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)
34-70160
Aug. 12, 2013
SR-BX-2013-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX Connectivity Options and Fees Comments Due: Exhibit 5 Federal Register version (78 FR 50132)
34-70159
Aug. 12, 2013
SR-NASDAQ-2013-102
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. 34-70569 Federal Register version (78 FR 50123)
34-70155
Aug. 9, 2013
SR-NYSE-2013-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.03 of the Listed Company Manual To Specify How the Initial Application Fee Is Treated for Certain Issuers That Do Not Immediately List a Security for Which They Already Paid an Initial Application Fee Comments Due: Exhibit 5 Federal Register version (78 FR 49785)
34-70134
Aug. 8, 2013
SR-EDGX-2013-26
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 49561)
34-70145
Aug. 8, 2013
SR-EDGX-2013-27
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 49579)
34-70147
Aug. 8, 2013
SR-EDGX-2013-30
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 49569)
34-70135
Aug. 8, 2013
SR-EDGA-2013-19
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 49568)
34-70144
Aug. 8, 2013
SR-EDGA-2013-23
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 49588)
34-70146
Aug. 8, 2013
SR-EDGA-2013-21
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 49574)
34-70141
Aug. 8, 2013
SR-Phlx-2013-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the Options Floor Broker Management System Until the End of September 2013 Comments Due: Federal Register version (78 FR 49565)
34-70142
Aug. 8, 2013
SR-Phlx-2013-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 1015 Regarding Accommodation Claims Comments Due: Federal Register version (78 FR 49572)
34-70139
Aug. 8, 2013
SR-NASDAQ-2013-105
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Exchange's Routable Order Program Comments Due: Exhibit 5 Federal Register version (78 FR 49578)
34-70143
Aug. 8, 2013
SR-NASDAQ-2013-098
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive the Subscription Fee for New Subscribers to Latency Optics for a Limited Period Comments Due: Exhibit 5 Federal Register version (78 FR 49566)
34-70137
Aug. 8, 2013
SR-MIAX-2013-39
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 49586)
34-70136
Aug. 8, 2013
SR-CBOE-2013-079
Notice of Proposed Rule To Amend Rule 24.7 To Add Facts for Determining Whether To Halt Volatility Index Options Trading Comments Due: Rel. No. 34-70524 Federal Register version (78 FR 49563)
34-70138
Aug. 8, 2013
SR-BOX-2013-40
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Jumbo SPY Option Transactions Comments Due: Exhibit 5 Federal Register version (78 FR 49584)
34-70129
Aug. 7, 2013
SR-NASDAQ-2013-099
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Connectivity Options and Fees Comments Due: Exhibit 5 Federal Register version (78 FR 49308)
34-70131
Aug. 7, 2013
SR-FINRA-2013-033
Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)) Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-70521 Federal Register version (78 FR 49313)
34-70123
Aug. 6, 2013
SR-NYSEMKT-2013-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Message To Contracts Traded Ratio Fee in the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 48922)
34-70124
Aug. 6, 2013
SR-NYSEARCA-2013-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(i)(1)(i) To Specify the Procedures To Be Followed if a Listed Derivative Securities Product or a Listed Structured Product Is Based on an Index or Portfolio of Securities and Such Index or Portfolio Is Modified or Replaced Comments Due: Exhibit 5 Federal Register version (78 FR 48920)
34-70110
Aug. 5, 2013
SR-Phlx-2013-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Rule Governing Modification of Orders on NASDAQ OMX PSX in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution Comments Due: Exhibit 5 Federal Register version (78 FR 48736)
34-70115
Aug. 5, 2013
SR-Phlx-2013-80
Notice of Filing of Proposed Rule Changes to Its Excess Order Fee Comments Due: Exhibit 5 Federal Register version (78 FR 48732)
34-70116
Aug. 5, 2013
