Notice

Release Number SEC Issue Date File Number Details
34-68999 SR-C2-2013-010 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Comments Due: March 26, 2013
Federal Register version (78 FR 14392)
34-68987 SR-MSRB-2013-02 Notice of Filing of a Proposed Rule Change Relating to Amendments to MSRB Rule G-39, on Telemarketing
Comments Due: March 25, 2013
See Also - Rel. No. 34-69635
Federal Register version (78 FR 14144)
34-68975 SR-BYX-2013-008 Notice of Filing of 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"
Comments Due: March 22, 2013
View Received Comments
See Also - Exhibit 5, Rel. No. 34-69643, Rel. No. 34-69369
Federal Register version (78 FR 13915)
34-68984 SR-Phlx-2013-17 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Routing Fees to C2
Comments Due: March 22, 2013
See Also - Exhibit 5
Federal Register version (78 FR 13925)
34-68977 SR-BX-2013-017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C2
Comments Due: March 25, 2013
See Also - Exhibit 5
Federal Register version (78 FR 14141)
34-68976 SR-NASDAQ-2013-029 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C2
Comments Due: March 22, 2013
See Also - Exhibit 5
Federal Register version (78 FR 13928)
34-68985 SR-FINRA-2013-016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Rules in Accordance With the Regulation NMS Plan To Address Extraordinary Market Volatility
Comments Due: March 22, 2013
See Also - Exhibit 5
Federal Register version (78 FR 13922)
34-68982 SR-DTC-2012-810 Notice of Filing Amendment No. 1 and No Objection to Advance Notice Filing, as Modified by Amendment No. 1, to Reduce Liquidity Risk Relating to Its Processing of Maturity and Income Presentments and Issuances of Money Market Instruments
Comments Due: February 15, 2013
See Also - Rel. No. 34-68690
Federal Register version (78 FR 13917)
34-68983 SR-DTC-2012-10 Notice of Filing Amendment No. 2 and Order Approving Proposed Rule Change, as Modified by Amendment No. 2, To Reduce Liquidity Risk Relating to Its Processing of Maturity and Income Presentments and Issuances of Money Market Instruments
Comments Due: January 25, 2013
View Received Comments
See Also - Rel. No. 34-68834, Rel. No. 34-68548
Federal Register version (78 FR 13924)
34-68980 SR-C2-2013-009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Comments Due: March 22, 2013
See Also - Exhibit 5
Federal Register version (78 FR 13920)
34-68973 SR-NYSEArca-2012-66 Notice of Filing of Amendments No. 1 and No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendments No. 1 and No. 2 To List and Trade Shares of the iShares Copper Trust Pursuant to NYSE Arca Equities Rule 8.201
Comments Due: March 21, 2013
View Received Comments
See Also - Rel. No. 34-68511, Rel. No. 34-67616, Rel. No. 34-67237
Federal Register version (78 FR 13726)
34-68971 SR-ISE-2013-14 Notice of Filing of Proposed Rule Change To List Options on the Dow Jones FXCM Dollar Index
Comments Due: March 21, 2013
See Also - Exhibit 3, Exhibit 5, Rel. No. 34-69365
Federal Register version (78 FR 13717)
34-68962 SR-OCC-2013-01 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Clarifying Language To Conform Interpretive Guidance Concerning Options Overlying Fund Shares With OCC's By-Laws Governing Adjustments
Comments Due: March 21, 2013
Federal Register version (78 FR 13715)
34-68964 SR-C2-2013-008 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Market-Maker Continuous Quoting Obligations
Comments Due: March 20, 2013
See Also - Exhibit 5, Rel. No. 34-69350
Federal Register version (78 FR 13389)
34-68965 SR-BOX-2013-08 Notice of Filing of Proposed Rule Change To Reduce the Directed Order Exposure Period on BOX From Three Seconds to One Second
Comments Due: March 20, 2013
See Also - Exhibit 5
Federal Register version (78 FR 13387)
34-68960 SR-Phlx-2013-09 Notice of Filing of Proposed Rule Change To Enhance the Functionality Offered on Its Options Floor Broker Management System ("FBMS") by, Among Other Things, Automating Functions Currently Performed by Floor Brokers
Comments Due: March 19, 2013
See Also - Exhibit 5, Rel. No. 34-69471
Federal Register version (78 FR 13132)
34-68957 SR-NYSEMKT-2013-14 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20-Equities and 36.21-Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service Is Fully Restored or Friday, March 29, 2013
Comments Due: March 19, 2013
Federal Register version (78 FR 13110)
34-68959 SR-NYSEArca-2013-17 Notice of Filing of Proposed Rule Change Amending Its Rules To Reflect the Merger of NYSE Arca Holdings, Inc., an Intermediate Holding Company, Into and With NYSE Group, Inc., Thereby Eliminating NYSE Arca Holdings, Inc. From the Ownership Structure of the Exchange
Comments Due: March 19, 2013
See Also - Exhibit 5, Rel. No. 34-69325
Federal Register version (78 FR 13103)
34-68958 SR-NYSE-2013-14 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service Is Fully Restored or Friday, March 29, 2013
Comments Due: March 19, 2013
