34-69163
March 18, 2013
SR-ISE-2013-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Orders and Mini Options Comments Due: Exhibit 5 Federal Register version (78 FR 17733)
34-69158
March 18, 2013
SR-CBOE-2013-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market-Maker Continuous Quoting Obligations Comments Due: Federal Register version (78 FR 17736)
34-69156
March 18, 2013
SR-C2-2013-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend C2 Rule 6.3 for Mini-Options Launch Comments Due: Exhibit 5 Federal Register version (78 FR 17967)
34-69141
March 15, 2013
SR-Phlx-2013-29
Notice of Filing of Proposed Rule Change To Address Obvious and Catastrophic Options Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility Comments Due: View Received Comments Rel. No. 34-69344 Federal Register version (78 FR 17262)
34-69140
March 15, 2013
SR-BX-2013-026
Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review Comments Due: View Received Comments Rel. No. 34-69343 Federal Register version (78 FR 17255)
34-69142
March 15, 2013
SR-NASDAQ-2013-048
Notice of Filing of Proposed Rule Change To Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review Comments Due: View Received Comments Rel. No. 34-69341 Federal Register version (78 FR 17251)
34-69151
March 15, 2013
SR-NASDAQ-2013-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pre-Market Hours of the Exchange to 4:00 a.m. EST Comments Due: Exhibit 5 Federal Register version (78 FR 17464)
34-69152
March 15, 2013
SR-NASDAQ-2013-047
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Minimum Price Variation for Mini Options To Be the Same as Permitted for Standard Options on the Same Security Comments Due: Exhibit 5 Federal Register version (78 FR 17985)
34-69139
March 15, 2013
SR-ISE-2013-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees Comments Due: Exhibit 5 Federal Register version (78 FR 17266)
34-69148
March 15, 2013
SR-ISE-2013-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Limit Up/Limit Down Comments Due: Exhibit 5 Federal Register version (78 FR 17462)
34-69153
March 15, 2013
SR-ISE-2013-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules Related to Mini Options Traded on the Exchange Comments Due: Exhibit 5 Federal Register version (78 FR 17729)
34-69146
March 15, 2013
SR-CBOE-2013-027
Notice of Filing of a Proposed Rule Change Relating to Trading Ahead of Customer Orders and Best Execution and Interpositioning Requirements Comments Due: Rel. No. 34-69504 Federal Register version (78 FR 17454)
34-69147
March 15, 2013
SR-CBOE-2013-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Comply With the Requirements of the National Market System Plan To Address Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (78 FR 17452)
34-69154
March 15, 2013
SR-BOX-2013-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Minimum Price Variation for Mini Options To Be the Same as Permitted for Standard Options on the Same Underlying Security Comments Due: Exhibit 5 Federal Register version (78 FR 17741)
34-69134
March 14, 2013
SR-NYSEARCA-2013-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services With Respect to the Retail Order Tier Comments Due: Exhibit 5 Federal Register version (78 FR 17247)
34-69133
March 14, 2013
SR-NASDAQ-2013-042
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 17272)
34-69136
March 14, 2013
SR-MIAX-2013-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of Certain Securities Comments Due: Exhibit 5 Federal Register version (78 FR 17259)
34-69135
March 14, 2013
SR-BOX-2013-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Price Improvement Period ("PIP") Rule 7150 Comments Due: Exhibit 5 Federal Register version (78 FR 17249)
34-69131
March 13, 2013
SR-NYSEMKT-2013-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of Certain Securities Comments Due: Exhibit 5 Federal Register version (78 FR 16905)
34-69132
March 13, 2013
SR-NASDAQ-2013-041
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot and Non-Penny Pilot Options Comments Due: Exhibit 5 Federal Register version (78 FR 16898)
34-69129
March 13, 2013
SR-CBOE-2013-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Orders and Mini-Options Comments Due: Exhibit 5 Federal Register version (78 FR 16895)
34-69130
March 13, 2013
SR-C2-2013-012
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 16903)