SR-Phlx-2013-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Delisting Series in the STOs and Opening up to Five Consecutive Weekly Expirations of STOs Comments Due: Exhibit 5 Federal Register version (78 FR 48754)
34-70107
Aug. 5, 2013
SR-BX-2013-045
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Chapter IV, Section 6 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration Comments Due: Exhibit 5 Federal Register version (78 FR 48734)
34-70111
Aug. 5, 2013
SR-BX-2013-043
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX's Rule Governing Modification of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution Comments Due: Exhibit 5 Federal Register version (78 FR 48748)
34-70114
Aug. 5, 2013
SR-BX-2013-044
Notice of Filing of Proposed Rule Change to Its Excess Order Fee Under Rule 7018(d) Comments Due: Exhibit 5 Federal Register version (78 FR 48752)
34-70108
Aug. 5, 2013
SR-NASDAQ-2013-101
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Chapter IV, Section 6 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration Comments Due: Exhibit 5 Federal Register version (78 FR 48744)
34-70113
Aug. 5, 2013
SR-NASDAQ-2013-096
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Rule Governing Modification of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution Comments Due: Exhibit 5 Federal Register version (78 FR 48746)
34-70117
Aug. 5, 2013
SR-NASDAQ-2013-100
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Its Fees for Routing of Orders Priced at $1 or More Under Rule 7018(a), as Well as Changes to Its Excess Order Fee Under Rule 7018(m) Comments Due: Exhibit 5 Federal Register version (78 FR 48758)
34-70109
Aug. 5, 2013
SR-MIAX-2013-38
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 48742)
34-70118
Aug. 5, 2013
SR-CBOE-2013-070
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Offer a New Data Feed Comments Due: Federal Register version (78 FR 48757)
34-70112
Aug. 5, 2013
SR-C2-2013-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Technical Disconnect Functionality Comments Due: Exhibit 5 Federal Register version (78 FR 48738)
34-70119
Aug. 5, 2013
SR-C2-2013-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Offer a New Data Feed Comments Due: Federal Register version (78 FR 48750)
34-70101
Aug. 2, 2013
SR-Phlx-2013-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Halts or Suspension When an Exchange Trading System Experiences Technical Failure or Failures Comments Due: Exhibit 5 Federal Register version (78 FR 48516)
34-70098
Aug. 2, 2013
SR-NYSEMKT-2013-66
Notice of Filing of Proposed Rule Change To Adopt the Text of New York Stock Exchange Rule 49 as Rule 49-Equities in Order To Authorize Exchange Officials To Exercise the Same Emergency Powers As NYSE Officials May Exercise Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-70463 , Rel. No. 34-70822 , Rel. No. 34-70463 , Rel. No. 34-70098 Federal Register version (78 FR 48513)
34-70100
Aug. 2, 2013
SR-NYSEMKT-2013-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program for an Additional 12 Months, To Expire on July 31, 2014 Comments Due: Exhibit 5 Federal Register version (78 FR 48535)
34-70097
Aug. 2, 2013
SR-NYSEARCA-2013-77
Notice of Filing of Proposed Rule Change to Amend NYSE Arca Equities Rule 2.100, Which Provides for Certain Emergency Powers Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-70822 , Rel. No. 34-70463 , Rel. No. 34-70097 Federal Register version (78 FR 48528)
34-70096
Aug. 2, 2013
SR-NYSE-2013-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program for an Additional 12 Months, To Expire on July 31, 2014 Comments Due: Exhibit 5 Federal Register version (78 FR 48520)
34-70099
Aug. 2, 2013
SR-NYSE-2013-54
Notice of Filing of Proposed Rule Change To Amend NYSE Rule 49, Which Addresses the Exchange's Emergency Powers File Nos.: Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-70822 , Rel. No. 34-70463 Federal Register version (78 FR 48522)
34-70104
Aug. 2, 2013
SR-NYSE-2013-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending One of the Supplemental Liquidity Provider Credits in its Price List Comments Due: Exhibit 5 Federal Register version (78 FR 48526)
34-70095
Aug. 2, 2013
SR-BX-2013-046
