Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Notice

Quick Links

empty


Release Number	SEC Issue Date	File Number	Details
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:* April 28, 2014 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:* April 28, 2014 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:* 21 days after publication in the Federal RegisterNotice 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: 21 days after publication in the Federal Register 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:* April 28, 2014 See Also - 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:* April 28, 2014 View Received Comments See Also - 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:* April 28, 2014 See Also - Exhibit 5 Federal Register version (79 FR 19160)
34-71839	April 1, 2014	SR-NYSEArca-2014-25	Notice of Filing of Proposed Rule Change To Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes *Comments Due:* 21 days after publication in the Federal Register View Received Comments See Also - Exhibit 5 Submit a Comment on SR-NYSEArca-2014-25 Federal Register version (79 FR 19154)
34-71845	April 1, 2014	SR-NYSEArca-2014-31	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:* 21 days after publication in the Federal Register See Also - Exhibit 5 Federal Register version (79 FR 19143)
34-71837	April 1, 2014	SR-NYSE-2014-12	Notice of Filing of Proposed Rule Change Amending 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:* April 28, 2014 View Received Comments See Also - Exhibit 5, Rel. No. 34-72534, Rel. No. 34-72203 Federal Register version (79 FR 19146)
34-71841	April 1, 2014	SR-BX-2014-015	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Impose an Extranet Access Fee *Comments Due:* April 28, 2014 Federal Register version (79 FR 19129)
34-71836	April 1, 2014	SR-CBOE-2014-027	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program *Comments Due:* April 28, 2014 Submit a Comment on SR-CBOE-2014-027 Federal Register version (79 FR 19139)
34-71832	March 31, 2014	SR-ISE-2014-18	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 623 ("Options Communications") To Conform With the Rules of the Financial Industry Regulatory Authority Inc. *Comments Due:* April 25, 2014 Federal Register version (79 FR 18944)
34-71826	March 28, 2014	SR-NASDAQ-2014-030	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program, Which Currently Is Set To Expire on March 28, 2014, for an Additional Six Months *Comments Due:* April 23, 2014 See Also - Exhibit 5 Federal Register version (79 FR 18597)
34-71828	March 28, 2014	SR-DTC-2014-03	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Existing Procedures as They Relate to Processing Mandatory Corporate Actions *Comments Due:* April 24, 2014 Submit a Comment on SR-DTC-2014-03 Federal Register version (79 FR 18748)
34-71822	March 27, 2014	SR-Phlx-2014-19	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program *Comments Due:* April 23, 2014 Federal Register version (79 FR 18593)
34-71817	March 27, 2014	SR-NYSEMKT-2014-23	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY To Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order *Comments Due:* April 23, 2014 See Also - Exhibit 5 Federal Register version (79 FR 18601)
34-71820	March 27, 2014	SR-NYSEMKT-2014-28	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128-Equities, Entitled "Clearly Erroneous Executions For Equities" *Comments Due:* April 23, 2014 See Also - Exhibit 5 Federal Register version (79 FR 18595)
34-71818	March 27, 2014	SR-NYSEARCA-2014-27	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 To Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order *Comments Due:* 21 days after publication in the Federal Register See Also - Exhibit 5 Federal Register version (79 FR 19407)
34-71821	March 27, 2014	SR-NYSE-2014-17	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128, Entitled "Clearly Erroneous Executions For NYSE Equities" *Comments Due:* April 23, 2014 See Also - Exhibit 5 Federal Register version (79 FR 18592)
