 68497)
34-70826
Nov. 7, 2013
SR-ICC-2013-08
Notice of Filing 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. 34-71032 Federal Register version (78 FR 68480)
34-70831
Nov. 7, 2013
SR-FICC-2013-09
Notice of Filing of Proposed Rule Change To Make the U.S. Department of the Treasury's Floating Rate Notes Eligible for Netting Service and GCF Repo at FICC's Government Securities Division Comments Due: Rel. No. 34-71091 Federal Register version (78 FR 68496)
34-70827
Nov. 7, 2013
SR-CBOE-2013-105
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 68494)
34-70821
Nov. 6, 2013
SR-Phlx-2013-106
Notice of Filing of Proposed Rule Change To Amend Rules 1064 and 1080 To More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order Comments Due: View Received Comments Rel. No. 34-71177 Federal Register version (78 FR 68126)
34-70816
Nov. 6, 2013
SR-NYSEMKT-2013-86
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt Commentary .03 to Rule 980NY To Limit the Volume of Complex Orders by a Single ATP Holder During the Trading Day Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-71222 , Rel. No. 34-71183 Federal Register version (78 FR 68111)
34-70817
Nov. 6, 2013
SR-NYSEArca-2013-115
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt Commentary .03 to Rule 6.91 To Limit the Volume of Complex Orders by a Single OTP Holder or OTP Firm During the Trading Day Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-71221 , Rel. No. 34-71184 Federal Register version (78 FR 68113)
34-70818
Nov. 6, 2013
SR-NYSEArca-2013-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Regarding the Applicable Lead Market Maker Rights Fee for Low-Volume Issues Comments Due: Exhibit 5 Federal Register version (78 FR 68108)
34-70824
Nov. 6, 2013
SR-NYSEARCA-2013-107
Notice of Filing of Proposed Rule Change To Establish a Retail Liquidity Program Comments Due: Exhibit 5 , Rel. No. 34-82281 , Rel. No. 34-79586 , Rel. No. 34-71176 Federal Register version (78 FR 68116)
34-70822
Nov. 6, 2013
SR-NYSEARCA-2013-77
Notice of Filing of Amendment No. 1 and Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, That Address the Exchanges' Emergency Powers File Nos.: Comments Due: View Received Comments Rel. No. 34-70463 , Rel. No. 34-70099 , Rel. No. 34-70097 , Rel. No. 34-70098 Federal Register version (78 FR 68128)
34-70822
Nov. 6, 2013
SR-NYSEMKT-2013-66
Notice of Filing of Amendment No. 1 and Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, That Address the Exchanges' Emergency Powers File Nos.: Comments Due: View Received Comments Rel. No. 34-70463 , Rel. No. 34-70099 , Rel. No. 34-70097 , Rel. No. 34-70098 Federal Register version (78 FR 68128)
34-70822
Nov. 6, 2013
SR-NYSE-2013-54
Notice of Filing of Amendment No. 1 and Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, That Address the Exchanges' Emergency Powers File Nos.: Comments Due: View Received Comments Rel. No. 34-70463 , Rel. No. 34-70099 , Rel. No. 34-70097 , Rel. No. 34-70098 Federal Register version (78 FR 68128)
34-70820
Nov. 6, 2013
SR-NASDAQ-2013-136
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options Rebates and Fees Comments Due: Exhibit 5 Federal Register version (78 FR 68122)
34-70808
Nov. 5, 2013
SR-EDGX-2013-41
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 (78 FR 67420)
34-70811
Nov. 5, 2013
SR-EDGX-2013-42
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 (78 FR 67430)
34-70812
Nov. 5, 2013
SR-EDGA-2013-33
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 (78 FR 67432)
34-70807
Nov. 5, 2013
SR-NYSEArca-2013-117
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend the Rule Governing the Listing and Trading of Shares of the WisdomTree Global Real Return Fund Comments Due: Federal Register version (78 FR 67427)
34-70806
Nov. 5, 2013
SR-CBOE-2013-100
Notice of Filing of a Proposed Rule Change Relating to CBSX Trading Permit Holder Eligibility Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-71513 , Rel. No. 34-71152 Federal Register version (78 FR 67424)
34-70805
Nov. 5, 2013
SR-BOX-2013-51
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on BOX Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 67421)
34-70801
Nov. 4, 2013
SR-CME-2013-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Reference Rate for Singapore Dollar Denominated Interest Rate Swaps Comments Due: Federal Register version (78 FR 67207)
34-70802
Nov. 4, 2013
SR-NYSEMKT-2013-59
Notice of Withdrawal of Proposed Rule Change Relating to NDX and RUT Combination Orders November 4, 2013. Comments Due: View Received Comments Rel. No. 34-70588 , Rel. No. 34-70235 , Rel. No. 34-69919 Federal Register version (78 FR 67209)
34-70799
Nov. 1, 2013
SR-NYSEMKT-2013-87
