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)
34-70665
Oct. 11, 2013
SR-BYX-2013-035
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 (78 FR 62926)
34-70666
Oct. 11, 2013
SR-BYX-2013-034
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 (78 FR 62907)
34-70670
Oct. 11, 2013
SR-Topaz-2013-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Federal Register version (78 FR 62815)
34-70673
Oct. 11, 2013
SR-Phlx-2013-99
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Clarifying Rule 1014 Regarding Daily Quoting Obligations Comments Due: Exhibit 5 Federal Register version (78 FR 62780)
34-70674
Oct. 11, 2013
SR-NYSEMKT-2013-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule To Adopt Price Protection Filters for Electronic Complex Orders Comments Due: Exhibit 5 Federal Register version (78 FR 62917)
34-70677
Oct. 11, 2013
SR-NYSEArca-2013-103
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule To Adopt Price Protection Filters for Electronic Complex Orders Comments Due: Exhibit 5 Federal Register version (78 FR 62923)
34-70676
Oct. 11, 2013
SR-FINRA-2013-042
Notice of Filing of Proposed Rule Change To Require Alternative Trading Systems To Report Volume Information to FINRA and Use Unique Market Participant Identifiers Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-71341 Federal Register version (78 FR 62862)
34-70668
Oct. 11, 2013
SR-BOX-2013-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Interpretive Material to Rule 5050 and Rule 6090 Comments Due: Exhibit 5 Federal Register version (78 FR 62771)
34-70671
Oct. 11, 2013
SR-BOX-2013-46
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 3130 (Exemptions From Position Limits) Comments Due: Exhibit 5 Federal Register version (78 FR 62765)
34-70672
Oct. 11, 2013
SR-BOX-2013-47
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 8040 Comments Due: Exhibit 5 Federal Register version (78 FR 62860)
34-70653
Oct. 10, 2013
SR-NYSEMKT-2013-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2-Equities To Specify That the Definition of An Approved Person Does Not Include a Governmental Entity and Amending Rule 304-Equities To Provide That if a Governmental Entity Directly or Indirectly Owns a Member Organization, Then the Member Organization Must Identify Such Governmental Entity to the Exchange Comments Due: Federal Register version (78 FR 62928)
34-70652
Oct. 10, 2013
SR-NYSE-2013-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2 To Specify That the Definition of an Approved Person Does Not Include a Governmental Entity and Amending Rule 304 To Provide That If a Governmental Entity Directly or Indirectly Owns a Member Organization, Then the Member Organization Must Identify Such Governmental Entity to The Exchange Comments Due: Federal Register version (78 FR 62915)
34-70655
Oct. 10, 2013
SR-BX-2013-054
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 Greater Comments Due: Exhibit 5 Federal Register version (78 FR 62841)
34-70657
Oct. 10, 2013
SR-ISE-2013-51
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 62899)
34-70643
Oct. 9, 2013
SR-Topaz-2013-07
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 62764)
34-70636
Oct. 9, 2013
SR-Topaz-2013-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to PIM and Penny Pilot Periods Comments Due: Exhibit 5 Federal Register version (78 FR 62838)
34-70644
Oct. 9, 2013
SR-Topaz-2013-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Maker Risk Parameters Comments Due: Exhibit 5 Federal Register version (78 FR 62785)
34-70637
Oct. 9, 2013
SR-NYSEArca-2013-92
Notice of Filing of 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 Exhibit 5 , Rel. No. 34-70995 , Rel. No. 34-71331 Federal Register version (78 FR 62745)
34-70647
Oct. 9, 2013
SR-ISE-2013-50
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 62901)
34-70626
Oct. 8, 2013
SR-EDGX-2013-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rules 3.2, 13.3, and Adopt Rule 12.14, Front Running of Block Transactions To Conform With the Rules of Other Self-Regulatory Organizations Comments Due: Exhibit 5 Federal Register version (78 FR 62855)
34-70623
Oct. 8, 2013
SR-BYX-2013-037
Notice of Filing and Immediate Effectiveness of a Rule Change To Add a Reference to Rule 10C-1 Under the Exchange Act in the Exchange's Rules Concerning Unlisted Trading Privileges Comments Due: Exhibit 5 Federal Register version (78 FR 62777)
34-70625
Oct. 8, 2013
