34-69734
June 11, 2013
SR-NYSE-2013-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Related to Certain Pricing Applicable to Supplemental Liquidity Providers on the Exchange Comments Due: Exhibit 5 Federal Register version (78 FR 36281)
34-69735
June 11, 2013
SR-NYSE-2013-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 103B, Section III(A) To Increase From Three to Four the Minimum Number of DMM Units an Issuer Must Interview From the Pool of DMM Units Eligible To Participate in the Allocation Process Comments Due: Exhibit 5 Federal Register version (78 FR 36279)
34-69736
June 11, 2013
SR-NYSE-2013-21
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE Rule 104 To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers, To Make Exchange Systems Available to DMMs That Would Provide DMMs With Certain Market Information, To Amend the Exchange's Rules Governing the Ability of DMMs To Provide Market Information to Floor Brokers, and To Make Conforming Amendments to Other Rules Comments Due: View Received Comments Rel. No. 34-71175 , Rel. No. 34-70047 , Rel. No. 34-70713 , Rel. No. 34-69427 Federal Register version (78 FR 36284)
34-69737
June 11, 2013
SR-C2-2013-021
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Federal Register version (78 FR 36288)
34-69725
June 10, 2013
SR-EDGX-2013-19
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 35996)
34-69724
June 10, 2013
SR-EDGA-2013-15
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 36006)
34-69722
June 10, 2013
SR-OCC-2013-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Short-Form License Agreement That Must Be Signed by OCC Clearing Members Seeking To Clear Over-the-Counter Index Options on Underlying Indices Published by Standard & Poor's Financial Services LLC Comments Due: Federal Register version (78 FR 36005)
34-69723
June 10, 2013
SR-OCC-2013-08
Notice of Filing of Proposed Rule Change To Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options Comments Due: Federal Register version (78 FR 36002)
34-69717
June 7, 2013
SR-Phlx-2013-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Schedule of Fees and Rebates for Execution of Quotes and Orders on NASDAQ OMX PSX Comments Due: Federal Register version (78 FR 35654)
34-69718
June 7, 2013
SR-NASDAQ-2012-117
Notice of Withdrawal of Proposed Rule Change With Respect to INAV Pegged Orders for ETFs Comments Due: View Received Comments Rel. No. 34-69363 , Rel. No. 34-68672 , Rel. No. 34-68279 , Rel. No. 34-68042 Federal Register version (78 FR 35653)
34-69716
June 7, 2013
SR-CBOE-2013-060
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 6.74A Comments Due: Federal Register version (78 FR 35650)
34-69712
June 6, 2013
SR-NASDAQ-2013-076
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Clerical Correction to the Nasdaq Rulebook Comments Due: Federal Register version (78 FR 35652)
34-69710
June 6, 2013
SR-MIAX-2013-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the MIAX Fee Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 35349)
34-69711
June 6, 2013
SR-BOX-2013-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BOX Rule 8050 to Lower the Minimum Quoting Requirement for Market Makers Quoting in Jumbo SPY Options Comments Due: Exhibit 5 Federal Register version (78 FR 35338)
34-69701
June 5, 2013
SR-CHX-2013-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Cancellation Fee Comments Due: Federal Register version (78 FR 35082)
34-69699
June 5, 2013
SR-NSCC-2013-805
Notice of Filing of Advance Notice, 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: Federal Register version (78 FR 35076)
34-69700
June 5, 2013
SR-NASDAQ-2013-080
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Fees for the MOPB Routing Option under Rule 7018(a) Comments Due: Exhibit 5 Federal Register version (78 FR 35083)
34-69703
June 5, 2013
SR-ICEEU-2013-09
Notice of Filing of Amendment No. 2 to Proposed Rule Change To Clear Contracts Traded on the LIFFE Administration and Management Market Comments Due: Rel. No. 34-69888 , Rel. No. 34-69628 Federal Register version (78 FR 35335)
34-69702
June 5, 2013
SR-FINRA-2013-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed Asset-Backed Securities Traded in Specified Pool Transactions Comments Due: Federal Register version (78 FR 35078)