34-69121
March 12, 2013
SR-BATS-2013-014
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Operation of Market Orders for BATS Options Comments Due: Exhibit 5 Federal Register version (78 FR 16750)
34-69122
March 12, 2013
SR-CFE-2013-003
Notice of Filing of a Proposed Rule Change Regarding Reportable Position Reporting of Security Futures by Non-Trading Privilege Holders Comments Due: Exhibit 4 Federal Register version (78 FR 16730)
34-69118
March 12, 2013
SR-Phlx-2013-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Exchange Rule 1047(f) and (g) for Limit Up/Limit Down Situations Comments Due: Federal Register version (78 FR 16723)
34-69119
March 12, 2013
SR-BX-2013-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Chapter V, Section 3(d) and (e) Comments Due: Federal Register version (78 FR 16746)
34-69120
March 12, 2013
SR-NASDAQ-2013-040
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Chapter V, Section 3(d) and (e) Comments Due: Federal Register version (78 FR 16740)
34-69114
March 12, 2013
SR-ISE-2013-18
Notice of Filing of Proposed Rule Change To Address Order Handling Under the Options Order Protection and Locked/Crossed Market Plan, the Authority of the Exchange To Cancel Orders When a Technical or Systems Issue Occurs, and To Describe the Operation of Linkage Handler Error Accounts Comments Due: Exhibit 5 , Rel. No. 34-69396 Federal Register version (78 FR 16733)
34-69123
March 12, 2013
SR-ISE-2013-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Reflect Regulatory Fees Related To the Central Registration Depository Comments Due: Exhibit 5 Federal Register version (78 FR 16738)
34-69115
March 12, 2013
SR-BOX-2013-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule for Trading on BOX Comments Due: Exhibit 5 Federal Register version (78 FR 16743)
34-69107
March 11, 2013
SR-BYX-2013-009
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 16558)
34-69098
March 11, 2013
SR-NYSEMKT-2013-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities To Add Two Self-Trade Prevention Modifiers That May Be Used by Certain Market Participants Comments Due: Exhibit 5 Federal Register version (78 FR 16544)
34-69104
March 11, 2013
SR-NYSEMKT-2013-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities To Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as Well as in an Agency Capacity Comments Due: Exhibit 5 Federal Register version (78 FR 16556)
34-69105
March 11, 2013
SR-NYSEMKT-2013-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2013 Comments Due: Exhibit 5 Federal Register version (78 FR 16554)
34-69106
March 11, 2013
SR-NYSEArca-2013-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 To NYSE Arca Options Rule 6.72 To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2013 Comments Due: Exhibit 5 Federal Register version (78 FR 16552)
34-69101
March 11, 2013
SR-NYSE-2013-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List To Increase the Gross FOCUS Fee Comments Due: Exhibit 5 Federal Register version (78 FR 16551)
34-69102
March 11, 2013
SR-NYSE-2013-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Adding Two Self-Trade Prevention ("STP") Modifiers That May Be Used by Certain Market Participants Comments Due: Exhibit 5 Federal Register version (78 FR 16561)
34-69103
March 11, 2013
SR-NYSE-2013-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C To Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as Well as in an Agency Capacity Comments Due: Exhibit 5 Federal Register version (78 FR 16547)
34-69108
March 11, 2013
SR-NASDAQ-2013-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Maximum Time Afforded to a Market Maker To Meet Its Market Making Obligations Upon Rejoining the Market After an Excused Withdrawal Under Rule 4619 Comments Due: Federal Register version (78 FR 16549)
34-69110
March 11, 2013
SR-ISE-2013-22
Notice of Filing of Proposed Rule Change To Suspend Certain Market Maker Quotation Requirements and To Suspend Rule 720 Regarding Obvious Errors During Limit Up-Limit Down States in Securities That Underlie Options Traded on the ISE Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-69329 Federal Register version (78 FR 16726)
34-69109
March 11, 2013
SR-BOX-2013-13