34-71819	March 27, 2014	SR-FINRA-2013-039	Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change, As Modified by Amendment No. 1, To Clarify the Classification and Reporting of Certain Securities to FINRA See Also - Rel. No. 34-71927, Rel. No. 34-71629, Rel. No. 34-71180, Rel. No. 34-70482 Federal Register version (79 FR 18591)
34-71809	March 26, 2014	SR-EDGX-2014-007	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for EDGX Exchange, Inc. *Comments Due:* April 22, 2014 See Also - Exhibit 5 Federal Register version (79 FR 18353)
34-71812	March 26, 2014	SR-EDGX-2014-008	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 12.6 To Conform to FINRA Rule 5320, BATS Rule 12.6 and BATS-Y Rule 12.6 Relating to Trading Ahead of Customer Orders *Comments Due:* April 22, 2014 See Also - Exhibit 5 Federal Register version (79 FR 18371)
34-71808	March 26, 2014	SR-EDGA-2014-006	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for EDGA Exchange, Inc. *Comments Due:* April 22, 2014 See Also - Exhibit 5 Federal Register version (79 FR 18355)
34-71811	March 26, 2014	SR-EDGA-2014-007	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 12.6 to Conform to FINRA Rule 5320, BATS Rule 12.6 and BATS-Y Rule 12.6 Relating to Trading Ahead of Customer Orders *Comments Due:* April 22, 2014 See Also - Exhibit 5 Federal Register version (79 FR 18367)
34-71804	March 26, 2014	SR-NYSEArca-2013-141	Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt New NYSE Arca Equities Rule 7.25 To Create a Crowd Participant Program on a Pilot Basis To Incent Competitive Quoting and Trading Volume in Exchange-Traded Products by Market Makers Qualified With the Exchange as CPs *Comments Due:* 21 days after publication in the Federal Register View Received Comments See Also - Rel. No. 34-71479, Rel. No. 34-71146 Submit a Comment on SR-NYSEArca-2013-141 Federal Register version (79 FR 18357)
34-71807	March 26, 2014	SR-NYSEArca-2014-32	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Extend a Pilot Program Related to Rule 7.10, Entitled "Clearly Erroneous Executions" *Comments Due:* 21 days after publication in the Federal Register See Also - Exhibit 5 Federal Register version (79 FR 18087)
34-71813	March 26, 2014	SR-NASDAQ-2014-009	Notice of Filing of Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Tactical High Yield ETF of First Trust Exchange-Traded Fund IV *Comments Due:* April 22, 2014 See Also - Rel. No. 34-72141, Rel. No. 34-71473 Submit a Comment on SR-NASDAQ-2014-009 Federal Register version (79 FR 18378)
34-71806	March 26, 2014	SR-ISE-2014-19	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 Relating to Clearly Erroneous Trades *Comments Due:* April 22, 2014 View Received Comments See Also - Exhibit 5 Federal Register version (79 FR 18375)
34-71810	March 26, 2014	SR-ICC-2014-02	Notice of Filing of Proposed Rule Change To Update ICC's Liquidity Thresholds for Euro Denominated Products *Comments Due:* April 22, 2014 See Also - Rel. No. 34-72116 Federal Register version (79 FR 18377)
34-71795	March 25, 2014	SR-BATS-2014-008	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for BATS Exchange, Inc. *Comments Due:* April 21, 2014 See Also - Exhibit 5 Federal Register version (79 FR 18089)
34-71796	March 25, 2014	SR-BYX-2014-003	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for BATS Y-Exchange, Inc. *Comments Due:* April 21, 2014 See Also - Exhibit 5 Federal Register version (79 FR 18099)
34-71799	March 25, 2014	SR-CME-2014-09	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Acceptance of a New Series of Credit Default Swap Index Product *Comments Due:* April 21, 2014 Federal Register version (79 FR 18107)
34-71797	March 25, 2014	SR-NSX-2014-07	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Related to Rule 11.19, Titled "Clearly Erroneous Executions" *Comments Due:* April 21, 2014 See Also - Exhibit 5 Federal Register version (79 FR 18108)
34-71793	March 25, 2014	SR-NASDAQ-2014-026	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Program and NBBO Setter Incentive Program Under Rule 7014, and To Modify the Rules Governing Fees Assessed for Orders Executed in the NASDAQ Opening Cross Under Rule 7018 *Comments Due:* April 21, 2014 See Also - Exhibit 5 Federal Register version (79 FR 18091)