34-69692
June 4, 2013
SR-NYSEMKT-2013-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place at a Price That Is Below $1 Per Option Contract Until January 5, 2014 Comments Due: Exhibit 5 Federal Register version (78 FR 34689)
34-69696
June 4, 2013
SR-NYSEMKT-2013-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1000-Equities To Revise the Manner by Which the Exchange Will Phase Out the Functionality Associated With Liquidity Replenishment Points in Connection With the Implementation of the Limit Up-Limit Down Plan Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 34687)
34-69690
June 4, 2013
SR-NYSEArca-2013-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Change the Monthly Fees for Option Trading Permits and Raise the Fee Cap that Applies to Certain Firm and Broker Dealer Open Outcry Executions Comments Due: Exhibit 5 Federal Register version (78 FR 34681)
34-69691
June 4, 2013
SR-NYSEArca-2013-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place At A Price That Is Below $1 per Option Contract Until January 5, 2014 Comments Due: Exhibit 5 Federal Register version (78 FR 34679)
34-69695
June 4, 2013
SR-NYSE-2013-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1000 To Revise the Manner by Which the Exchange Will Phase Out the Functionality Associated With Liquidity Replenishment Points in Connection With the Implementation of the Limit Up-Limit Down Plan Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 34693)
34-69694
June 4, 2013
SR-NSCC-2013-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change That Consists of Technical Corrections To Reflect the Availability of Certain Functionality in the Obligation Warehouse Service Comments Due: Exhibit 5 Federal Register version (78 FR 34695)
34-69693
June 4, 2013
SR-CBOE-2013-053
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update a Reference in Rule 8.51 Comments Due: Exhibit 5 Federal Register version (78 FR 34697)
34-69683
June 3, 2013
SR-Phlx-2013-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correction of Typographical Errors in Respect of the Treasury Securities Options Comments Due: Exhibit 5 Federal Register version (78 FR 34420)
34-69682
June 3, 2013
SR-MIAX-2013-21
Notice of Filing of Proposed Rule Change To Modify the Allocation of Directed Orders in Specific Limited Situations Comments Due: Exhibit 5 , Rel. No. 34-70007 Federal Register version (78 FR 34417)
34-69685
June 3, 2013
SR-MIAX-2013-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 520 To Clarify the Description of the Operation of the Exchange's Route Timer Comments Due: Exhibit 5 Federal Register version (78 FR 34698)
34-69686
June 3, 2013
SR-MIAX-2013-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 605 Regarding Orders in a Market Maker's Appointed Classes Comments Due: Exhibit 5 Federal Register version (78 FR 34691)
34-69681
June 3, 2013
SR-CBOE-2013-056
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 34421)
34-69677
May 31, 2013
SR-BX-2013-037
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Fees and Rebates Comments Due: Exhibit 5 Federal Register version (78 FR 34136)
34-69670
May 30, 2013
SR-EDGX-2013-18
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 33871)
34-69669
May 30, 2013
SR-EDGA-2013-14
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 33880)
34-69671
May 30, 2013
SR-Phlx-2013-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Apply a Strategy Fee Cap to Jelly Rolls Comments Due: Exhibit 5 Federal Register version (78 FR 36002)
34-69672
May 30, 2013
SR-Phlx-2013-58
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Permit Fees and Other Floor Fees Comments Due: Exhibit 5 Federal Register version (78 FR 33873)
34-69673
May 30, 2013
SR-NYSEMKT-2013-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 980NY, To Remove Provisions Governing How the Complex Matching Engine Handles Electronic Complex Orders That Contain a Stock Leg Comments Due: Exhibit 5 Federal Register version (78 FR 33866)
34-69674
May 30, 2013
SR-NYSEArca-2013-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 6.91 To Remove Provisions Governing How the Complex Matching Engine Handles Electronic Complex Orders That Contain a Stock Leg Comments Due: Exhibit 5 Federal Register version (78 FR 33869)