Notice of Filing of Proposed Rule Change To Clarify How the Exchange Will Treat a Market Maker's Quoting Obligations When the Underlying Equity Security Enters a Limit State or Straddle State Comments Due: Exhibit 5 , Rel. No. 34-69330 Federal Register version (78 FR 16749)
34-69079
March 8, 2013
SR-BATS-2013-017
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (78 FR 16306)
34-69084
March 8, 2013
SR-BATS-2013-015
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules in Connection With the Limit Up-Limit Down Plan Comments Due: Exhibit 5 Federal Register version (78 FR 16334)
34-69088
March 8, 2013
SR-BYX-2013-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules in Connection With the Limit Up-Limit Down Plan Comments Due: Exhibit 5 Federal Register version (78 FR 16308)
34-69087
March 8, 2013
SR-NSX-2013-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules To Comply With the Requirements of the Plan To Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS Comments Due: Exhibit 5 Federal Register version (78 FR 16325)
34-69075
March 8, 2013
SR-CHX-2013-07
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Article 1, Rule 2 (Order Types and Conditions); Article 20, Rule 4 (Eligible Orders); and Article 20, Rule 6 (Locked and Crossed Markets) To Modify the Operation of the CHX Only Order Type and Post Only Order Modifier Comments Due: Exhibit 5 Federal Register version (78 FR 16311)
34-69076
March 8, 2013
SR-Phlx-2013-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Fee Schedule Governing Order Routing for the NASDAQ OMX PSX Facility Comments Due: Exhibit 5 Federal Register version (78 FR 16344)
34-69081
March 8, 2013
SR-NYSEMKT-2013-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Governing Order Format and System Entry Requirements Comments Due: Exhibit 5 Federal Register version (78 FR 16332)
34-69078
March 8, 2013
SR-NYSEArca-2013-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Schedule of Fees and Charges for Exchange Services To Reduce the Floor Broker Rebate for Qualified Contingent Cross Transactions Comments Due: Exhibit 5 Federal Register version (78 FR 16731)
34-69080
March 8, 2013
SR-NYSEArca-2013-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Governing Order Format and System Entry Requirements Comments Due: Exhibit 5 Federal Register version (78 FR 16329)
34-69086
March 8, 2013
SR-MSRB-2013-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to MSRB Form RTRS Comments Due: Exhibit 3 Federal Register version (78 FR 16346)
34-69085
March 8, 2013
SR-ISE-2013-15
Notice of Filing of Proposed Rule Change To Amend the Obvious and Catastrophic Errors Rule Comments Due: Exhibit 5 , Rel. No. 34-69467 Federal Register version (78 FR 16338)
34-69089
March 8, 2013
SR-FINRA-2013-017
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) Comments Due: View Received Comments Federal Register version (78 FR 16341)
34-69082
March 8, 2013
SR-CBOE-2013-030
Notice of Filing of Proposed Rule Change Relating to the Regulation NMS Plan To Address Extraordinary Market Volatility Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-69328 Federal Register version (78 FR 16351)
34-69083
March 8, 2013
SR-C2-2013-013
Notice of Filing of Proposed Rule Change Relating to the Regulation NMS Plan To Address Extraordinary Market Volatility Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-69345 Federal Register version (78 FR 16320)
34-69067
March 7, 2013
SR-EDGX-2013-11
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 16003)
34-69066
March 7, 2013
SR-EDGA-2013-10
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 16023)
34-69068
March 7, 2013
SR-Phlx-2013-21
Notice of Filing of Proposed Rule Change To Adopt New Exchange Rule 1047(f)(iv) Regarding Quoting Obligations Comments Due: Rel. No. 34-69332 Federal Register version (78 FR 16001)
34-69059
March 7, 2013
SR-NYSEArca-2013-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Inc. Fee Schedule To Increase the Gross FOCUS Fee Comments Due: Exhibit 5 Federal Register version (78 FR 16019)
34-69062
March 7, 2013
4-631
Notice of Filing of the Third Amendment to the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Comments Due: View Received Comments Release No. 34-69287 , Release No. 34-68953 Federal Register version (78 FR 15757)
34-69053
March 7, 2013
SR-BX-2013-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX's Fee Schedule Governing Order Routing Comments Due: Exhibit 5 Federal Register version (78 FR 15999)