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Options Fees and Rebates Comments Due: Exhibit 5 Federal Register version (78 FR 48518)
34-70103
Aug. 2, 2013
SR-CBOE-2013-077
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Order Handling Comments Due: Exhibit 5 Federal Register version (78 FR 48532)
34-70102
Aug. 2, 2013
SR-C2-2013-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Order Handling Comments Due: Exhibit 5 Federal Register version (78 FR 48510)
34-70092
Aug. 1, 2013
SR-OCC-2013-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To: (i) Provide Clarification Regarding the Applicability of Certain Provisions of OCC's By-Laws and Rules to Certain U.S. Dollar-Settled Gold Futures Designed to Replicate Positions in the Spot Market; and (ii) Remove Provisions Applicable Only to the Now-Discontinued U.S. Dollar-Settled Gold Futures That Were Based on the Value of Gold in the Spot Market With an Additional Daily Cost of Carry Feature Comments Due: Federal Register version (78 FR 48214)
34-70091
Aug. 1, 2013
SR-CBOE-2013-073
Notice of Filing and Immediate Effectiveness of a 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 48212)
34-70084
July 31, 2013
SR-NYSEArca-2013-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Increase the Royalty Fees Applicable to Non-Customer Transactions in Options on the Russell 2000 Index Comments Due: Exhibit 5 Federal Register version (78 FR 47807)
34-70087
July 31, 2013
SR-CBOE-2013-055
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade a P.M.-settled Mini-SPX Index Option Product Comments Due: Exhibit 5 , Rel. No. 34-69638 Federal Register version (78 FR 47809)
34-70065
July 30, 2013
SR-NYSEMKT-2013-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Content of the NYSE MKT Trades Digital Media Data Feed Comments Due: Federal Register version (78 FR 47450)
34-70071
July 30, 2013
SR-NYSEMKT-2013-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule To Increase the Royalty Fees Applicable to Non-Customer Transactions in Options on the Russell 2000 Index Comments Due: Exhibit 5 Federal Register version (78 FR 47465)
34-70067
July 30, 2013
SR-NYSEARCA-2013-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Content of the NYSE Arca Trades Digital Media Data Feed Comments Due: Federal Register version (78 FR 47467)
34-70075
July 30, 2013
SR-NYSEArca-2013-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(a)(2) To Specify That the Exchange Would Use The Last Official Closing Price To Calculate the Market Order Trading Collar If There Is No Consolidated Last Sale Price That Trading Day Comments Due: Exhibit 5 Federal Register version (78 FR 47455)
34-70066
July 30, 2013
SR-NYSE-2013-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Content of the NYSE Trades Digital Media Data Feed Comments Due: Federal Register version (78 FR 47474)
34-70062
July 30, 2013
SR-BX-2013-042
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Nullification of Trades Involving Catastrophic Errors Comments Due: Federal Register version (78 FR 47471)
34-70061
July 30, 2013
SR-NASDAQ-2013-095
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Section 6, Obvious Errors, of the Rules of the NASDAQ Options Market ("NOM") Comments Due: Federal Register version (78 FR 47459)
34-70069
July 30, 2013
SR-MIAX-2013-36
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule Comments Due: Federal Register version (78 FR 47457)
34-70064
July 30, 2013
SR-CBOE-2013-078
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule To Include a $60 Session Fee for the Series 56 (S501) Continuing Education Comments Due: Exhibit 5 Federal Register version (78 FR 47469)
34-70060
July 30, 2013
SR-C2-2013-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amending Exchange Rules To Clarify Rules 6.1 and 6.32 Comments Due: Exhibit 5 Federal Register version (78 FR 47452)
34-70063
July 30, 2013
SR-BOX-2013-38
Notice of Filing of a Proposed Rule Change To Modify the Complex Order Filter Comments Due: Exhibit 5 , Rel. No. 34-70395 Federal Register version (78 FR 47463)
34-70070
July 30, 2013
SR-BOX-2013-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 4170 (Options Communications) Comments Due: Federal Register version (78 FR 47476)
