34-69629
May 23, 2013
SR-CBOE-2013-054
Notice of Filing of a Proposed Rule Change To Amend Rule 6.42 Comments Due: Exhibit 5 , Rel. No. 34-69961 Federal Register version (78 FR 32496)
34-69620
May 22, 2013
SR-NSCC-2013-02
Notice of Filing Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, 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 2 , Rel. No. 34-70999 , Rel. No. 34-70688 , Rel. No. 34-70501 , Rel. No. 34-69951 , Rel. No. 34-69313 Federal Register version (78 FR 32292)
34-69614
May 21, 2013
SR-EDGX-2013-17
Notice of Filing of Proposed Rule Change Relating to the EDGX Exchange, Inc.'s Routing Broker Dealer, as Described in EDGX Rule 2.12(b) Comments Due: Exhibit 5 , Rel. No. 34-69870 Federal Register version (78 FR 31994)
34-69613
May 21, 2013
SR-EDGA-2013-13
Notice of Filing of Proposed Rule Change Relating to the EDGA Exchange, Inc.'s Routing Broker Dealer, as Described in EDGA Rule 2.12(b) Comments Due: Exhibit 5 , Rel. No. 34-69871 Federal Register version (78 FR 31996)
34-69612
May 21, 2013
SR-Phlx-2013-52
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Establish a Lead Market Maker Program on the NASDAQ OMX PSX Market and To Make Related Changes to the Schedule Fees and Rebates for Execution of Quotes and Orders Comments Due: Federal Register version (78 FR 31989)
34-69610
May 20, 2013
SR-Phlx-2013-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3306 and Rule 3303 To Stipulate How Participants in NASDAQ OMX PSX May Modify Previously Entered Orders and To Describe How Modified Orders Are Processed Comments Due: Federal Register version (78 FR 31621)
34-69608
May 20, 2013
SR-NYSEMKT-2013-12
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 975NY In Part and Adding a New Section To Address Errors That Involve Complex Orders Comments Due: Rel. No. 34-68926 Federal Register version (78 FR 31619)
34-69605
May 20, 2013
SR-NSCC-2013-802
Notice of Extension of Review Period of Advance Notice, as Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs Comments Due: View Received Comments Rel. No. 34-69954 , Rel. No. 34-69451 Federal Register version (78 FR 31616)
34-69611
May 20, 2013
SR-NASDAQ-2013-077
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4751(f)(15) Comments Due: Federal Register version (78 FR 31616)
34-69603
May 17, 2013
SR-OCC-2013-802
Notice of Filing of an Advance Notice 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: Federal Register version (78 FR 30944)
34-69602
May 17, 2013
SR-FICC-2013-802
Notice of Filing of Advance Notice to Include Options On Interest Rate Futures Contracts with Maturities Not Longer than Two Years in the One-Pot Cross-Margining Program Between the Government Securities Division and New York Portfolio Clearing, LLC Comments Due: Federal Register version (78 FR 30948)
34-69589
May 16, 2013
SR-BYX-2013-014
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 30376)
34-69595
May 16, 2013
SR-OCC-2013-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Accommodate the Use of Vault Receipts or Warehouse Depository Receipts in Electronic Form, Rather Than Vault Receipts or Warehouse Depository Receipts in Physical Form, To Represent the Metals Underlying Physically-Settled Futures Contracts on Metals Traded by NYSE Liffe US LLC Comments Due: Federal Register version (78 FR 30364)
34-69590
May 16, 2013
SR-NYSE-2013-32
Notice of Filing of a Proposed Rule Change Proposing an Amendment to the Bylaws of Its Wholly-Owned Subsidiary, NYSE Regulation, Inc. ("NYSE Regulation"), To Eliminate a Requirement That Not Less Than Two Members of the Board of Directors of NYSE Regulation Must Qualify as "Fair Representation Candidates" Comments Due: Exhibit 5 , Rel. No. 34-69869 Federal Register version (78 FR 30378)
34-69596
May 16, 2013
SR-NSCC-2013-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Related to Portfolio Composition File Reporting in Addendum A of Its Rules and Procedures Comments Due: Federal Register version (78 FR 30362)
34-69593
May 16, 2013
SR-CTA/CQ-2013-03
Notice of Filing and Immediate Effectiveness of the Eighteenth Charges Amendment To the Second Restatement of the CTA Plan and Tenth Charges Amendment To the Restated CQ Plan Comments Due: Federal Register version (78 FR 30365)
34-69597
May 16, 2013
SR-DTC-2013-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Its Fees Related to Certain Corporate Action Events Comments Due: Exhibit 5 Federal Register version (78 FR 30382)