Notice of Filing of Proposed Rule Change Regarding Elimination of the Cancellation Fee From the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 66980)
34-70798
Nov. 1, 2013
SR-NYSEArca-2013-111
Notice of Filing of Proposed Rule Change To List and Trade Shares of Manna Core Equity Enhanced Dividend Income Fund Under NYSEArca Equities Rule 8.600 Comments Due: Rel. No. 34-71133 Federal Register version (78 FR 66973)
34-70797
Nov. 1, 2013
SR-BOX-2013-43
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Permit Complex Orders To Participate in Price Improvement Periods Comments Due: View Received Comments Rel. No. 34-70427 , Rel. No. 34-71148 Federal Register version (78 FR 66980)
34-70789
Oct. 31, 2013
SR-CFE-2013-006
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Notification Provisions for Exchange of Contract for Related Position Transactions and Block Trades Comments Due: Exhibit 4 Federal Register version (78 FR 66790)
34-70795
Oct. 31, 2013
SR-NYSEArca-2013-109
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Apply Routing Fees to Penny Pilot Issues Comments Due: Exhibit 5 Federal Register version (78 FR 66794)
34-70788
Oct. 31, 2013
SR-MIAX-2013-50
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 66796)
34-70774
Oct. 30, 2013
SR-NYSEArca-2013-106
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of PIMCO Diversified Income Exchange-Traded Fund, PIMCO Low Duration Exchange-Traded Fund and PIMCO Real Return Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-71125 Federal Register version (78 FR 66396)
34-70769
Oct. 29, 2013
SR-MIAX-2013-49
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 66094)
34-70761
Oct. 28, 2013
SR-Topaz-2013-09
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 65734)
34-70760
Oct. 28, 2013
SR-NYSEMKT-2013-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 980NY to Specify That the Specialist Pool and Directed Order Market Makers Receive Execution Allocations of Incoming Electronic Complex Orders and Complex Order Auction Eligible Orders in Accordance With the Guaranteed Participation Provision of Rule 964NY(c)(2)(B), Without Any Exceptions Comments Due: Exhibit 5 Federal Register version (78 FR 65736)
34-70765
Oct. 28, 2013
4-443
Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add Topaz Exchange, LLC as a Pla Comments Due: View Received Comments Federal Register version (78 FR 65739)
34-70764
Oct. 28, 2013
4-443
Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add Miami International Securities Exchange, LLC ("MIAX") as a Plan Sponsor Comments Due: View Received Comments Federal Register version (78 FR 65733)
34-70762
Oct. 28, 2013
4-546
Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add the Miami International Securities Exchange, LLC as a Participant Comments Due: View Received Comments Federal Register version (78 FR 65743)
34-70763
Oct. 28, 2013
4-546
Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add Topaz Exchange, LLC as a Participant Comments Due: View Received Comments Federal Register version (78 FR 65740)
34-70766
Oct. 28, 2013
SR-CBOE-2013-101
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Concept of a "Responsible Person" on the CBOE Stock Exchange Comments Due: Federal Register version (78 FR 65741)
34-70754
Oct. 25, 2013
SR-NYSEArca-2013-105
Notice of Filing of Proposed Rule Change To List and Trade Shares of the SPDR MFS Systematic Core Equity ETF, SPDR MFS Systematic Growth Equity ETF, and SPDR MFS Systematic Value Equity ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-71067 Federal Register version (78 FR 65407)
34-70757
Oct. 25, 2013
SR-ISE-2013-53
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Schedule of Fees Comments Due: Federal Register version (78 FR 65400)
34-70755
Oct. 25, 2013
SR-CBOE-2013-102
Notice of Filing of Proposed Rule Change To Amend CBOE Rule 6.2B To Establish Modified Hybrid Opening System Opening Procedures for All Volatility Index Constituent Options Comments Due: Exhibit 5 , Rel. No. 34-71073 Federal Register version (78 FR 65402)
34-70753
Oct. 24, 2013
SR-OCC-2013-17
Notice of Filing of Proposed Rule Change Concerning Charters for the Board of Directors, the Membership/Risk Committee, the Audit Committee and the Performance Committee Comments Due: Rel. No. 34-71022 , Rel. No. 34-71022 Federal Register version (78 FR 65027)
34-70752
Oct. 24, 2013
SR-CBOE-2013-099
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Extending the FLEX Exercise Settlement Values Pilot Comments Due: Exhibit 5 Federal Register version (78 FR 65023)
34-70745
Oct. 23, 2013
SR-Phlx-2013-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Transition to Friday Expiration for Most Options Contracts Comments Due: Exhibit 5 Federal Register version (78 FR 64559)
