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)
34-69450
April 25, 2013
SR-NASDAQ-2013-031
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend the Attestation Requirement of Rule 4780 To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted to the Retail Price Improvement Program Will Qualify as "Retail Orders" Comments Due: View Received Comments Rel. No. 34-69719 , Rel. No. 34-69039 Federal Register version (78 FR 25501)
34-69454
April 25, 2013
SR-NASDAQ-2013-068
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, and To Make Related Clarifications to Rule Text Comments Due: Exhibit 5 Federal Register version (78 FR 25506)
34-69457
April 25, 2013
SR-MIAX-2013-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position and Exercise Limits for Options on iShares MSCI Emerging Markets Index Fund Comments Due: Exhibit 5 Federal Register version (78 FR 25502)
34-69458
April 25, 2013
SR-C2-2013-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend C2 Rule 6.52 Comments Due: Exhibit 5 Federal Register version (78 FR 25505)
34-69443
April 24, 2013
SR-NYSEArca-2013-39
Notice of Filing of 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: Exhibit 5 , Rel. No. 34-69639 Federal Register version (78 FR 25332)
34-69441
April 24, 2013
SR-NYSE-2013-29
Notice of Filing of Proposed Rule Change Deleting NYSE Rule 476(a)(8), Which Addresses Wash Sales, in Order To Harmonize the Exchange's Rules With the Rules of the Financial Industry Regulatory Authority Comments Due: Exhibit 5 , Rel. No. 34-69751 Federal Register version (78 FR 25327)
34-69444
April 24, 2013
SR-NASDAQ-2013-066
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Limit Up/Limit Down Band Lookup Add-On Service to TradeInfo and Assess a Related Subscription Fee Comments Due: Federal Register version (78 FR 25329)
34-69445
April 24, 2013
SR-NASDAQ-2013-069
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Free Period for the Limit Up/Limit Down Band Lookup Add-On Service to TradeInfo Under Rule 7015(f) Comments Due: Federal Register version (78 FR 25325)
34-69440
April 24, 2013
SR-FINRA-2013-002
Notice of Withdrawal of Proposed Rule Change To Amend FINRA Rule 2267 (Investor Education and Protection) Rel. No. 34-69063 , Rel. No. 34-68700 Federal Register version (78 FR 25331)
34-69435
April 23, 2013
SR-CME-2013-04
Notice of Filing of Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology Comments Due: Rel. No. 34-69743 Federal Register version (78 FR 25116)
34-69428
April 23, 2013
SR-NYSEMKT-2013-25
Notice of Filing of Proposed Rule Change To Amend NYSE MKT Rule 104-Equities 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 Exhibit 5 , Rel. No. 34-71175 , Rel. No. 34-70713 , Rel. No. 34-70047 , Rel. No. 34-69733 Federal Register version (78 FR 25102)
34-69436
April 23, 2013
SR-NYSEARCA-2013-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11 Clarifying the Exchange's Treatment of Discretionary Orders That Have Discretionary Prices Outside of the Limit Up-Limit Down Price Bands Comments Due: Exhibit 5 Federal Register version (78 FR 25508)
34-69427
April 23, 2013
SR-NYSE-2013-21
Notice of Filing of 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 Exhibit 5 , Rel. No. 34-71175 , Rel. No. 34-70047 , Rel. No. 34-70713 , Rel. No. 34-69736 Federal Register version (78 FR 25118)
34-69434
April 23, 2013
SR-FICC-2013-03
Notice of Filing of Proposed Rule Change To Amend Mortgage-Backed Securities Division Rules Relating to Allocation of an Indemnity Claim Made in Connection With the Use of the Federal Reserve's National Settlement Service Comments Due: Rel. No. 34-69709 Federal Register version (78 FR 25129)
34-69438
April 23, 2013
SR-CBOE-2013-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the BBO Data Feed for CBOE Listed Options Comments Due: Exhibit 5 Federal Register version (78 FR 25334)
34-69429
April 23, 2013
SR-BOX-2013-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7170 To Clarify That the Exchange May Grant Obvious Error Relief in the Event of Unusual Circumstances Comments Due: Exhibit 5 Federal Register version (78 FR 25130)
34-69423
April 22, 2013
SR-ICEEU-2013-05
Notice of Withdrawal of Proposed Rule Change Regarding Central Counterparty Resolution and Recovery Procedures Comments Due: Rel. No. 34-69209 Federal Register version (78 FR 25129)
34-69424
April 22, 2013
SR-FICC-2013-01
Notice of Filing of Proposed Rule Change Amending the Mortgage-Backed Securities Division Fails Charge Rule To Reflect Recommendation of the Treasury Market Practice Group Comments Due: Rel. No. 34-69708 Federal Register version (78 FR 25115)
34-69422
April 22, 2013
SR-CBOE-2013-042
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 25112)
34-69420
April 19, 2013
SR-C2-2013-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending C2 Rules Governing Letters of Guarantee and Authorization Comments Due: Exhibit 5 Federal Register version (78 FR 24456)
34-69401
April 18, 2013
SR-Phlx-2013-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Routing Fees Comments Due: Exhibit 5 Federal Register version (78 FR 24263)
34-69392
April 18, 2013
SR-BX-2013-030
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (78 FR 24458)
34-69391
April 18, 2013
SR-NASDAQ-2013-064
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (78 FR 24282)
34-69402
April 18, 2013
SR-NASDAQ-2013-032
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Require That Listed Companies Have an Internal Audit Function Comments Due: View Received Comments Rel. No. 34-69792 , Rel. No. 34-69030 Federal Register version (78 FR 24281)