34-69594
May 16, 2013
SR-CBOE-2013-051
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 30371)
34-69598
May 16, 2013
SR-BOX-2013-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fee Schedule To Establish Fees for Jumbo SPY Option Transactions Comments Due: Exhibit 5 Federal Register version (78 FR 30367)
34-69599
May 16, 2013
SR-BOX-2013-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Create a New Fee Structure for Complex Orders on the BOX Market LLC Options Facility Comments Due: Exhibit 5 Federal Register version (78 FR 30357)
34-69585
May 15, 2013
SR-BATS-2013-026
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 29805)
34-69583
May 15, 2013
SR-Phlx-2013-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program To Allow Cabinet Trading To Take Place Below $1 per Option Contract Comments Due: Federal Register version (78 FR 30380)
34-69586
May 15, 2013
SR-Phlx-2013-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FLEX Options Comments Due: Exhibit 5 Federal Register version (78 FR 29797)
34-69588
May 15, 2013
SR-Phlx-2013-51
Notice of Filing of Proposed Rule Change to Its Schedule of Fees and Rebates for Execution of Quotes and Orders on NASDAQ OMX PSX Comments Due: Federal Register version (78 FR 29801)
34-69584
May 15, 2013
SR-NYSEArca-2013-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Listing Standards for Equity Index-Linked Securities in NYSE Arca Equities Rule 5.2(j)(6) Comments Due: Exhibit 5 Federal Register version (78 FR 29804)
34-69587
May 15, 2013
S7-24-89
Notice of Filing and Immediate Effectiveness of Amendment No. 29 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: Federal Register version (78 FR 29793)
34-69576
May 15, 2013
SR-BX-2013-036
Notice of Filing of Proposed Rule Change for Permanent Approval of a Pilot To Permit BX Options To Accept Inbound Options Orders From NASDAQ OMX PHLX LLC and NASDAQ Options Services LLC Comments Due: Rel. No. 34-69837 Federal Register version (78 FR 29795)
34-69573
May 14, 2013
SR-NYSEArca-2013-48
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of iShares Dow Jones-UBS Roll Select Commodity Index Trust Pursuant to NYSE Arca Equities Rule 8.200 Comments Due: Rel. No. 34-69910 Federal Register version (78 FR 29411)
34-69575
May 14, 2013
SR-NYSE-2012-57
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d)-Equities and Related Supplementary Material File Nos.: Comments Due: Rel. No. 34-69983 , Rel. No. 34-68923 , Rel. No. 34-68522 , Rel. No. 34-68185 , Rel. No. 34-68521 , Rel. No. 34-68186 Federal Register version (78 FR 29406)
34-69575
May 14, 2013
SR-NYSEMKT-2012-58
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d)-Equities and Related Supplementary Material File Nos.: Comments Due: Rel. No. 34-69983 , Rel. No. 34-68923 , Rel. No. 34-68522 , Rel. No. 34-68185 , Rel. No. 34-68521 , Rel. No. 34-68186 Federal Register version (78 FR 29406)
34-69571
May 14, 2013
SR-NSCC-2013-05
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-Time Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 29408)
34-69569
May 14, 2013
SR-CBOE-2013-049
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 29406)
34-69574
May 14, 2013
SR-CBOE-2013-047
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule Comments Due: Federal Register version (78 FR 29422)
34-69570
May 14, 2013
SR-C2-2013-020
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 29420)
34-69564
May 13, 2013
SR-CME-2013-06
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding an Expansion of CME Clearing's Category 3 Collateral Limits Comments Due: Federal Register version (78 FR 29163)
34-69565
May 13, 2013
SR-NYSE-2013-33
Notice of Filing of Proposed Rule Change Proposing 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 Exhibit 5 , Rel. No. 34-70218 , Rel. No. 34-69878 Federal Register version (78 FR 29165)
34-69563
May 13, 2013
SR-NASDAQ-2013-073
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4120 To Adopt a Modification in the Process for Initiating Trading of a Security That Is the Subject of a Trading Halt or Pause on NASDAQ Comments Due: Exhibit 5 Federal Register version (78 FR 29187)
34-69566
May 13, 2013
SR-NASDAQ-2013-075
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Pilot Restrictions From NASDAQ's Qualified Market Maker and NBBO Setter Incentive Programs, and To Make Other Changes to NASDAQ's Schedule of Fees and Credits Comments Due: Exhibit 5 Federal Register version (78 FR 29193)
