34-70543
Sept. 27, 2013
SR-MIAX-2013-45
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503 Comments Due: Exhibit 5 Federal Register version (78 FR 61416)
34-70540
Sept. 27, 2013
SR-CBOE-2013-089
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CBSX Rule 53.22 Related to CBSX Remote Market-Maker Appointments Comments Due: Federal Register version (78 FR 61425)
34-70511
Sept. 26, 2013
SR-EDGX-2013-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGX Rule 11.13, Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (78 FR 60941)
34-70513
Sept. 26, 2013
SR-BATS-2013-053
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule Comments Due: Exhibit 5 Federal Register version (78 FR 60973)
34-70514
Sept. 26, 2013
SR-BYX-2013-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule Comments Due: Exhibit 5 Federal Register version (78 FR 60963)
34-70512
Sept. 26, 2013
SR-EDGA-2013-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13, Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (78 FR 60965)
34-70525
Sept. 26, 2013
SR-NSX-2013-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 60954)
34-70515
Sept. 26, 2013
SR-CHX-2013-17
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: Exhibit 5 Federal Register version (78 FR 60945)
34-70517
Sept. 26, 2013
SR-NYSEMKT-2013-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 128-Equities and Removing References to Individual Security Trading Pauses Contained in Rule 128(c)(4)-Equities Comments Due: Exhibit 5 Federal Register version (78 FR 60943)
34-70518
Sept. 26, 2013
SR-NYSEArca-2013-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 7.10 and Removing References to Individual Security Trading Pauses Contained in Rule 7.10(c)(4) Comments Due: Exhibit 5 Federal Register version (78 FR 60950)
34-70520
Sept. 26, 2013
SR-NYSEARCA-2013-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Regarding Calculation of the Mid-Point Passive Liquidity Order Tier Comments Due: Exhibit 5 Federal Register version (78 FR 60939)
34-70528
Sept. 26, 2013
SR-NYSEArca-2013-99
Notice Period For Submitting Certain Notices to the Exchange Comments Due: Exhibit 5 Federal Register version (78 FR 60975)
34-70519
Sept. 26, 2013
SR-NYSE-2013-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 128 and Removing References to Individual Security Trading Pauses Contained in Rule 128(c)(4) Comments Due: Exhibit 5 Federal Register version (78 FR 60969)
34-70529
Sept. 26, 2013
SR-NASDAQ-2013-127
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule Comments Due: Exhibit 5 Federal Register version (78 FR 60977)
34-70532
Sept. 26, 2013
SR-MSRB-2013-05
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend MSRB Rules G-8, G-11, and G-32 To Include Provisions Specifically Tailored for Retail Order Periods Comments Due: View Received Comments Rel. No. 34-69834 Federal Register version (78 FR 60956)
34-70523
Sept. 26, 2013
SR-MIAX-2013-47
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 60966)
34-70510
Sept. 26, 2013
SR-ISE-2013-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE Rule 2128 Relating to Clearly Erroneous Trades Comments Due: Exhibit 5 Federal Register version (78 FR 60991)
34-70516
Sept. 26, 2013
SR-FINRA-2013-041
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892 Comments Due: Exhibit 5 Federal Register version (78 FR 60952)
34-70509
Sept. 26, 2013
SR-CBOE-2013-091
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CBSX Clearly Erroneous Policy Pilot Program Comments Due: Exhibit 5 Federal Register version (78 FR 60971)
34-70522
Sept. 26, 2013
SR-CBOE-2013-090
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 60978)
34-70508
Sept. 26, 2013
SR-C2-2013-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Message Types, Connectivity and Bandwidth Allowance Comments Due: Exhibit 5 Federal Register version (78 FR 60947)
34-70499
Sept. 25, 2013
SR-NYSEMKT-2013-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule To Specify the Frequency With Which the Exchange May Change the Options Regulatory Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 60362)
34-70500
Sept. 25, 2013