34-70748
Oct. 23, 2013
SR-Phlx-2013-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish for PHLX Orders Managed Data Solution Fees for Non-Display Usage Comments Due: Federal Register version (78 FR 64569)
34-70746
Oct. 23, 2013
SR-BX-2013-055
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Transition to Friday Expiration for Most Options Contracts Comments Due: Exhibit 5 Federal Register version (78 FR 64563)
34-70747
Oct. 23, 2013
SR-NASDAQ-2013-133
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Transition to Friday Expiration for Most Options Contracts Comments Due: Exhibit 5 Federal Register version (78 FR 64556)
34-70744
Oct. 23, 2013
SR-FINRA-2013-045
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 6 Examination Program Comments Due: View Received Comments Federal Register version (78 FR 64566)
34-70734
Oct. 22, 2013
SR-NYSEMKT-2013-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Rule 904 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 64255)
34-70733
Oct. 22, 2013
SR-NYSEArca-2013-42
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 6.72 To Make the Penny Pilot Program for Options Permanent Comments Due: View Received Comments Rel. No. 34-70317 , Rel. No. 34-70918 Federal Register version (78 FR 64257)
34-70735
Oct. 22, 2013
SR-BOX-2013-49
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Include the Series 56 Examination Fee Information Comments Due: Exhibit 5 Federal Register version (78 FR 64258)
34-70725
Oct. 21, 2013
SR-CME-2013-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Adoption of CME Rule 1001 Comments Due: View Received Comments Federal Register version (78 FR 64038)
34-70728
Oct. 21, 2013
SR-NYSE-2013-67
Notice of Filing of Proposed Rule Change Proposing to Amend the Quantitative Continued Listing Standards Applicable to Companies Listed Under Sections 102.01C and 103.01B of the Listed Company Manual Comments Due: Exhibit 5 , Rel. No. 34-71029 Federal Register version (78 FR 64043)
34-70726
Oct. 21, 2013
SR-BOX-2013-50
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rules 4020 (Opening of Accounts), 4050 (Discretionary Accounts), and 4060 (Confirmation to Public Customers) To Conform to the Corresponding Rules of FINRA Comments Due: Federal Register version (78 FR 64046)
34-70714
Oct. 18, 2013
SR-EDGX-2013-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 4.3, Record of Written Complaints, To Conform to Financial Industry Regulatory Authority, Inc. Rule 4513 Comments Due: Federal Register version (78 FR 64039)
34-70715
Oct. 18, 2013
SR-EDGA-2013-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 4.3, Record of Written Complaints, To Conform to Financial Industry Regulatory Authority, Inc. Rule 4513 Comments Due: Federal Register version (78 FR 64041)
34-70719
Oct. 18, 2013
SR-OCC-2013-16
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Amending OCC's By-Laws and Rules To Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options Comments Due: Federal Register version (78 FR 63548)
34-70717
Oct. 18, 2013
SR-NYSEMKT-2013-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY Comments Due: Exhibit 5 Federal Register version (78 FR 63551)
34-70718
Oct. 18, 2013
SR-NYSEARCA-2013-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.87 Comments Due: Exhibit 5 Federal Register version (78 FR 63555)
34-70711
Oct. 18, 2013
SR-NYSE-2013-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Replace Certain References to "Member" With References to "Member Organization" in the Rule 9000 Series Comments Due: Exhibit 5 Federal Register version (78 FR 63529)
34-70713
Oct. 18, 2013
SR-NYSEMKT-2013-25
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes, as Modified by Amendment Nos. 1, Amending NYSE Rule 104 and NYSE MKT Rule 104-Equities to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers, To Make Exchange Systems Available to DMMs That Would Provide DMMs With Certain Market Information, To Amend the Exchanges' Rules Governing the Ability of DMMs To Provide Market Information To Floor Brokers, and To Make Conforming Amendments to Other Rules File Nos.: Comments Due: View Received Comments Rel. No. 34-71175 , Rel. No. 34-70047 , Rel. No. 34-69736 , Rel. No. 34-69427 , Rel. No. 34-69733 , Rel. No. 34-69428 Federal Register version (78 FR 63547)
34-70713
Oct. 18, 2013
SR-NYSE-2013-21
