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)
34-70295
Aug. 30, 2013
SR-BX-2013-016
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Adopt a Directed Order Process Comments Due: View Received Comments Rel. No. 34-70756 , Rel. No. 34-69684 , Rel. No. 34-69040 Federal Register version (78 FR 54941)
34-70291
Aug. 30, 2013
SR-DTC-2013-10
Notice of Filing of Proposed Rule Change in Order To Terminate the Sealed Envelope Service, Which Is Part of The Depository Trust Company's Custody Service Comments Due: View Received Comments Rel. No. 34-70675 Federal Register version (78 FR 54696)
34-70289
Aug. 29, 2013
SR-OCC-2013-10
Notice of Filing of Proposed Rule Change To Amend Its Policy Statement Adopted Under Rule 205 Entitled "Back-up Communication Channel to Internet Access" Comments Due: Rel. No. 34-70704 , Rel. No. 34-70704 Federal Register version (78 FR 54707)
34-70285
Aug. 29, 2013
SR-NYSEMKT-2013-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE MKT Equities Price List and NYSE Amex Options Fee Schedule To Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center Comments Due: Exhibit 5 Federal Register version (78 FR 54697)
34-70284
Aug. 29, 2013
SR-NYSEArca-2013-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Investments in Leveraged Loans by the Peritus High Yield ETF Comments Due: Federal Register version (78 FR 54715)
34-70286
Aug. 29, 2013
SR-NYSEARCA-2013-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule and NYSE Arca Equities Fee Schedule To Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center Comments Due: Exhibit 5 Federal Register version (78 FR 54710)
34-70287
Aug. 29, 2013
SR-NYSE-2013-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the New York Stock Exchange Price List To Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center Comments Due: Exhibit 5 Federal Register version (78 FR 54704)
34-70281
Aug. 29, 2013
SR-ICEEU-2013-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Regulatory Reporting of Swap Data Comments Due: View Received Comments Federal Register version (78 FR 54718)
34-70283
Aug. 29, 2013
SR-ICEEU-2013-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Account for Sections 1471 through 1474 of the U.S. Internal Revenue Code and U.S. Treasury Regulations and Other Guidance Thereunder (Commonly Known as the Foreign Account Tax Compliance Act or "FATCA") Comments Due: Federal Register version (78 FR 54713)
34-70288
Aug. 29, 2013
SR-FINRA-2013-038
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4) Comments Due: Federal Register version (78 FR 54694)
34-70278
Aug. 28, 2013
SR-Phlx-2013-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Commentary to Rule 1080 To Add a New PIXL ISO Order Type Comments Due: Exhibit 5 Federal Register version (78 FR 54504)
34-70279
Aug. 28, 2013
SR-OCC-2013-14
Clearing Agency; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change 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 54507)
34-70276
Aug. 28, 2013
SR-FINRA-2013-036
Notice of Filing of a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations) Comments Due: View Received Comments Rel. No. 34-72067 , Rel. No. 34-71636 , Rel. No. 34-70613 , Rel. No. 34-70966 Federal Register version (78 FR 54502)
34-70264
Aug. 27, 2013
SR-BATS-2013-045
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Revenue Sharing Program Comments Due: Federal Register version (78 FR 54338)
34-70270
Aug. 27, 2013
SR-Phlx-2013-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rule 910 and Related Phlx Rules Comments Due: Federal Register version (78 FR 54346)
34-70271
Aug. 27, 2013
SR-Phlx-2013-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Additional Trading Information and Rule Clarity to Phlx Participants Comments Due: Federal Register version (78 FR 54340)
34-70273
Aug. 27, 2013
4-631
Notice of Filing and Immediate Effectiveness of the Fourth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by 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., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Federal Register version (78 FR 54321)
34-70274
Aug. 27, 2013
4-631