SR-NYSEArca-2013-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Specify the Frequency With Which the Exchange May Change the Options Regulatory Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 60361)
34-70503
Sept. 25, 2013
SR-NYSEArca-2013-95
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Add an Additional Tier to the Lead Market Maker Rights Fees Comments Due: Exhibit 5 Federal Register version (78 FR 60364)
34-70504
Sept. 25, 2013
SR-NYSEArca-2013-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Include an Additional Market Maker Monthly Posting Credit Tier Comments Due: Exhibit 5 Federal Register version (78 FR 60358)
34-70501
Sept. 25, 2013
SR-NSCC-2013-02
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Institute Supplemental Liquidity Deposits to Its Clearing Funding Designed To Increase Liquidity Resources To Meet Its Liquidity Needs Comments Due: View Received Comments Rel. No. 34-70999 , Rel. No. 34-70688 , Rel. No. 34-69951 , Rel. No. 34-69620 , Rel. No. 34-69313 Federal Register version (78 FR 60347)
34-70498
Sept. 25, 2013
SR-MIAX-2013-43
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement an Equity Rights Program Comments Due: View Received Comments Federal Register version (78 FR 60348)
34-70505
Sept. 25, 2013
SR-MIAX-2013-44
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Exchange Rule 604 in Connection With Market Maker Continuous Quoting Obligations Comments Due: Exhibit 5 Federal Register version (78 FR 60352)
34-70496
Sept. 25, 2013
SR-ICC-2013-07
Notice of Filing of Proposed Rule Change To Provide for the Clearance of Standard Emerging European and Middle Eastern Sovereign Single Names Comments Due: Rel. No. 34-70849 Federal Register version (78 FR 60357)
34-70487
Sept. 24, 2013
SR-NYSE-2013-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Listing Standard for Reverse Merger Companies Set Forth in Section 102.01F of The Exchange's Listed Company Manual to Harmonize With Nasdaq Stock Market Rules That Require the Timely Filing of All Required Reports for the Most Recent 12-Month Period Comments Due: Exhibit 5 Federal Register version (78 FR 59992)
34-70489
Sept. 24, 2013
SR-NASDAQ-2013-120
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Chapter XV, at Section 2 Governing Pricing for NASDAQ Members Using the NASDAQ Options Market ("NOM") Comments Due: Federal Register version (78 FR 60005)
34-70482
Sept. 24, 2013
SR-FINRA-2013-039
Notice of Filing of Proposed Rule Change To Clarify the Classification and Reporting of Certain Securities to FINRA Comments Due: View Received Comments Rel. No. 34-71180 , Rel. No. 34-71927 , Rel. No. 34-71819 , Rel. No. 34-71629 , Rel. No. 34-71180 Federal Register version (78 FR 59995)
34-70483
Sept. 24, 2013
SR-FINRA-2013-040
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Limited Waiver of the TRACE Professional Real-Time Data Display Fee Pilot Comments Due: Exhibit 5 Federal Register version (78 FR 60003)
34-70488
Sept. 24, 2013
SR-BOX-2013-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules in Order To Implement the Upcoming Change to Friday Expiration Processing and Eventual Transition to Friday Expiration for All Monthly Expiration Contracts Comments Due: Exhibit 5 Federal Register version (78 FR 59998)
34-70472
Sept. 23, 2013
SR-PHLX-2013-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Minor Modification To Pricing Incentive Programs Comments Due: Federal Register version (78 FR 59738)
34-70465
Sept. 20, 2013
SR-BATS-2013-035
Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Competitive Liquidity Provider Program Rel. No. 34-69889 , Rel. No. 34-70166 Federal Register version (78 FR 59390)
34-70463
Sept. 20, 2013
SR-NYSE-2013-54
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes That Address the Exchanges' Emergency Powers File Nos.: Comments Due: View Received Comments Rel. No. 34-70822 , Rel. No. 34-70099 , Rel. No. 34-70097 , Rel. No. 34-70098 Federal Register version (78 FR 59390)
34-70463
Sept. 20, 2013
SR-NYSEARCA-2013-77
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes That Address the Exchanges' Emergency Powers File Nos.: Comments Due: View Received Comments Rel. No. 34-70822 , Rel. No. 34-70099 , Rel. No. 34-70097 , Rel. No. 34-70098 Federal Register version (78 FR 59390)
34-70463
Sept. 20, 2013