34-69070
March 7, 2013
SR-BX-2013-022
Notice of Filing of Proposed Rule Change To Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations Comments Due: Rel. No. 34-69334 Federal Register version (78 FR 16303)
34-69071
March 7, 2013
SR-BX-2013-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Regulation of Trading on BX Options, Section 6, Obvious Errors Comments Due: Federal Register version (78 FR 16349)
34-69055
March 7, 2013
SR-NASDAQ-2013-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fee Schedule Governing Order Routing Comments Due: Exhibit 5 Federal Register version (78 FR 15988)
34-69058
March 7, 2013
SR-NASDAQ-2013-039
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Replace the Current Mid-Point Test Applied to the Definition of Theoretical Price Comments Due: Federal Register version (78 FR 15997)
34-69069
March 7, 2013
SR-NASDAQ-2013-043
Notice of Filing of Proposed Rule Change To Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations Comments Due: Rel. No. 34-69333 Federal Register version (78 FR 15995)
34-69072
March 7, 2013
SR-NASDAQ-2013-036
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV Comments Due: Rel. No. 34-69464 Federal Register version (78 FR 16006)
34-69063
March 7, 2013
SR-FINRA-2013-002
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend FINRA Rule 2267 (Investor Education and Protection) Rel. No. 34-69440 , Rel. No. 34-68700 Federal Register version (78 FR 15994)
34-69064
March 7, 2013
SR-CBOE-2013-028
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 16021)
34-69054
March 7, 2013
SR-BOX-2013-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule for Trading on BOX Comments Due: Exhibit 3 , Exhibit 5 , Memorandum Federal Register version (78 FR 16025)
34-69042
March 5, 2013
SR-EDGX-2013-10
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 15783)
34-69038
March 5, 2013
SR-BATS-2013-016
Notice of Filing of a Proposed Rule Change To Modify the BATS Options Market Maker Obligation Rule Comments Due: Exhibit 5 , Rel. No. 34-69331 Federal Register version (78 FR 15773)
34-69043
March 5, 2013
SR-EDGA-2013-09
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 15777)
34-69040
March 5, 2013
SR-BX-2013-016
Notice of Filing of Proposed Rule Change To Adopt a Directed Order Process Comments Due: View Received Comments Rel. No. 34-70756 , Rel. No. 34-70295 , Rel. No. 34-69684 Federal Register version (78 FR 15385)
34-69041
March 5, 2013
SR-BX-2013-018
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Program for Managed Data Solutions (MDS) Comments Due: Exhibit 5 Federal Register version (78 FR 15791)
34-69039
March 5, 2013
SR-NASDAQ-2013-031
Notice of Filing of 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 Exhibit 5 , Rel. No. 34-69719 , Rel. No. 34-69450 Federal Register version (78 FR 15392)
34-69044
March 5, 2013
SR-ICEEU-2013-03
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Clearing of Foreign Exchange Transactions Comments Due: Federal Register version (78 FR 15775)
34-69029
March 4, 2013
SR-NSX-2013-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule Comments Due: Exhibit 5 Federal Register version (78 FR 15065)
34-69031
March 4, 2013
SR-Phlx-2013-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Long-Term Index Options Comments Due: Exhibit 5 Federal Register version (78 FR 15073)
34-69026
March 4, 2013
SR-OCC-2013-02
Notice of Filing of Proposed Rule Change To Implement a Revised Method of Calculating Clearing Members' Respective Contributions to OCC's Clearing Fund Comments Due: Rel. No. 34-69403 , Rel. No. 34-69403 Federal Register version (78 FR 15088)
34-69033
March 4, 2013
SR-NYSEMKT-2013-10
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Adopting Exchange Rule 953.1NY To Provide for How the Exchange Proposes To Treat Orders, Market-Making Quoting Obligations, and Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility; and Amending Exchange Rule 953NY To Codify That the Exchange Shall Halt Trading in All Options Overlying NMS Stocks When the Equities Markets Initiate a Market-Wide Trading Halt Due to Extraordinary Market Volatility Comments Due: Exhibit 5 , Rel. No. 34-69339 Federal Register version (78 FR 15067)
34-69032
March 4, 2013
SR-NYSEArca-2013-10