34-69552
May 10, 2013
SR-CHX-2013-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule Governing the Anti-Money Laundering Compliance Program Comments Due: Federal Register version (78 FR 28924)
34-69555
May 10, 2013
SR-Phlx-2013-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Mini Options Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 28908)
34-69553
May 10, 2013
SR-NYSEMKT-2013-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Non-Display Usage Fees and Amending the Professional End-User Fees for NYSE Amex Options Market Data Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 28926)
34-69554
May 10, 2013
SR-NYSEArca-2013-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Non-Display Usage Fees and Amending the Professional End-User Fees for NYSE Arca Options Market Data Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 28917)
34-69557
May 10, 2013
SR-NSCC-2013-803
Notice of Filing and No Objection to Advance Notice to Renew Its Existing Credit Facility Comments Due: Federal Register version (78 FR 28936)
34-69559
May 10, 2013
SR-NASDAQ-2013-074
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options and Non-Penny Pilot Options Comments Due: Exhibit 5 Federal Register version (78 FR 28912)
34-69556
May 10, 2013
SR-DTC-2013-802
Notice of Filing and No Objection to Advance Notice to Renew Its Existing Credit Facility Comments Due: Federal Register version (78 FR 28933)
34-69560
May 10, 2013
SR-CBOE-2013-050
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Complex Order Router Subsidy Program Comments Due: Exhibit 5 Federal Register version (78 FR 28906)
34-69546
May 9, 2013
SR-BATS-2013-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (78 FR 28669)
34-69547
May 9, 2013
SR-Phlx-2013-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees and Rebates Applicable to Qualified Contingent Cross Orders Comments Due: Exhibit 5 Federal Register version (78 FR 28688)
34-69548
May 9, 2013
SR-Phlx-2013-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Sections of the Exchange's Pricing Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 28681)
34-69550
May 9, 2013
SR-Phlx-2013-46
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Order PIXL Comments Due: Exhibit 5 , Rel. No. 34-69845 Federal Register version (78 FR 28654)
34-69549
May 9, 2013
SR-BX-2013-035
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct BX Rule 2140(c) Comments Due: Federal Register version (78 FR 28678)
34-69544
May 9, 2013
SR-ICEEU-2013-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Delivery Procedures To Reflect the Clearing Relationship for ICE Futures Europe Comments Due: Federal Register version (78 FR 28680)
34-69545
May 9, 2013
SR-ICC-2013-03
Notice of Withdrawal of Proposed Rule Change Relating to Recovery and Resolution Arrangements Comments Due: Rel. No. 34-69201 Federal Register version (78 FR 28680)
34-69543
May 9, 2013
SR-FINRA-2013-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions) Comments Due: Federal Register version (78 FR 28687)
34-69551
May 9, 2013
SR-BOX-2013-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BOX Rules 5050, 7050, and 7240 Comments Due: Exhibit 5 Federal Register version (78 FR 28692)
34-69539
May 8, 2013
SR-EDGX-2013-16
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 28269)
34-69540
May 8, 2013
SR-BATS-2013-024
Notice of Filing of a Proposed Rule Change To Amend and Restate the Amended and Restated By-Laws of BATS Exchange, Inc. Comments Due: Exhibit 5 , Rel. No. 34-69883 Federal Register version (78 FR 28663)
34-69541
May 8, 2013
SR-BYX-2013-013
Notice of Filing of a Proposed Rule Change To Amend and Restate the Amended and Restated By-Laws of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (78 FR 28695)
34-69538
May 8, 2013
SR-CHX-2013-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Consolidate All CHX Order Types, Modifiers, and Related Terms Under One Rule and to Clarify the Basic Requirements of All Orders Sent to the Matching System Comments Due: Exhibit 5 Federal Register version (78 FR 28671)
34-69536
May 8, 2013
SR-NASDAQ-2013-072
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Fees Assessed Under Rule 7015(h) Comments Due: Federal Register version (78 FR 28272)
34-69535
May 8, 2013
SR-CBOE-2013-043
Notice of Filing of a Proposed Rule Change Relating to Exchange Rule 9.21 Comments Due: Rel. No. 34-69807 Federal Register version (78 FR 28262)