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes, as Modified by Amendment Nos. 1, Amending NYSE Rule 104 and NYSE MKT Rule 104-Equities to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers, To Make Exchange Systems Available to DMMs That Would Provide DMMs With Certain Market Information, To Amend the Exchanges' Rules Governing the Ability of DMMs To Provide Market Information To Floor Brokers, and To Make Conforming Amendments to Other Rules File Nos.: Comments Due: View Received Comments Rel. No. 34-71175 , Rel. No. 34-70047 , Rel. No. 34-69736 , Rel. No. 34-69427 , Rel. No. 34-69733 , Rel. No. 34-69428 Federal Register version (78 FR 63547)
34-70709
Oct. 17, 2013
SR-OCC-2013-803
Notice of No Objection to Advance Notice Filing to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options Comments Due: Rel. No. 34-69925 Federal Register version (78 FR 63267)
34-70703
Oct. 17, 2013
SR-NYSEArca-2013-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Market Maker and Lead Market Maker Transaction Credits Comments Due: Exhibit 5 Federal Register version (78 FR 63261)
34-70702
Oct. 17, 2013
SR-FINRA-2013-044
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow FINRA Members To Use the FINRA/NYSE Trade Reporting Facility To Transfer Transaction Fees Charged by One Member to Another Member Comments Due: Exhibit 5 Federal Register version (78 FR 63268)
34-70705
Oct. 17, 2013
SR-CBOE-2013-097
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to The Customized Option Pricing Service Comments Due: Federal Register version (78 FR 63265)
34-70696
Oct. 16, 2013
SR-NYSEMKT-2013-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a Temporary Suspension of Those Aspects of Rules 36.20-Equities and 36.21-Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Exchange-Provided Cell Phones Beginning on October 10, 2013 Until the Earlier of When Cell Phone Service Is Restored or October 11, 2013 Comments Due: Federal Register version (78 FR 62802)
34-70697
Oct. 16, 2013
SR-NYSE-2013-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on The Trading Floor Due to the Unavailability of Exchange-Provided Cell Phones Beginning on October 10, 2013 Until the Earlier of When Cell Phone Service Is Restored or October 11, 2013 Comments Due: Federal Register version (78 FR 62825)
34-70693
Oct. 16, 2013
SR-NASDAQ-2013-131
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of the Dedicated OUCH Port Infrastructure Service Comments Due: Federal Register version (78 FR 62761)
34-70691
Oct. 16, 2013
SR-FINRA-2013-043
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to TRACE Fees for Securities Act Rule 144A Transaction Data Comments Due: Exhibit 5 Federal Register version (78 FR 62788)
34-70692
Oct. 16, 2013
SR-CBOE-2013-098
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Continuing Education Comments Due: Exhibit 5 Federal Register version (78 FR 62909)
34-70687
Oct. 15, 2013
SR-BATS-2013-055
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 (78 FR 62921)
34-70682
Oct. 15, 2013
SR-Phlx-2013-101
Notice of Filing of Proposed Rule Change Regarding the Short Term Option Series Program Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 62809)
34-70689
Oct. 15, 2013
SR-NSCC-2013-802
Notice of Filing Amendment No. 3 to Advance Notice, as Previously Modified by Amendment Nos. 1 and 2, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 62893)
34-70688
Oct. 15, 2013
SR-NSCC-2013-02
Notice of Filing Amendment No. 3 to a Proposed Rule Change, as Previously Modified by Amendment Nos. 1 and 2, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-70999 , Rel. No. 34-70501 , Rel. No. 34-69951 , Rel. No. 34-69620 , Rel. No. 34-69313 Federal Register version (78 FR 62846)
34-70683
Oct. 15, 2013
SR-CBOE-2013-087
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the Complex Order Book Data Feed for CBOE Listed Options Comments Due: Exhibit 5 Federal Register version (78 FR 62798)
34-70685
Oct. 15, 2013
SR-CBOE-2013-096
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (78 FR 62858)
34-70684
Oct. 15, 2013
SR-C2-2013-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the Complex Order Book Data Feed for C2 Listed Options Comments Due: Exhibit 5 Federal Register version (78 FR 62849)
34-70669
Oct. 11, 2013
SR-EDGX-2013-38
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 (78 FR 62778)
34-70662
Oct. 11, 2013
SR-BATS-2013-056
Notice of Filing of a Proposed Rule Change To Amend Rule 12.6 To Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders Comments Due: Exhibit 5 , Rel. No. 34-70952 Federal Register version (78 FR 62828)
34-70664
Oct. 11, 2013
SR-BATS-2013-054
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 (78 FR 62804)
34-70663
Oct. 11, 2013
SR-BYX-2013-036
Notice of Filing of a Proposed Rule Change To Amend Rule 12.6 To Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders Comments Due: Exhibit 5 , Rel. No. 34-70951 Federal Register version (78 FR 62896)