34-70055
July 29, 2013
SR-NYSEArca-2013-52
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the First Trust Morningstar Managed Futures Strategy Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-69636 Federal Register version (78 FR 47037)
34-70059
July 29, 2013
SR-ISE-2013-42
Notice of Filing of Proposed Rule Change To List Options on the Nations VolDex Index Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-70787 , Rel. No. 34-70362 Federal Register version (78 FR 47041)
34-70045
July 26, 2013
SR-NYSEArca-2013-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule With Respect to Cap on Fees for Firm and Broker Dealer Open Outcry Executions Comments Due: Exhibit 5 Federal Register version (78 FR 46643)
34-70048
July 26, 2013
SR-FINRA-2013-031
Notice of Filing of a Proposed Rule Change Relating to Participation on the Alternative Display Facility Comments Due: View Received Comments Rel. No. 34-71407 , Rel. No. 34-70776 , Rel. No. 34-70358 Federal Register version (78 FR 46652)
34-70051
July 26, 2013
S7-966
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., Miami International Securities Exchange, LLC, and Topaz Exchange, LLC (the "parties") Concerning Options-Related Sales Practice Matters Comments Due: Federal Register version (78 FR 46644)
34-70052
July 26, 2013
4-551
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., Miami International Securities Exchange, LLC, and Topaz Exchange, LLC Concerning Options-Related Market Surveillance Comments Due: Federal Register version (78 FR 46665)
34-70053
July 26, 2013
4-663
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Topaz Exchange, LLC Comments Due: Federal Register version (78 FR 46656)
34-70037
July 25, 2013
SR-NYSEMKT-2013-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule To Codify Existing Price Protection Mechanisms Comments Due: Exhibit 5 Federal Register version (78 FR 46399)
34-70038
July 25, 2013
SR-NYSEArca-2013-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule To Codify Existing Price Protection Mechanisms Comments Due: Exhibit 5 Federal Register version (78 FR 46392)
34-70036
July 25, 2013
SR-NASDAQ-2013-097
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a New Dedicated OUCH Port Infrastructure Connectivity Option and Adopt Related Fees Comments Due: Federal Register version (78 FR 45993)
34-70039
July 25, 2013
SR-CBOE-2013-071
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Technical Disconnect Functionality Comments Due: Exhibit 5 Federal Register version (78 FR 46395)
34-70026
July 23, 2013
SR-Phlx-2013-65
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating To Which Complex Orders Can Initiate a Complex Order Live Auction Comments Due: Rel. No. 34-69829 Federal Register version (78 FR 45589)
34-70024
July 23, 2013
SR-MIAX-2013-34
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Operative Date of a Recent Change to Exchange Rule 514 Comments Due: Federal Register version (78 FR 45588)
34-70025
July 23, 2013
SR-MIAX-2013-35
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Operative Date of a Recent Change to Exchange Rule 506 Comments Due: Federal Register version (78 FR 45586)
34-70028
July 23, 2013
SR-ISE-2013-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Market Maker Fees Comments Due: Federal Register version (78 FR 45580)
34-70029
July 23, 2013
SR-ISE-2013-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Federal Register version (78 FR 45590)
34-70027
July 23, 2013
SR-CBOE-2013-076
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Continuing Education Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 45584)
34-70014
July 22, 2013
SR-CBOE-2013-072
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 45279)
34-70008
July 19, 2013
SR-NYSEArca-2013-70
Notice of Filing of Proposed Rule Change To List and Trade Shares of First Trust Inflation Managed Fund Comments Due: Rel. No. 34-70282 Federal Register version (78 FR 45003)
34-70010
July 19, 2013
SR-CTA/CQ-2013-04