SR-EDGA-2013-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rules 3.2, 13.3, and Adopt Rule 12.14, Front Running of Block Transactions To Conform With the Rules of Other Self-Regulatory Organizations Comments Due: Exhibit 5 Federal Register version (78 FR 62842)
34-70629
Oct. 8, 2013
SR-Phlx-2013-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the Options Floor Broker Management System Comments Due: Federal Register version (78 FR 62852)
34-70630
Oct. 8, 2013
SR-Phlx-2013-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Table of Contents of the Pricing Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 62774)
34-70624
Oct. 8, 2013
SR-NYSEArca-2013-101
Notice of Filing of Proposed Rule Change To List and Trade Shares of the WisdomTree Bloomberg U.S. Dollar Bullish Fund, WisdomTree Bloomberg U.S. Dollar Bearish Fund, and the WisdomTree Commodity Currency Bearish Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-70993 Federal Register version (78 FR 62751)
34-70628
Oct. 8, 2013
SR-NYSE-2013-68
Notice of Filing of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual To Expand the Suite of Complimentary Products and Services That Are Offered to Certain Current and Newly Listed Companies Comments Due: Exhibit 5 , Rel. No. 34-70971 Federal Register version (78 FR 62889)
34-70627
Oct. 8, 2013
SR-NASDAQ-2013-130
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt New Regulatory Fees Payable by Certain Listed Companies and Applicants Comments Due: Exhibit 5 Federal Register version (78 FR 62726)
34-70617
Oct. 7, 2013
SR-MSRB-2013-06
Notice of Withdrawal of Proposed Rule Change to Amend MSRB Rule A-3, on Membership on the Board, To Modify the Standard of Independence for Public Board Members Comments Due: View Received Comments Rel. No. 34-70004 Federal Register version (78 FR 62780)
34-70618
Oct. 7, 2013
SR-CBOE-2013-093
Notice of Filing of a Proposed Rule Change To Amend Rule 6.42 Comments Due: Exhibit 5 , Rel. No. 34-70930 Federal Register version (78 FR 62887)
34-70611
Oct. 4, 2013
SR-CFE-2013-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Notification and Reporting Provisions for Exchange of Contract for Related Position Transactions and Block Trades Comments Due: Exhibit 4 Federal Register version (78 FR 62817)
34-70614
Oct. 4, 2013
SR-NASDAQ-2013-129
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Credits Applicable to Execution and Routing of Orders in Securities Priced at $1 or More per Share Under Rule 7018 Comments Due: Federal Register version (78 FR 62807)
34-70612
Oct. 4, 2013
SR-FINRA-2013-025
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-71179 , Rel. No. 34-69902 Federal Register version (78 FR 62831)
34-70613
Oct. 4, 2013
SR-FINRA-2013-036
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations) Rel. No. 34-72067 , Rel. No. 34-71636 , Rel. No. 34-70276 , Rel. No. 34-70966 Federal Register version (78 FR 62784)
34-70608
Oct. 3, 2013
SR-BATS-2013-051
Notice of Filing of Proposed Rule Change To List and Trade Shares of the iShares Liquidity Income Fund Comments Due: Rel. No. 34-70986 Federal Register version (78 FR 62791)
34-70605
Oct. 3, 2013
SR-CME-2013-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Its IRS Margin Methodology Comments Due: Federal Register version (78 FR 62787)
34-70607
Oct. 3, 2013
SR-MSRB-2013-08
Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-11, on Primary Offering Practices, Relating to Changes in a Bond Authorizing Document Comments Due: Exhibit 2 , Exhibit 5 , Rel. No. 34-70990 Federal Register version (78 FR 62736)
34-70601
Oct. 2, 2013
SR-EDGX-2013-37
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 62903)
34-70600
Oct. 2, 2013
SR-EDGA-2013-30
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 62854)
34-70597
Oct. 2, 2013
SR-CHX-2013-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Registration, Qualification, Supervision, and Continuing Education of Individuals Associated with Participant Firms Comments Due: Exhibit 5 Federal Register version (78 FR 62728)
34-70596
Oct. 2, 2013
SR-OCC-2013-806
Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal to Enter a New Credit Facility Agreement Comments Due: Federal Register version (78 FR 62719)
34-70599
Oct. 2, 2013
SR-NYSEMKT-2013-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 341A To Specify Applicable Continuing Education Requirements, Amending the NYSE Amex Options Fee Schedule To Specify Corresponding CE Fees and To Specify Fees for the Series 56 Examination Comments Due: Federal Register version (78 FR 62881)