34-71794	March 25, 2014	SR-NASDAQ-2014-025	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's DOT, DOTI, and LIST Routing Strategies *Comments Due:* April 21, 2014 See Also - Exhibit 5 Federal Register version (79 FR 18101)
34-71792	March 25, 2014	SR-FINRA-2014-012	Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools) *Comments Due:* April 21, 2014 View Received Comments See Also - Rel. No. 34-724880 Federal Register version (79 FR 18094)
34-71789	March 25, 2014	SR-CBOE-2014-023	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule *Comments Due:* April 21, 2014 See Also - Exhibit 5 Submit a Comment on SR-CBOE-2014-023 Federal Register version (79 FR 18104)
34-71798	March 25, 2014	SR-CBOE-2014-025	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CBSX Clearly Erroneous Policy *Comments Due:* April 21, 2014 See Also - Exhibit 5 Submit a Comment on SR-CBOE-2014-025 Federal Register version (79 FR 18086)
34-71777	March 24, 2014	SR-EDGX-2014-06	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Reference to Rule 10C-1 Under the Exchange Act in EDGX Rule 14.1 Concerning Unlisted Trading Privileges *Comments Due:* April 18, 2014 See Also - Exhibit 5 Federal Register version (79 FR 17613)
34-71776	March 24, 2014	SR-EDGA-2014-05	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Reference to Rule 10C-1 Under the Exchange Act in EDGA Rule 14.1 Concerning Unlisted Trading Privileges *Comments Due:* April 18, 2014 See Also - Exhibit 5 Federal Register version (79 FR 17583)
34-71782	March 24, 2014	SR-CHX-2014-04	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Related to Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions *Comments Due:* April 18, 2014 See Also - Exhibit 5 Submit a Comment on SR-CHX-2014-04 Federal Register version (79 FR 17630)
34-71783	March 24, 2014	SR-Phlx-2014-18	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule *Comments Due:* April 18, 2014 See Also - Exhibit 5 Federal Register version (79 FR 17617)
34-71778	March 24, 2014	SR-NYSEArca-2014-23	Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Interest Rate Hedged Corporate Bond ETF and iShares Interest Rate Hedged High Yield Bond ETF Under NYSE Arca Equities Rule 8.600 *Comments Due:* 21 days after publication in the Federal Register See Also - Rel. No. 34-72138 Federal Register version (79 FR 17585)
34-71779	March 24, 2014	SR-NYSEArca-2014-26	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to the Means of Achieving the Investment Objective Applicable to the db-X Ultra-Short Duration Fund *Comments Due:* 21 days after publication in the Federal Register Federal Register version (79 FR 17625)
34-71780	March 24, 2014	SR-NYSEArca-2014-21	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.44 To Change the Priority of Displayable Odd Lot Interest Within the Recently Approved Retail Liquidity Program *Comments Due:* 21 days after publication in the Federal Register See Also - Exhibit 5 Federal Register version (79 FR 17623)
34-71784	March 24, 2014	SR-BX-2014-014	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule *Comments Due:* April 18, 2014 See Also - Exhibit 5 Federal Register version (79 FR 17610)
34-71785	March 24, 2014	SR-NASDAQ-2014-028	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule *Comments Due:* April 18, 2014 See Also - Exhibit 5 Federal Register version (79 FR 17621)
34-71781	March 24, 2014	SR-FINRA-2014-013	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities *Comments Due:* April 18, 2014 See Also - Exhibit 5 Federal Register version (79 FR 17615)
34-71786	March 24, 2014	SR-FINRA-2014-010	Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices) *Comments Due:* April 18, 2014 View Received Comments See Also - Rel. No. 34-72459 Federal Register version (79 FR 17592)
34-71774	March 24, 2014	SR-CBOE-2014-020	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Certain CBOE Real-Time Data Feeds and a New Book Depth Data Feed *Comments Due:* April 18, 2014 Submit a Comment on SR-CBOE-2014-020 Federal Register version (79 FR 17619)