34-69666
May 30, 2013
SR-DTC-2013-04
Notice of Filing of Proposed Rule Change in Connection With the Modifications to Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction Exhibit 5 , Rel. No. 34-69985 Federal Register version (78 FR 33876)
34-69675
May 30, 2013
SR-CBOE-2013-041
Notice of Filing of Amendment Nos. 1 and 2 and Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Rule 6.53(u) Comments Due: Rel. No. 34-69948 , Rel. No. 34-69360 Federal Register version (78 FR 33868)
34-69657
May 29, 2013
SR-NASDAQ-2013-079
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the WisdomTree Global Corporate Bond Fund and the WisdomTree Emerging Markets Corporate Bond Fund Comments Due: Rel. No. 34-69944 Federal Register version (78 FR 33457)
34-69658
May 29, 2013
SR-MIAX-2013-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Short Term Option Series Program Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 33454)
34-69659
May 29, 2013
SR-MIAX-2013-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing of Additional Strikes Until the Close of Trading on the Second Business Day Prior to Expiration in Unusual Market Conditions Comments Due: Exhibit 5 Federal Register version (78 FR 33461)
34-69653
May 29, 2013
SR-FICC-2013-05
Notice of Filing Proposed Rule Change to Include trueEX LLC as a Designated Locked-In Trade Source Pursuant to the Rulebook of the Government Securities Division Comments Due: View Received Comments Rel. No. 34-69972 Federal Register version (78 FR 33456)
34-69642
May 28, 2013
SR-OCC-2013-05
Notice of Filing of Proposed Rule Change To Provide That OCC, Rather Than an Adjustment Panel of the Securities Committee, Will Determine Adjustments to the Terms of Options Contracts to Account for Certain Events, Such as Certain Dividend Distributions or Other Corporate Actions, That Affect the Underlying Security or Other Underlying Interest Comments Due: Rel. No. 34-69977 , Rel. No. 34-69977 Federal Register version (78 FR 33138)
34-69641
May 28, 2013
SR-NYSEArca-2013-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Arca Options Rule 6.62(cc) To Remove References to Functionality Described as the Post No Preference Light Only Quotation Comments Due: Exhibit 5 Federal Register version (78 FR 33134)
34-69636
May 24, 2013
SR-NYSEArca-2013-52
Notice of Filing of Proposed Rule Change Proposing To List and Trade Shares of the First Trust Morningstar Futures Strategy Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-70055 Federal Register version (78 FR 32503)
34-69639
May 24, 2013
SR-NYSEArca-2013-39
Notice of Withdrawal of a Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Add a Moving Average Check for Incoming Market Orders and Marketable Limit Orders Comments Due: Rel. No. 34-69443 Federal Register version (78 FR 32696)
34-69638
May 24, 2013
SR-CBOE-2013-055
Notice of Filing of a Proposed Rule Change To Amend Its Rules Regarding the Trading of XSP Options Comments Due: Exhibit 5 , Rel. No. 34-70087 Federal Register version (78 FR 32524)
34-69632
May 23, 2013
SR-Phlx-2013-56
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 32501)
34-69633
May 23, 2013
SR-Phlx-2013-55
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 32498)
34-69634
May 23, 2013
SR-NYSEArca-2013-56
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the PowerShares China A-Share Portfolio Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-69915 Federal Register version (78 FR 32487)
34-69631
May 23, 2013
SR-NASDAQ-2013-078
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Routing Option, MOPB, Under Rule 4758(a)(1)(A) Comments Due: Federal Register version (78 FR 32495)
34-69628
May 23, 2013
SR-ICEEU-2013-09
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, to Clear Contracts Traded on the LIFFE Administration and Management Market Comments Due: Rel. No. 34-69888 , Rel. No. 34-69703 Federal Register version (78 FR 32287)
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-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)
34-69575
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)
34-69571
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)