Notice of Filing of the Fifth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by 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., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Rel. No. 34-70530 Federal Register version (78 FR 54305)
34-70269
Aug. 27, 2013
SR-NASDAQ-2013-106
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7026 Comments Due: Exhibit 5 Federal Register version (78 FR 54336)
34-70268
Aug. 27, 2013
SR-FINRA-2013-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 16 Examination Program Comments Due: Federal Register version (78 FR 54359)
34-70272
Aug. 27, 2013
SR-FINRA-2013-035
Notice of Filing of a Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection-Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-70958 Federal Register version (78 FR 54350)
34-70257
Aug. 26, 2013
SR-BATS-2013-047
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Registration and Continuing Education Fees for BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (78 FR 53814)
34-70256
Aug. 26, 2013
SR-BYX-2013-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Registration and Continuing Education Fees for BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (78 FR 53807)
34-70259
Aug. 26, 2013
SR-Phlx-2013-89
Notice of Filing and Immediate Effectiveness of Proposed 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 53809)
34-70258
Aug. 26, 2013
SR-BX-2013-050
Notice of Filing and Immediate Effectiveness of Proposed 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 53797)
34-70253
Aug. 26, 2013
SR-NASDAQ-2013-107
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Global Tactical Commodity Strategy Fund of First Trust Exchange-Traded Fund VII Comments Due: Rel. No. 34-70638 Federal Register version (78 FR 53799)
34-70260
Aug. 26, 2013
SR-NASDAQ-2013-112
Notice of Filing and Immediate Effectiveness of Proposed 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 53794)
34-70255
Aug. 26, 2013
SR-BOX-2013-42
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 53812)
34-70247
Aug. 23, 2013
SR-CME-2013-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to Its OTC IRS Clearing Offering Including New Fees and the Addition of Four New Currencies and Two New Rate Options Comments Due: Federal Register version (78 FR 53490)
34-70245
Aug. 22, 2013
SR-NASDAQ-2013-110
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VII, Section 6 of the Rules of the NASDAQ Options Market To Permit the Exchange To Establish Wider Bid/Ask Differentials for Certain Options With High Premiums or Other Special Characteristics Comments Due: Exhibit 5 Federal Register version (78 FR 53179)
34-70242
Aug. 21, 2013
SR-Phlx-2013-76
Notice of Filing of Proposed Rule Change Relating to the Discontinuation of the Differentiation of Price Improvement XL Orders of Less Than 50 Contracts Comments Due: Exhibit 5 , Rel. No. 34-70654 Federal Register version (78 FR 52991)
34-70241
Aug. 21, 2013
SR-NASDAQ-2013-109
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Optional Anti-Internalization Functionality Comments Due: Exhibit 5 Federal Register version (78 FR 52994)
34-70237
Aug. 20, 2013
SR-BATS-2013-046
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify BATS Registration and Continuing Education Requirements Comments Due: Exhibit 5 Federal Register version (78 FR 52814)
34-70236
Aug. 20, 2013
SR-BYX-2013-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify BYX Registration and Continuing Education Requirements Comments Due: Exhibit 5 Federal Register version (78 FR 52810)
34-70235
Aug. 20, 2013
SR-NYSEMKT-2013-59
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 965NY, Which Governs NDX and RUT Combination Orders Comments Due: View Received Comments Rel. No. 34-70802 , Rel. No. 34-70588 , Rel. No. 34-69919
34-70230
Aug. 19, 2013
SR-EDGX-2013-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate EDGX Rule 13.4 Comments Due: Federal Register version (78 FR 52589)
34-70231
Aug. 19, 2013
SR-EDGA-2013-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate EDGA Rule 13.4 Comments Due: Federal Register version (78 FR 52596)
34-70227
Aug. 19, 2013
SR-FINRA-2013-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens Comments Due: View Received Comments Federal Register version (78 FR 52594)
34-70232
Aug. 19, 2013
SR-FICC-2013-08