34-71775	March 24, 2014	SR-CBOE-2014-021	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CBSX BBO Data Feed and a New CBSX Book Depth Data Feed *Comments Due:* April 18, 2014 Submit a Comment on SR-CBOE-2014-021 Federal Register version (79 FR 17627)
34-71773	March 24, 2014	SR-C2-2014-005	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Certain C2 Real-Time Data Feeds and a New Book Depth Data Feed *Comments Due:* April 18, 2014 Federal Register version (79 FR 17611)
34-71769	March 21, 2014	SR-OCC-2014-05	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect the Elimination of a Discount to OCC's Clearing Fee Schedule *Comments Due:* April 17, 2014 View Received Comments See Also - Exhibit 5, Exhibit 5 Federal Register version (79 FR 17214)
34-71765	March 21, 2014	SR-ISE-2014-17	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees *Comments Due:* April 17, 2014 Federal Register version (79 FR 17216)
34-71758	March 20, 2014	SR-ISEGemini-2014-09	Notice of Filing of Proposed Rule Change Related to Market Maker Risk Parameters *Comments Due:* April 16, 2014 View Received Comments See Also - Exhibit 5, Rel. No. 34-73148, Rel. No. 34-72454, Rel. No. 34-72118 Federal Register version (79 FR 16846)
34-71759	March 20, 2014	SR-ISE-2014-09	Notice of Filing of Proposed Rule Change Related to Market Maker Risk Parameters *Comments Due:* April 16, 2014 View Received Comments See Also - Exhibit 5, Rel. No. 34-72455, Rel. No. 34-72117 Federal Register version (79 FR 16850)
34-71760	March 20, 2014	SR-ISE-2014-16	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees *Comments Due:* April 16, 2014 See Also - Exhibit 5 Federal Register version (79 FR 16848)
34-71747	March 19, 2014	SR-EDGX-2014-05	Notice of Filing of Proposed Rule Change To Adopt a New Order Type Called the Mid-Point Discretionary Order *Comments Due:* April 15, 2014 See Also - Rel. No. 34-72955, Rel. No. 34-72955, Rel. No. 34-72445, Rel. No. 34-72086 Federal Register version (79 FR 16401)
34-71746	March 19, 2014	SR-BATS-2014-006	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. *Comments Due:* April 15, 2014 Federal Register version (79 FR 16412)
34-71751	March 19, 2014	SR-OCC-2014-04	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Administrative and Conforming Changes To Rename the Membership/Risk Committee to Risk Committee, Reflect the Renaming of the Chairman Title to Executive Chairman, and Reflect That Two Management Directors Are on the Board of Directors *Comments Due:* April 15, 2014 Federal Register version (79 FR 16414)
34-71749	March 19, 2014	SR-NYSEMKT-2014-20	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Short-Term Option Series Program *Comments Due:* April 15, 2014 See Also - Exhibit 5 Federal Register version (79 FR 16388)
34-71750	March 19, 2014	SR-NYSEArca-2014-24	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Short-Term Option Series Program *Comments Due:* April 15, 2014 See Also - Exhibit 5 Federal Register version (79 FR 16416)
34-71745	March 19, 2014	SR-DTC-2013-11	Notice of Filing Amendment Nos. 1 and 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends To Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities *Comments Due:* April 15, 2014 Rebuttal comments due: April 29, 2014 View Received Comments See Also - Rel. No. 34-72860, Rel. No. 34-72391, Rel. No. 34-71132 Federal Register version (79 FR 16392)
34-71744	March 19, 2014	SR-CBOE-2014-024	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Appointment Cost for CBOE Volatility Index (VIX) Options *Comments Due:* April 15, 2014 See Also - Exhibit 5 Submit a Comment on SR-CBOE-2014-024 Federal Register version (79 FR 16411)
34-71736	March 18, 2014	SR-BATS-2014-007	Notice of Filing of Proposed Rule Change To List and Trade Shares of Certain Funds of the ProShares Trust *Comments Due:* April 14, 2014 See Also - Rel. No. 34-72099 Federal Register version (79 FR 16073)
34-71731	March 18, 2014	SR-Phlx-2014-16	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That Market Maker Complex Orders Cannot Initiate a Complex Order Live Auction *Comments Due:* April 14, 2014 Federal Register version (79 FR 16083)