SR-NYSEMKT-2013-66
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes That Address the Exchanges' Emergency Powers File Nos.: Comments Due: View Received Comments Rel. No. 34-70822 , Rel. No. 34-70099 , Rel. No. 34-70097 , Rel. No. 34-70098 Federal Register version (78 FR 59390)
34-70459
Sept. 20, 2013
SR-NASDAQ-2013-121
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Low Beta Income Fund of First Trust Exchange-Traded Fund VI Comments Due: Rel. No. 34-70828 Federal Register version (78 FR 59394)
34-70460
Sept. 20, 2013
SR-NASDAQ-2013-122
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust High Income Fund of First Trust Exchange-Traded Fund VI Comments Due: Rel. No. 34-70829 Federal Register version (78 FR 59402)
34-70467
Sept. 20, 2013
SR-NASDAQ-2013-119
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Existing Fees To Receive CME Group Multi-Cast Market Data Feeds via Wireless Connectivity Comments Due: Exhibit 5 Federal Register version (78 FR 59391)
34-70470
Sept. 20, 2013
SR-NASDAQ-2013-117
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Minor Modifications To Pricing Incentive Programs Under NASDAQ's Schedule of Fees and Credits Applicable To Trading on the NASDAQ Options Market Comments Due: Federal Register version (78 FR 59740)
34-70451
Sept. 19, 2013
SR-Phlx-2013-95
Notice of Filing and Immediate Effectiveness of Proposed Temporary Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday Comments Due: Exhibit 5 Federal Register version (78 FR 59076)
34-70441
Sept. 18, 2013
SR-BATS-2013-050
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate References to Obsolete Functionality Comments Due: Exhibit 5 Federal Register version (78 FR 58583)
34-70440
Sept. 18, 2013
SR-BYX-2013-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate References to Obsolete Functionality Comments Due: Exhibit 5 Federal Register version (78 FR 58578)
34-70445
Sept. 18, 2013
SR-NYSEMKT-2013-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a One-Day 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 on September 11, 2013 Comments Due: Federal Register version (78 FR 58585)
34-70446
Sept. 18, 2013
SR-NYSE-2013-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a One-Day 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 on September 11, 2013 Comments Due: Federal Register version (78 FR 58587)
34-70444
Sept. 18, 2013
SR-ICEEU-2013-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clear Contracts Traded on ICE Endex Comments Due: Federal Register version (78 FR 58576)
34-70426
Sept. 17, 2013
SR-Topaz-2013-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees September 17, 2013. Comments Due: Exhibit 5 Federal Register version (78 FR 58359)
34-70425
Sept. 17, 2013
SR-NYSEArca-2013-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.91 To Specify That LMMs Receive Execution Allocations of Incoming Electronic Complex Orders and Complex Order Auction Eligible Orders in Accordance With the Guaranteed Participation Provision of Rule 6.76A(a)(1)(A), Without Any Exceptions Comments Due: Exhibit 5 Federal Register version (78 FR 58356)
34-70429
Sept. 17, 2013
S7-24-89
Notice of Filing of Amendment No. 30 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments Due: Rel. No. 34-70793 Federal Register version (78 FR 58352)
34-70428
Sept. 17, 2013
SR-CTA-2013-05
Notice of Filing of the Eighteenth Substantive Amendment to the Second Restatement of the CTA Plan Comments Due: Rel. No. 34-70794 Federal Register version (78 FR 58362)
34-70424
Sept. 17, 2013
SR-CBOE-2013-088
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Appointment Cost of IWM Options Comments Due: Federal Register version (78 FR 58354)
34-70427
Sept. 17, 2013
SR-BOX-2013-43
Notice of Filing of Proposed Rule Change To Permit Complex Orders To Participate in Price Improvement Periods Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-70797 , Rel. No. 34-70797 , Rel. No. 34-71148 Federal Register version (78 FR 58364)
34-70416
Sept. 16, 2013
SR-Phlx-2013-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Pricing Schedule Sections II and IV Comments Due: Exhibit 5 Federal Register version (78 FR 57913)
34-70418
Sept. 16, 2013
SR-NASDAQ-2013-115