Notice of Filing of Proposed Rule Change in Connection With the Notification of Settlement Process Used by the Mortgage-Backed Securities Division ("MBSD") Comments Due: Exhibit 5 , Rel. No. 34-70484 Federal Register version (78 FR 52598)
34-70229
Aug. 19, 2013
SR-C2-2013-031
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Change the Expiration Date for Most Options 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 52591)
34-70220
Aug. 16, 2013
SR-CME-2013-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Benchmark Used in Connection With Settling CME Palm Oil Futures and CME Palm Oil Swaps Comments Due: Federal Register version (78 FR 52228)
34-70225
Aug. 16, 2013
SR-OCC-2013-13
Notice of Filing of Proposed Rule Change Relating to the Use of Manual Signatures, Reduction of Segregated Long Positions in Accounts With Aggregated Long Positions, Requirements To Be Physically Present, and Other Technical Changes to OCC's By-Laws and Rules to Better Reflect Current Operational Practices Comments Due: Rel. No. 34-70502 , Rel. No. 34-70502 Federal Register version (78 FR 52227)
34-70224
Aug. 16, 2013
SR-BOX-2013-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Continuing Education for Registered Persons Comments Due: Exhibit 5 Federal Register version (78 FR 52224)
34-70207
Aug. 15, 2013
SR-OCC-2013-12
Notice of Filing of Proposed Rule Change To Revise Its By-Laws and Rules To Make Structural Changes to OCC's Membership/Risk Committee Regarding Public Directors and the Process for Designating Membership/Risk Committee Members Comments Due: Rel. No. 34-70486 , Rel. No. 34-70486 Federal Register version (78 FR 51786)
34-70212
Aug. 15, 2013
SR-NYSEMKT-2013-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for Display Use of the NYSE MKT BBO and NYSE MKT Trades Market Data Products and Making Certain Technical Changes to the Fee Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 51775)
34-70213
Aug. 15, 2013
SR-NYSEARCA-2013-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for Display Use of the NYSE Arca BBO and NYSE Arca Trades Market Data Products and Making Certain Technical Changes to the Fee Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 51796)
34-70206
Aug. 15, 2013
SR-NYSE-2013-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe the Billing Practice for Co-Location Services and Expand Co-Location Services To Provide for a 40 Gigabit Liquidity Center Network Connection Comments Due: Exhibit 5 Federal Register version (78 FR 51765)
34-70211
Aug. 15, 2013
SR-NYSE-2013-58
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for Display Use of the NYSE BBO and NYSE Trades Market Data Products and Making Certain Technical Changes to the Fee Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 51781)
34-70217
Aug. 15, 2013
SR-NYSE-2013-07
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, Which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name and To Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform Comments Due: View Received Comments Rel. No. 34-70720 , Rel. No. 34-69622 , Rel. No. 34-69286 , Rel. No. 34-68936 Federal Register version (78 FR 51780)
34-70218
Aug. 15, 2013
SR-NYSE-2013-33
Notice of and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 to: (i) Delete the Sections in the Listed Company Manual (the "Manual") Containing the Listing Application Materials (Including the Listing Application and the Listing Agreement) and Adopt Updated Listing Application Materials that will be Posted on the Exchange's Web site; and (ii) Adopt As New Rules Certain Provisions that are Currently Included in the Various Forms of Agreements That Are in the Manual, As Well As Some Additional New Rules that Make Explicit Existing Exchange Policies with Respect to Initial Listings Comments Due: View Received Comments Rel. No. 34-69878 , Rel. No. 34-69565 Federal Register version (78 FR 51788)
34-70189
Aug. 14, 2013
SR-BATS-2013-041
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Rules Related to CYCLE Routing Comments Due: Exhibit 5 Federal Register version (78 FR 51240)
34-70190
Aug. 14, 2013
SR-BATS-2013-042
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 51261)
34-70196
Aug. 14, 2013
SR-BATS-2013-043