34-71730	March 18, 2014	SR-NYSEMKT-2014-19	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Specify Pricing Applicable To Executions of Mid-Point Passive Liquidity Orders Against Retail Orders Within the Retail Liquidity Program *Comments Due:* April 14, 2014 See Also - Exhibit 5 Federal Register version (79 FR 16085)
34-71733	March 18, 2014	SR-NYSEArca-2014-04	Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Its Rules by Revising the Order of Priority of Bids and Offers When Executing Orders in Open Outcry *Comments Due:* February 26, 2014 View Received Comments See Also - Rel. No. 34-72703, Rel. No. 34-72081, Rel. No. 34-71425 Submit a Comment on SR-NYSEArca-2014-04 Federal Register version (79 FR 16072)
34-71727	March 14, 2014	SR-BATS-2014-005	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. *Comments Due:* April 10, 2014 Federal Register version (79 FR 15618)
34-71726	March 14, 2014	SR-BYX-2014-002	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. *Comments Due:* 21 days after publication in the Federal Register Federal Register version (79 FR 15616)
34-71725	March 14, 2014	SR-NSCC-2014-03	Notice of Filing of Proposed Rule Change To Enhance the System That Processes Corporate Actions Within NSCC's Continuous Net Settlement ("CNS") System *Comments Due:* April 11, 2014 See Also - Exhibit 5, Rel. No. 34-72029 Federal Register version (79 FR 15780)
34-71719	March 13, 2014	SR-CME-2014-07	Notice of Filing of Proposed Rule Change to Adopt Rule 980.F *Comments Due:* April 9, 2014 See Also - Rel. No. 34-71987 Federal Register version (79 FR 15380)
34-71716	March 13, 2014	SR-Phlx-2014-14	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program and Multiply Listed Options *Comments Due:* April 9, 2014 See Also - Exhibit 5 Federal Register version (79 FR 15372)
34-71722	March 13, 2014	SR-NYSEARCA-2014-22	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Establish Pricing for the Retail Liquidity Program and Make Certain Changes Relating to Open Orders *Comments Due:* April 9, 2014 See Also - Exhibit 5 Federal Register version (79 FR 15376)
34-71718	March 13, 2014	SR-NYSE-2014-10	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Specify Pricing Applicable to Executions of Mid-Point Passive Liquidity Orders Against Retail Orders Within the Retail Liquidity Program, Effective March 1, 2014 *Comments Due:* April 9, 2014 Federal Register version (79 FR 15365)
34-71720	March 13, 2014	SR-FINRA-2014-011	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6432 *Comments Due:* April 9, 2014 View Received Comments Federal Register version (79 FR 15363)
34-71702	March 12, 2014	SR-NYSEArca-2014-19	Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, 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:* April 8, 2014 View Received Comments See Also - Rel. No. 34-71999 Submit a Comment on SR-NYSEArca-2014-19 Federal Register version (79 FR 15191)
34-71696	March 12, 2014	SR-BX-2014-012	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees *Comments Due:* April 8, 2014 See Also - Exhibit 5 Federal Register version (79 FR 15163)
34-71697	March 12, 2014	SR-NASDAQ-2014-021	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees *Comments Due:* April 8, 2014 See Also - Exhibit 5 Federal Register version (79 FR 15198)
34-71703	March 12, 2014	SR-NASDAQ-2014-023	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates *Comments Due:* April 8, 2014 See Also - Exhibit 5 Federal Register version (79 FR 15172)
34-71698	March 12, 2014	SR-MIAX-2014-12	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule *Comments Due:* April 8, 2014 See Also - Exhibit 5 Federal Register version (79 FR 15185)
34-71700	March 12, 2014	SR-MIAX-2014-13	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule *Comments Due:* April 8, 2014 See Also - Exhibit 5 Federal Register version (79 FR 15188)
34-71704	March 12, 2014	SR-MIAX-2014-11	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule *Comments Due:* April 8, 2014 See Also - Exhibit 5 Federal Register version (79 FR 15183)