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Fees and Fee Waivers for Certain Exchange Traded Products Comments Due: Federal Register version (78 FR 57909)
34-70421
Sept. 16, 2013
SR-NASDAQ-2013-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error and an Incorrect Cross Reference in Rule 5635(e)(4) Comments Due: Federal Register version (78 FR 57905)
34-70417
Sept. 16, 2013
SR-ISE-2013-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 604, Continuing Education for Registered Persons, and To Adopt a Corresponding Fee Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 57907)
34-70389
Sept. 13, 2013
SR-NYSEArca-2013-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by the NASDAQ UTP Securities Information Processor on August 22, 2013, Which Impacted Trading Across All Markets Comments Due: Federal Register version (78 FR 57669)
34-70384
Sept. 12, 2013
SR-EDGX-2013-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the EDGX Exchange, Inc. Fee Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 57425)
34-70385
Sept. 12, 2013
SR-BYX-2013-031
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 57424)
34-70386
Sept. 12, 2013
SR-BYX-2013-030
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 57422)
34-70383
Sept. 12, 2013
SR-EDGA-2013-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the EDGA Exchange, Inc. Fee Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 57429)
34-70381
Sept. 12, 2013
SR-CHX-2013-16
Notice of Filing of Proposed Rule Change To Adopt Standards for the Cancellation or Adjustment of Bona Fide Error Trades, the Submission of Error Correction Transactions, and the Cancellation or Adjustment of Stock Leg Trades of Stock-Option or Stock-Future Orders Comments Due: Exhibit 5 , Rel. No. 34-70791 Federal Register version (78 FR 57431)
34-70382
Sept. 12, 2013
SR-CBOE-2013-086
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 57427)
34-70371
Sept. 11, 2013
SR-Phlx-2013-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 57203)
34-70373
Sept. 11, 2013
SR-NYSEMKT-2013-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain of Its Rules Pertaining to the Trading of Options in Order To Change the Expiration Date for Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday Comments Due: Exhibit 5 Federal Register version (78 FR 57198)
34-70372
Sept. 11, 2013
SR-NYSEARCA-2013-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Rules Pertaining to the Trading of Options in Order To Change the Expiration Date for Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday Comments Due: Exhibit 5 Federal Register version (78 FR 57186)
34-70370
Sept. 11, 2013
SR-C2-2013-033
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 57195)
34-70369
Sept. 11, 2013
SR-BOX-2013-44
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Make Permanent the Pilot Program of Liquidity Fees and Credits for Certain Transactions in the BOX Price Improvement Period Comments Due: Exhibit 3 , Exhibit 5 Federal Register version (78 FR 57191)
34-70363
Sept. 10, 2013
SR-EDGX-2013-33
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 56957)
34-70360
Sept. 10, 2013
SR-BATS-2013-049
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 56955)
34-70364
Sept. 10, 2013
SR-EDGA-2013-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule Comments Due: Exhibit 5
34-70366
Sept. 10, 2013
SR-OCC-2013-805
Notice of Filing of an Advance Notice to Amend an Existing Interpretation and Policy to Give OCC Discretion Not to Grant a Particular Clearing Member Margin Credit for an Otherwise Eligible Security Comments Due: Federal Register version (78 FR 56953)
34-70356
Sept. 10, 2013
SR-NYSEArca-2013-86
Notice of Filing of Proposed Rule Change To List and Trade Shares of Franklin Short Duration U.S. Government ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-70773 Federal Register version (78 FR 56970)
34-70361
Sept. 10, 2013
SR-NASDAQ-2013-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Program Under Rule 7014, the Fees Assessed Under Rule 7015(g), and the Schedule of Fees and Rebates Under Rule 7018(a) Comments Due: Exhibit 5 Federal Register version (78 FR 56962)
34-70357
Sept. 10, 2013