34-70598
Oct. 2, 2013
SR-NYSEARCA-2013-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2.23 to Specify Applicable Continuing Education Requirements, Amending the NYSE Arca Options Fee Schedule to Specify Corresponding CE Fees and to Specify Fees for the Series 56 Examination Comments Due: Federal Register version (78 FR 62911)
34-70589
Oct. 1, 2013
SR-NSX-2013-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.19 To Extend Pilot Program Regarding Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (78 FR 62782)
34-70593
Oct. 1, 2013
SR-MSRB-2013-07
Notice of Filing of a Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals, and the Proposed Deletion of Interpretive Guidance Comments Due: View Received Comments Exhibit 2 , Exhibit 5 , Rel. No. 34-71665 , Rel. No. 34-71326 Federal Register version (78 FR 62867)
34-70590
Oct. 1, 2013
SR-CBOE-2013-092
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to CBSX Appendix A Comments Due: Exhibit 5 Federal Register version (78 FR 62775)
34-70558
Sept. 30, 2013
SR-CME-2013-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology Comments Due: Federal Register version (78 FR 61437)
34-70559
Sept. 30, 2013
SR-CME-2013-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Its Acceptance of a New Series of Credit Default Swap Index Products Comments Due: Federal Register version (78 FR 61420)
34-70565
Sept. 30, 2013
SR-NYSEARCA-2013-98
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes To Amend the Definition of Retail Order in the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and the Attestation Requirements for ETP Holders That Submit Retail Orders Comments Due: Exhibit 5 Federal Register version (78 FR 61433)
34-70570
Sept. 30, 2013
SR-NYSEArca-2013-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting Changes to the Means of Achieving the Investment Objective Applicable to Shares of the PowerShares China A-Share Portfolio Comments Due: Federal Register version (78 FR 61411)
34-70555
Sept. 30, 2013
SR-NASDAQ-2013-125
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reduce the Fees Assessed Under NASDAQ Rule 7034 for Certain Co-Location Services Comments Due: Exhibit 5 Federal Register version (78 FR 61429)
34-70560
Sept. 30, 2013
NASDAQ-2013-124
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SQF Port Fees Comments Due: Exhibit 5 Federal Register version (78 FR 61439)
34-70575
Sept. 30, 2013
SR-NASDAQ-2013-126
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Fee Pilot Program for NASDAQ Last Sale Comments Due: View Received Comments Federal Register version (78 FR 62820)
34-70574
Sept. 30, 2013
SR-C2-2013-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 62885)
34-70548
Sept. 27, 2013
SR-BATS-2013-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Trading Halt Rule of BATS Options Comments Due: Exhibit 5 Federal Register version (78 FR 61422)
34-70546
Sept. 27, 2013
SR-CHX-2013-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Data Revenue Rebates Program Comments Due: Federal Register version (78 FR 61413)
34-70541
Sept. 27, 2013
SR-Phlx-2013-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule Comments Due: Exhibit 5 Federal Register version (78 FR 61431)
34-70545
Sept. 27, 2013
SR-OCC-2013-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Inadvertent Omission in a Prior Rule Change Filing Related to the Definition of Hedge Clearing Member Comments Due: Federal Register version (78 FR 61436)
34-70544
Sept. 27, 2013
SR-NSCC-2013-10
Notice of Filing of Proposed Rule Change to Decommission Its Trade Risk Pro Service Comments Due: Rel. No. 34-70848 Federal Register version (78 FR 61424)
34-70539
Sept. 27, 2013
SR-BX-2013-052
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Certain Options Symbols Comments Due: Exhibit 5 Federal Register version (78 FR 61418)
34-70542
Sept. 27, 2013
SR-BX-2013-053
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule Comments Due: Exhibit 5 Federal Register version (78 FR 61427)
34-70535
Sept. 27, 2013
SR-NASDAQ-2013-128
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NASDAQ Listing Standards Related to Compliance Determinations for Market Value of Listed Securities and Market Value of Publicly-Held Shares Deficiencies Comments Due: Federal Register version (78 FR 61408)