34-69393
April 18, 2013
SR-ISE-2013-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Maker Plus Rebate Program Comments Due: Exhibit 5 Federal Register version (78 FR 24271)
34-69394
April 18, 2013
SR-ISE-2013-33
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 24265)
34-69395
April 18, 2013
SR-ISE-2013-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Increase Certain Complex Order Rebates Comments Due: Exhibit 5 Federal Register version (78 FR 24269)
34-69398
April 18, 2013
SR-FINRA-2013-020
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 5250 (Payments for Market Making) Comments Due: Exhibit 5 Federal Register version (78 FR 24261)
34-69399
April 18, 2013
SR-CBOE-2013-039
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the BBO Data Feed for Securities Traded on the CBOE Stock Exchange Comments Due: Rel No. 34-69399A , Exhibit 5 Federal Register version (78 FR 24258)
34-69400
April 18, 2013
SR-C2-2013-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the BBO Data Feed for C2 Listed Options Comments Due: Exhibit 5 Federal Register version (78 FR 24285)
34-69387
April 17, 2013
SR-BATS-2013-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market Order Collar for BATS Options Comments Due: Exhibit 5 Federal Register version (78 FR 23965)
34-69388
April 17, 2013
SR-NYSEMKT-2013-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC (the "Company") in Order To Reflect Changes to the Capital Structure of the Company Comments Due: Exhibit 5A , and Exhibit 5B Federal Register version (78 FR 23963)
34-69389
April 17, 2013
SR-NYSEArca-013-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Remove Certain Obsolete Text Comments Due: Exhibit 5 Federal Register version (78 FR 23968)
34-69381
April 16, 2013
SR-MIAX-2013-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the MIAX Fee Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 23806)
34-69378
April 15, 2013
SR-EDGX-2013-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Footnote 4 of the Exchange's Fee Schedule Regarding Retail Orders Comments Due: Exhibit 5 Federal Register version (78 FR 23617)
34-69374
April 15, 2013
SR-CME-2013-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Acquisition of the Kansas City Board of Trade Clearing Corporation Comments Due: Federal Register version (78 FR 23616)
34-69372
April 15, 2013
SR-NYSE-2013-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Provide Relief for Floor Brokers From the Annual Telephone Line Charge for January, February and March 2013 Comments Due: Exhibit 5 Federal Register version (78 FR 23620)
34-69376
April 15, 2013
SR-NASDAQ-2013-063
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 7014 and 7018 Comments Due: Exhibit 5 Federal Register version (78 FR 23611)
34-69369
April 12, 2013
SR-BYX-2013-008
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending the Attestation Requirement of Rule 11.24 Allowing a Retail Member Organization To Attest That "Substantially All" Orders Submitted to The Retail Price Improvement Program Will Qualify as "Retail Orders" Rel. No. 34-69643 , Rel. No. 34-68975 Federal Register version (78 FR 23320)
34-69368
April 12, 2013
SR-BOX-2013-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Suspend Certain Provisions in Rule 7170 Regarding Obvious Errors During Limit Up-Limit Down States in Securities That Underlie Options Traded on the Exchange on a Pilot Basis Comments Due: Exhibit 5 Federal Register version (78 FR 23323)
34-69363
April 11, 2013
SR-NASDAQ-2012-117
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change With Respect to INAV Pegged Orders for ETFs Comments Due: View Received Comments Rel. No. 34-69718 , Rel. No. 34-68672 , Rel. No. 34-68279 , Rel. No. 34-68042 Federal Register version (78 FR 22925)
34-69364
April 11, 2013
SR-CBOE-2013-026
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Complex Orders Comments Due: View Received Comments Federal Register version (78 FR 22926)
34-69361
April 10, 2013
S7-24-89
Notice of Filing and Immediate Effectiveness of Amendment No. 28 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: View Received Comments Federal Register version (78 FR 22588)
34-69360
April 10, 2013
SR-CBOE-2013-041
Notice of Filing of a Proposed Rule Change To Amend Rule 6.53 Comments Due: Exhibit 5 , Rel. No. 34-69948 , Rel. No. 34-69675 Federal Register version (78 FR 22591)
34-69351
April 9, 2013
SR-Phlx-2013-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Mini Options Comments Due: Exhibit 5 Federal Register version (78 FR 22353)
34-69356
April 9, 2013
SR-ICC-2013-05
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to Regulatory Reporting of Swap Data Comments Due: View Received Comments Federal Register version (78 FR 22350)
34-69337
April 8, 2013
SR-ISE-2013-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Federal Register version (78 FR 21999)
34-69345
April 8, 2013
SR-C2-2013-013
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Regulation NMS Plan To Address Extraordinary Market Volatility Comments Due: View Received Comments Rel. No. 34-69083 Federal Register version (78 FR 21985)
34-69336
April 8, 2013
SR-BOX-2013-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on BOX Comments Due: Exhibit 5 Federal Register version (78 FR 21993)
34-69324
April 5, 2013
SR-EDGX-2013-12
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 21666)
34-69317
April 5, 2013
SR-BYX-2013-012
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 21651)