SR-MIAX-2013-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1014 Comments Due: Exhibit 5 Federal Register version (78 FR 56960)
34-70362
Sept. 10, 2013
SR-ISE-2013-42
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List Options on the Nations VolDex Index Comments Due: View Received Comments Rel. No. 34-70787 , Rel. No. 34-70059 Federal Register version (78 FR 56955)
34-70358
Sept. 10, 2013
SR-FINRA-2013-031
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Participation on the Alternative Display Facility Rel. No. 34-71407 , Rel. No. 34-70776 , Rel. No. 34-70048 Federal Register version (78 FR 56967)
34-70348
Sept. 9, 2013
SR-BATS-2013-048
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 56760)
34-70347
Sept. 9, 2013
SR-NYSEArca-2013-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to the Means of Achieving the Investment Objective Applicable to the AdvisorShares QAM Equity Hedge ETF Comments Due: Federal Register version (78 FR 56764)
34-70346
Sept. 9, 2013
SR-MIAX-2013-41
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 56762)
34-70336
Sept. 6, 2013
SR-CME-2013-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Enhancements to CME's Price Quality Auction Process for CDS Index Products Comments Due: Federal Register version (78 FR 56261)
34-70339
Sept. 6, 2013
SR-BX-2013-051
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Assessed for Connectivity to the Exchange Under Rule 7015 and Amend the Fees Assessed and Credits Paid Under Exchange Rule 7018(a) Comments Due: Exhibit 5 Federal Register version (78 FR 56249)
34-70335
Sept. 6, 2013
SR-ISE-2013-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to $0.50 and $1 Strike Price Intervals for Classes in the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (78 FR 56253)
34-70327
Sept. 5, 2013
SR-Phlx-2013-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 640, Continuing Education for Registered Persons and Adopt a Corresponding Fee Comments Due: Federal Register version (78 FR 55766)
34-70317
Sept. 4, 2013
SR-NYSEArca-2013-42
Notice of Filing of a Proposed Rule Change Amending Rule 6.72 To Make Permanent the Penny Trading Program for Options Comments Due: View Received Comments Exhibit 3 , Exhibit 5 , Rel. No. 34-70733 , Rel. No. 34-70918 Federal Register version (78 FR 55312)
34-70311
Sept. 4, 2013
SR-BX-2013-049
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 1120 and Adopt a Corresponding Fee Comments Due: Federal Register version (78 FR 55318)
34-70316
Sept. 4, 2013
SR-NASDAQ-2013-108
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1120 and To Adopt a Corresponding Fee Comments Due: Federal Register version (78 FR 55302)
34-70320
Sept. 4, 2013
SR-NASDAQ-2013-111
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Time-Limited Waiver of the Monthly Subscription Fee for New and Existing Subscribers to the Equity Trade Journal for Clearing Firms Service under Rule 7060 Comments Due: Federal Register version (78 FR 55320)
34-70312
Sept. 4, 2013
SR-FINRA-2013-037
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 5131 (New Issue Allocations and Distributions) Comments Due: View Received Comments Rel. No. 34-70957 Federal Register version (78 FR 55322)
34-70313
Sept. 4, 2013
SR-CBOE-2013-085
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 55310)
34-70314
Sept. 4, 2013
SR-CBOE-2013-084
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 55316)
34-70315
Sept. 4, 2013
SR-CBOE-2013-083
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 55305)
34-70299
Sept. 3, 2013
SR-MIAX-2013-40
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend MIAX Rule 1322, Options Communications Comments Due: Federal Register version (78 FR 55131)
34-70302
Sept. 3, 2013
SR-CBOE-2013-082
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (78 FR 55130)
34-70301
Sept. 3, 2013
SR-C2-2013-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (78 FR 55128)
34-70296
Aug. 30, 2013
SR-Topaz-2013-03
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 54942)
34-70294
Aug. 30, 2013
SR-NYSEMKT-2013-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Certain Obsolete Rules That Relate to Its Disciplinary Proceedings and Make a Conforming Change Comments Due: Exhibit 5 Federal Register version (78 FR 54943)