34-69537
May 8, 2013
SR-CBOE-2013-045
Notice of Filing of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Trading Permit Holder Business Continuity Plans Comments Due: View Received Comments Federal Register version (78 FR 28666)
34-69527
May 7, 2013
SR-NYSEArca-2013-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11(a)(6)(C) To Add Inside Limit Orders as Eligible for Repricing Instructions Comments Due: Exhibit 5 Federal Register version (78 FR 28008)
34-69528
May 7, 2013
SR-CBOE-2013-048
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.74A Comments Due: Federal Register version (78 FR 28265)
34-69524
May 6, 2013
SR-NYSEMKT-2013-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Schedule of the NYSE Amex Options Proprietary Market Data Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 27459)
34-69523
May 6, 2013
SR-NYSEArca-2013-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Schedule of the NYSE Arca Options Proprietary Market Data Fees Comments Due: Exhibit 5 Federal Register version (78 FR 27452)
34-69522
May 6, 2013
SR-BX-2013-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Its Schedule of Fees and Rebates for Execution of Orders for Securities Priced at $1 or More Under Rule 7018 Comments Due: Exhibit 5 Federal Register version (78 FR 27464)
34-69525
May 6, 2013
SR-BX-2013-033
Notice of Filing of Proposed Rule Change To Amend BX Rule 4756 and Rule 4763 To Stipulate How Participants in the NASDAQ OMX BX Equities Market May Modify Previously Entered Orders and To Describe How Modified Orders Are Processed Comments Due: Federal Register version (78 FR 27457)
34-69521
May 6, 2013
SR-NASDAQ-2013-071
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NASDAQ Rule 4763 Comments Due: Federal Register version (78 FR 27466)
34-69518
May 6, 2013
SR-MIAX-2013-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Priority Customer Size Comments Due: Exhibit 5 Federal Register version (78 FR 27462)
34-69517
May 6, 2013
SR-BOX-2013-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7170 (Obvious and Catastrophic Errors) Comments Due: Exhibit 5 Federal Register version (78 FR 27453)
34-69510
May 3, 2013
SR-EDGX-2013-15
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 27274)
34-69505
May 3, 2013
SR-EDGA-2013-12
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 27265)
34-69509
May 3, 2013
SR-Phlx-2013-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Remote Streaming Quote Trader Fees and Reference a Remote Streaming Quote Trader Organization Comments Due: Exhibit 5 Federal Register version (78 FR 27267)
34-69508
May 3, 2013
SR-NYSEArca-2013-34
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Implement a One-Year Pilot Program for Issuers of Certain Exchange-Traded Products ("ETPs") Listed on the Exchange Comments Due: View Received Comments Rel. No. 34-69706 , Rel. No. 34-69335 Federal Register version (78 FR 27267)
34-69507
May 3, 2013
SR-MIAX-2013-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow All Lead Market Makers To Receive Directed Orders Comments Due: Exhibit 5 Federal Register version (78 FR 27269)
34-69512
May 3, 2013
SR-BOX-2013-23
Notice of Filing of Proposed Rule Change To Provide for the Manner in Which Mini Options Will Trade as a Complex Order Pursuant to BOX Rule 7240 Comments Due: Exhibit 5 Federal Register version (78 FR 27263)
34-69498
May 2, 2013
SR-Phlx-2013-42
Notice of Filing of Proposed Rule Change for the Permanent Approval of the Exchange's Pilot Program To Permit the Exchange To Accept Inbound Options Orders Routed by Nasdaq Options Services LLC From NASDAQ OMX BX, Inc. Comments Due: Rel. No. 34-67956 Federal Register version (78 FR 26826)
34-69500
May 2, 2013
SR-Phlx-2013-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive the Application and Initiation Fees in Certain Circumstances Comments Due: Exhibit 5
34-69501
May 2, 2013
SR-NYSEMKT-2013-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities To Expand the Availability of Self-Trade Prevention Modifiers Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 26821)
34-69503
May 2, 2013
SR-NYSEArca-2013-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services To Amend Step Up Tier 2 to Reduce the Volume Threshold Requirements Needed To Be Eligible for The Tier Comments Due: Exhibit 5 Federal Register version (78 FR 26836)
34-69502
May 2, 2013