Notice of Filing and Immediate Effectiveness of the Nineteenth Charges Amendment to the Second Restatement of the CTA Plan and Eleventh Charges Amendment to the Restated CQ Plan Comments Due: View Received Comments Federal Register version (78 FR 44984)
34-70009
July 19, 2013
SR-FINRA-2013-029
Notice of Filing of a Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible Securities That Are Effected Pursuant to Securities Act Rule 144A Comments Due: View Received Comments Exhibit 2 , Exhibit 5 , Rel. No. 34-70345 Federal Register version (78 FR 44997)
34-70011
July 19, 2013
SR-CBOE-2013-074
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to CBSX Rule 53.2 Comments Due: View Received Comments Federal Register version (78 FR 44994)
34-70005
July 18, 2013
SR-NYSEARCA-2013-71
Notice of Filing of Proposed Rule Change To List and Trade Shares of the SPDR SSgA Ultra Short Term Bond ETF; SPDR SSgA Conservative Ultra Short Term Bond ETF; and SPDR SSgA Aggressive Ultra Short Term Bond ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-70342 Federal Register version (78 FR 44609)
34-70004
July 18, 2013
SR-MSRB-2013-06
Notice of Filing of a 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 Exhibit 5 , Rel. No. 34-70617 Federal Register version (78 FR 44607)
34-69996
July 17, 2013
SR-MIAX-2013-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 700 Regarding Friday Expiration Changes Comments Due: Exhibit 5 Federal Register version (78 FR 44183)
34-69997
July 17, 2013
SR-MIAX-2013-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules 521 and 530 Regarding Its Obvious Error Rules Comments Due: Exhibit 5 Federal Register version (78 FR 44180)
34-69989
July 16, 2013
SR-Phlx-2013-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL Comments Due: Federal Register version (78 FR 43950)
34-69992
July 16, 2013
SR-NYSE-2013-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Revise the Credits for Certain Designated Market Maker Transactions and Revise the Annual Trading License Fees Comments Due: Exhibit 5 Federal Register version (78 FR 43947)
34-69993
July 16, 2013
SR-FINRA-2013-030
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) Comments Due: Federal Register version (78 FR 43945)
34-69990
July 16, 2013
SR-CBOE-2013-062
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to PULSe Workstation Functionality Comments Due: Federal Register version (78 FR 43953)
34-69991
July 16, 2013
SR-C2-2013-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to PULSe Workstation Functionality Comments Due: Federal Register version (78 FR 43956)
34-69987
July 15, 2013
SR-CBOE-2013-026
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Complex Orders Comments Due: View Received Comments Federal Register version (78 FR 43254)
34-69981
July 12, 2013
SR-CME-2013-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Existing CDS Credit Limits Comments Due: Federal Register version (78 FR 42992)
34-69980
July 12, 2013
SR-NSCC-2013-09
Notice of Filing of Proposed Rule Change Relating to the Decommissioning of NSCC's Over-the-Counter (OTC) Equity Comparison Service Comments Due: Rel. No. 34-70263 Federal Register version (78 FR 42989)
34-69974
July 11, 2013
SR-NYSEMKT-2013-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Change the Monthly Fees for the Use of Certain Ports Comments Due: Exhibit 5 Federal Register version (78 FR 42807)
34-69970
July 11, 2013
SR-NYSE-2013-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 312.07 of the Listed Company Manual To Remove the 50% Quorum Requirement and Add Certain Clarifying Language Comments Due: Exhibit 5 Federal Register version (78 FR 42813)
34-69975
July 11, 2013
SR-NYSE-2013-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List To Change the Monthly Fees For the Use of Certain Ports Comments Due: Exhibit 5 Federal Register version (78 FR 42811)
34-69966
July 11, 2013
SR-FINRA-2013-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 55 Examination Program Comments Due: Federal Register version (78 FR 42581)
34-69965
July 11, 2013
SR-BOX-2013-36
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 3120 (Position Limits) and BOX Rule 3130 (Exemptions from Position Limits) Comments Due: Exhibit 5 Federal Register version (78 FR 42577)