34-71705	March 12, 2014	SR-ISE-2014-14	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees *Comments Due:* April 8, 2014 See Also - Exhibit 5 Federal Register version (79 FR 15170)
34-71701	March 12, 2014	SR-BOX-2014-11	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC Options Facility *Comments Due:* April 8, 2014 See Also - Exhibit 5 Federal Register version (79 FR 15180)
34-71692	March 11, 2014	SR-EDGX-2014-04	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule *Comments Due:* April 8, 2014 See Also - Exhibit 5 Federal Register version (79 FR 15166)
34-71691	March 11, 2014	SR-EDGA-2014-04	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule *Comments Due:* April 8, 2014 See Also - Exhibit 5 Federal Register version (79 FR 15168)
34-71686	March 11, 2014	SR-NYSEArca-2014-20	Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of Reality Shares Isolated Dividend Growth ETF Under NYSE Arca Equities Rule 8.600 *Comments Due:* April 7, 2014 View Received Comments See Also - Rel. No. 34-73081, Rel. No. 34-72347, Rel. No. 34-72000 Federal Register version (79 FR 14761)
34-71684	March 11, 2014	SR-NYSE-2014-09	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List and To Make the Fee Changes Operative March 1, 2014 *Comments Due:* April 7, 2014 Federal Register version (79 FR 14758)
34-71689	March 11, 2014	SR-NYSE-2014-11	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List To Modify the Current Adding Credit Tiers and Add a New Adding Credit Tier *Comments Due:* April 7, 2014 See Also - Exhibit 5 Federal Register version (79 FR 14772)
34-71690	March 11, 2014	SR-MSRB-2014-02	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Changes to the MSRB's Electronic Municipal Market Access System, Real-Time Transaction Reporting System, and Short-Term Obligation Rate Transparency System *Comments Due:* April 7, 2014 See Also - Exhibit 5 Submit a Comment on SR-MSRB-2014-02 Federal Register version (79 FR 14769)
34-71685	March 11, 2014	SR-ISE-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:* April 7, 2014 See Also - Exhibit 5 Federal Register version (79 FR 14774)
34-71670	March 10, 2014	SR-CME-2014-06	Notice of Filing and Immediate Effectiveness of Proposed Rules Changes Regarding Implementation of Rules To Address Third Party Swap Execution Platforms *Comments Due:* April 3, 2014 Federal Register version (79 FR 14556)
34-71675	March 10, 2014	SR-CHX-2014-03	Notice of Filing of Proposed Rule Change To Amend the Bylaws of the Exchange *Comments Due:* April 4, 2014 See Also - Rel. No. 34-71954 Federal Register version (79 FR 14550)
34-71673	March 10, 2014	SR-Phlx-2014-15	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Simple Orders Fees For Removing Liquidity *Comments Due:* April 4, 2014 See Also - Exhibit 5 Federal Register version (79 FR 14551)
34-71674	March 10, 2014	SR-Phlx-2014-13	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees *Comments Due:* April 4, 2014 See Also - Exhibit 5 Federal Register version (79 FR 14553)
34-71671	March 10, 2014	SR-NYSE-2014-08	Notice of Filing of Proposed Rule Change To Adopt the Bond Trading License and the Bond Liquidity Provider Programs Pursuant to NYSE Rules 87 and 88 *Comments Due:* April 4, 2014 See Also - Exhibit 5, Rel. No. 34-72026 Submit a Comment on SR-NYSE-2014-08 Federal Register version (79 FR 14558)
34-71672	March 10, 2014	SR-MIAX-2014-10	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule *Comments Due:* April 4, 2014 See Also - Exhibit 5 Federal Register version (79 FR 14562)
34-71669	March 10, 2014	SR-ISE-2014-10	Notice of Filing of Proposed Rule Change Related to Complex Orders *Comments Due:* April 4, 2014 View Received Comments See Also - Exhibit 5, Rel. No. 34-73023, Rel. No. 34-72359, Rel. No. 34-72006 Federal Register version (79 FR 14563)
34-71662	March 7, 2014	SR-NSX-2014-06	Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule To Reduce a Fee for Orders Routed to Other Trading Centers *Comments Due:* April 3, 2014 See Also - Exhibit 5 Federal Register version (79 FR 14319)