SR-NYSE-2013-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self-Trade Prevention Modifiers Comments Due: Exhibit 5 Federal Register version (78 FR 26818)
34-69497
May 2, 2013
SR-NSCC-2013-04
Notice of Filing of Proposed Rule Change in Connection With the Implementation of the Foreign Account Tax Compliance Act (FATCA) Comments Due: Rel. No. 34-69742 Federal Register version (78 FR 26838)
34-69499
May 2, 2013
SR-NASDAQ-2013-070
Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program To Permit NOM To Accept Inbound Options Orders From NASDAQ OMX BX, Inc. Comments Due: Rel. No. 34-69755 Federal Register version (78 FR 26820)
34-69495
May 2, 2013
SR-FICC-2013-04
Notice of Filing of Proposed Rule Change to the Government Securities Division Rules and the Mortgage-Backed Securities Division Clearing Rules in Connection With the Implementation of the Foreign Account Tax Compliance Act (FATCA) Comments Due: Rel. No. 34-69740 Federal Register version (78 FR 26832)
34-69494
May 2, 2013
SR-DTC-2013-03
Notice of Filing of Proposed Rule Change in Connection With the Implementation of the Foreign Account Tax Compliance Act (FATCA) Comments Due: Rel. No. 34-69741 Federal Register version (78 FR 26823)
34-69496
May 2, 2013
SR-CBOE-2013-044
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fingerprint-Based Background Checks of Exchange Directors, Officers, Employees and Others Comments Due: Exhibit 5 Federal Register version (78 FR 26671)
34-69488
May 1, 2013
SR-NYSEMKT-2013-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Fee Schedule for Firms To Increase the Transaction Fee for Certain Proprietary Electronic Executions and To Introduce Volume-Based Tiers for Certain Proprietary Electronic Executions Comments Due: Exhibit 5 Federal Register version (78 FR 26675)
34-69489
May 1, 2013
SR-NYSEMKT-2013-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule To Modify the Existing Floor Broker Rebate for Executed Qualified Contingent Cross Orders Comments Due: Exhibit 5 Federal Register version (78 FR 26677)
34-69487
May 1, 2013
SR-NYSEARCA-2013-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Raise the Take Liquidity Fee for Firm and Broker Dealer Electronic Executions in Penny Pilot Issues Comments Due: Exhibit 5 Federal Register version (78 FR 26674)
34-69482
April 30, 2013
SR-EDGX-2013-14
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 26669)
34-69481
April 30, 2013
SR-EDGA-2013-11
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 26667)
34-69480
April 30, 2013
SR-OCC-2013-04
Notice of Filing 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: View Received Comments Rel. No. 34-69772 , Rel. No. 34-69772 Federal Register version (78 FR 26413)
34-69399A
April 30, 2013
SR-CBOE-2013-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by Chicago Board Options Exchange, Incorporated Relating to Fees for the BBO Data Feed for Securities Traded on the CBOE Stock Exchange; Correction Comments Due: Rel No. 34-69399 , Exhibit 5 Federal Register version (78 FR 26413)
34-69470
April 29, 2013
SR-FICC-2013-02
Notice of Filing of Proposed Rule Change To Include Options on Interest Rate Futures Contracts With Maturities Not Longer Than Two Years In The One-Pot Cross-Margining Program Between the Government Securities Division and New York Portfolio Clearing, LLC Comments Due: Rel. No. 34-69754 Federal Register version (78 FR 26093)
34-69465
April 26, 2013
SR-Phlx-2013-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Strategy Fee Caps Comments Due: Exhibit 5 Federal Register version (78 FR 25771)
34-69468
April 26, 2013
SR-CBOE-2013-046
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Rule 6.74(b) That Sets Forth Expired SizeQuote Mechanism Pilot Program Comments Due: Exhibit 5 Federal Register version (78 FR 25779)
34-69451
April 25, 2013
SR-NSCC-2013-802
Notice of Filing of Advance Notice, as Modified by Amendment No. 1, 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 , Exhibit 2 , Rel. No. 34-69954 , Rel. No. 34-69605 Federal Register version (78 FR 25496)
34-69448
April 25, 2013
SR-OPRA-2013-01
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Revise Usage-Based Vendor Fees Comments Due: Federal Register version (78 FR 25500)
34-69456
April 25, 2013
SR-BX-2013-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Rule Governing Cancellation of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and To Make Related Clarifications to Rule Tex Comments Due: Exhibit 5 Federal Register version (78 FR 25510)