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 51257)
34-70197
Aug. 14, 2013
SR-BATS-2013-044
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 51235)
34-70191
Aug. 14, 2013
SR-BYX-2013-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Rule Related to CYCLE Routing Comments Due: Exhibit 5 Federal Register version (78 FR 51255)
34-70192
Aug. 14, 2013
SR-BYX-2013-027
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 51237)
34-70200
Aug. 14, 2013
SR-Topaz-2013-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (78 FR 51242)
34-70193
Aug. 14, 2013
SR-NYSE-2013-56
Notice of Filing and Immediate Effectiveness of Proposed Changes to the Price List Comments Due: Exhibit 5 Federal Register version (78 FR 51251)
34-70201
Aug. 14, 2013
SR-ICEEU-2013-11
Notice of Filing of Proposed Rule Change Related to Enhanced Margin and Guaranty Fund Methodology Comments Due: Rel. No. 34-70464 Federal Register version (78 FR 51248)
34-70198
Aug. 14, 2013
SR-DTC-2013-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Special Procedures for Securities Offered Pursuant to Regulation S, Category 3, Under the Securities Act of 1933 Comments Due: Federal Register version (78 FR 51254)
34-70194
Aug. 14, 2013
SR-C2-2013-030
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 51259)
34-70166
Aug. 13, 2013
SR-BATS-2013-035
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Competitive Liquidity Provider Program Rel. No. 34-69889 , Rel. No. 34-69889 , Rel. No. 34-70166 Federal Register version (78 FR 50476)
34-70170
Aug. 13, 2013
SR-BYX-2013-025
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 50463)
34-70174
Aug. 13, 2013
SR-Phlx-2013-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Phlx Connectivity Options and Fees Comments Due: Exhibit 5 Federal Register version (78 FR 50477)
34-70169
Aug. 13, 2013
SR-NYSEMKT-2013-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .10 to Rule 903 To Modify the Short-Term Option Series Program To Increase the Number of Classes That Are Eligible To Participate in the Program From Five to 30 Comments Due: Exhibit 5 Federal Register version (78 FR 50475)
34-70176
Aug. 13, 2013
SR-NYSEMKT-2013-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe the Billing Practice for Co-Location Services and Expand Co-Location Services To Provide for a 40 Gigabit Liquidity Center Network Connection Comments Due: Exhibit 5 Federal Register version (78 FR 50471)
34-70168
Aug. 13, 2013
SR-NYSEArca-2013-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Rule 6.4 To Modify the Short-Term Option Series Program To Increase the Number of Classes That Are Eligible To Participate in the Program From Five to 30 Comments Due: Exhibit 5 Federal Register version (78 FR 50469)
34-70173
Aug. 13, 2013
SR-NYSEArca-2013-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe the Billing Practice for Co-Location Services and Expand Co-Location Services To Provide for a 40 Gigabit Liquidity Center Network Connection Comments Due: Exhibit 5 Federal Register version (78 FR 50459)
34-70175
Aug. 13, 2013
SR-NASDAQ-2013-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Non-Penny Pilot Option Rebate To Add Liquidity Comments Due: Exhibit 5 Federal Register version (78 FR 50465)
34-70162
Aug. 12, 2013
SR-EDGX-2013-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.5 To Outline the Continuing Education Requirements for Series 56 Licensees and Its Fee Schedule To Include Fees for the Series 56 Examination and Its Related Continuing Education Requirements Comments Due: Exhibit 5A , Exhibit 5B Federal Register version (78 FR 50128)
34-70163
Aug. 12, 2013
SR-EDGA-2013-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.5 To Outline the Continuing Education Requirements for Series 56 Licensees and Its Fee Schedule To Include Fees for the Series 56 Examination and Its Related Continuing Education Requirements Comments Due: Exhibit 5A , Exhibit 5B Federal Register version (78 FR 50120)
34-70158
Aug. 12, 2013
SR-BX-2013-047
Notice of Filing of a Proposed Rule Change To Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA Under the Exchange's Authority and Supervision Comments Due: Rel. No. 34-70568 Federal Register version (78 FR 50126)