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Adopting New Exchange Rule 6.65A To Provide for How the Exchange Proposes to Treat Orders, Market-Making Quoting Obligations, and Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility; and Amending Exchange Rule 6.65 To Codify That the Exchange Shall Halt Trading in All Options Overlying NMS Stocks When the Equities Markets Initiate a Market-Wide Trading Halt Due to Extraordinary Market Volatility Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-69340 Federal Register version (78 FR 15080)
34-69028
March 4, 2013
SR-NASDAQ-2013-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Assess a Fee for the Limit Locator Service Comments Due: Federal Register version (78 FR 15086)
34-69030
March 4, 2013
SR-NASDAQ-2013-032
Notice of Filing of Proposed Rule Change To Require That Listed Companies Have an Internal Audit Function Comments Due: View Received Comments Rel. No. 34-69792 , Rel. No. 34-69402 Federal Register version (78 FR 15075)
34-69025
March 4, 2013
SR-CBOE-2013-025
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 15076)
34-69027
March 4, 2013
SR-BOX-2013-01
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Orders Comments Due: Exhibit 5 , Rel. No. 34-69419 Federal Register version (78 FR 15093)
34-69018
March 1, 2013
SR-BATS-2013-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Mini Options Comments Due: Exhibit 5 Federal Register version (78 FR 15090)
34-69016
March 1, 2013
SR-CME-2013-14
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Acceptance of Additional Interest Rate Swaps for Clearing Comments Due: Federal Register version (78 FR 14870)
34-69017
March 1, 2013
SR-CME-2013-01
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding an Increase of CME Corporate Contribution to Interest Rate Swaps Financial Safeguards Package Comments Due: Federal Register version (78 FR 14866)
34-69009
Feb. 28, 2013
SR-NSX-2013-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Order Type Called the Midpoint-Seeker Order and Amend Rule 11.3(c) Regarding Rounding of Sub-Penny Midpoint Executions Comments Due: Exhibit 5 Federal Register version (78 FR 14867)
34-69005
Feb. 28, 2013
SR-Phlx-2013-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Transaction Fees for Options on Treasury Securities Comments Due: Exhibit 5 Federal Register version (78 FR 14597)
34-69008
Feb. 28, 2013
SR-NYSEArca-2013-18
Notice of Filing of Proposed Rule Change To List and Trade Fourteen Series of the iShares Trust Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-69397 Federal Register version (78 FR 14600)
34-69006
Feb. 28, 2013
SR-NASDAQ-2013-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification Comments Due: Exhibit 5 Federal Register version (78 FR 14872)
34-69007
Feb. 28, 2013
SR-MIAX-2013-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the MIAX Top of Market ("ToM") Data Product Comments Due: Federal Register version (78 FR 14617)
34-69003
Feb. 27, 2013
SR-EDGX-2013-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rules 1.5, 11.5, 11.8, 11.9 and 11.14 in Connection With the Implementation of the National Market System Plan To Address Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (78 FR 14380)
34-69002
Feb. 27, 2013
SR-EDGA-2013-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rules 1.5, 11.5, 11.8, 11.9 and 11.14 in Connection With the Implementation of the National Market System Plan To Address Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (78 FR 14394)
34-68997
Feb. 27, 2013
SR-NYSEMKT-2013-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange's Facilities at 20 Broad Street and Amending Rule 6A-Equities, Which Defines the Terms "Trading Floor" and "NYSE Amex Options Trading Floor" Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 14388)
34-68996
Feb. 27, 2013
SR-NYSE-2013-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange's Facilities at 20 Broad Street and Amending NYSE Rule 6A, Which Defines the Terms "Trading Floor" and "NYSE Amex Options Trading Floor" Comments Due: View Received Comments Exhibit 5 Federal Register version (78 FR 14378)
34-68998
Feb. 27, 2013
SR-CBOE-2013-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule Comments Due: Federal Register version (78 FR 14386)
34-69000
Feb. 27, 2013
SR-CBOE-2013-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (78 FR 14390)