Federal Register version (78 FR 13127)
34-68953 4-631 Notice of Filing and Immediate Effectiveness of the Second 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: March 19, 2013
View Received Comments
See Also - Release No. 34-69287, Release No. 34-69062
Federal Register version (78 FR 13113)
34-68954 SR-MIAX-2013-04 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise Market Maker Obligations Regarding the Opening Process on the Exchange
Comments Due: March 19, 2013
See Also - Exhibit 5
Federal Register version (78 FR 13107)
34-68951 SR-BATS-2013-012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments Due: March 18, 2013
See Also - Exhibit 5
Federal Register version (78 FR 12803)
34-68950 SR-BX-2013-014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments Due: March 19, 2013
See Also - Exhibit 5
Federal Register version (78 FR 13105)
34-68936 SR-NYSE-2013-07 Notice of Filing of Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, Which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform
Comments Due: March 15, 2013
View Received Comments
See Also - Rel. No. 34-70217, Exhibit 2, Exhibit 5, Rel. No. 34-70720, Rel. No. 34-70217, Rel. No. 34-69622, Rel. No. 34-69286
Federal Register version (78 FR 12381)
34-68942 SR-FINRA-2013-015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 4 of Schedule A to the FINRA By-Laws To Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 To Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application
Comments Due: March 15, 2013
View Received Comments
See Also - Exhibit 5
Federal Register version (78 FR 12405)
34-68941 SR-CBOE-2013-022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule
Comments Due: March 15, 2013
See Also - Exhibit 5
Federal Register version (78 FR 12402)
34-68944 SR-CBOE-2013-019 Notice of Filing of a Proposed Rule Change Relating to Market-Maker Continuous Quoting Obligations
Comments Due: March 15, 2013
See Also - Exhibit 5, Rel. No. 34-69338
Federal Register version (78 FR 12377)
34-68929 SR-CME-2012-34 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology
See Also - Rel. No. 34-69254, Rel. No. 34-68529
Federal Register version (78 FR 12127)
34-68935 SR-OCC-2012-801 Notice of No Objection to Advance Notice Filing, as Modified by Amendment No. 1 thereto, to Enter into an Unsecured, Committed Credit Agreement
Comments Due: February 6, 2013
See Also - Rel. No. 34-68618
Federal Register version (78 FR 12121)
34-68926 SR-NYSEMKT-2013-12 Notice of Filing of Proposed Rule Change Amending Rule 975NY in Part and Adding a New Section To Address Errors That Involve Complex Orders
Comments Due: March 14, 2013
See Also - Exhibit 5, Rel. No. 34-69608
Federal Register version (78 FR 12123)
34-68927 SR-NYSEARCA-2013-15 Notice of Filing of Proposed Rule Change Amending Rule 6.87 in Part and Adding a New Section To Address Errors That Involve Complex Orders
Comments Due: March 14, 2013
See Also - Exhibit 5, Rel. No. 34-69609
Federal Register version (78 FR 12117)
34-68930 SR-NYSEArca-2013-14 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Cambria Shareholder Yield ETF Pursuant to NYSE Arca Equities Rule 8.600
Comments Due: March 14, 2013
See Also - Rel. No. 34-69251
Federal Register version (78 FR 12110)
34-68925 SR-NASDAQ-2012-137 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, To Establish the Market Quality Program
Comments Due: January 22, 2013
See Also - Rel. No. 34-69196, Rel. No. 34-69195, Rel. No. 34-68515
Federal Register version (78 FR 12116)
34-68928 SR-ICC-2013-01 Notice of Filing of Proposed Rule Change To Update Chapter 26 and Remove Schedule 502 of the ICE Clear Credit Rules
Comments Due: March 14, 2013
See Also - Rel. No. 34-69243
Federal Register version (78 FR 12125)
34-68932 SR-CBOE-2013-021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Text in the Exchange Fees Schedule
Comments Due: March 14, 2013
See Also - Exhibit 5
Federal Register version (78 FR 12119)
34-68933 SR-CBOE-2013-020 Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program for an Additional Fourteen Months
Comments Due: March 15, 2013
Federal Register version (78 FR 12374)
34-68915 SR-Phlx-2013-14 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Certain NMS Stocks
Comments Due: March 13, 2013
Federal Register version (78 FR 11937)
34-68924 SR-Phlx-2013-13 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Customer Rebate Program and Other Technical Amendments
Comments Due: March 13, 2013
See Also - Exhibit 5
Federal Register version (78 FR 11916)
34-68916 SR-BX-2013-012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Certain NMS Stocks
Comments Due: March 13, 2013
Federal Register version (78 FR 11930)
34-68917 SR-NASDAQ-2013-026 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Certain NMS Stocks
Comments Due: March 13, 2013
Federal Register version (78 FR 11923)
34-68919 SR-ISE-2013-08 Notice of Filing of Proposed Rule Change To Amend the Minimum Trading Increments for Mini Options
Comments Due: March 13, 2013
View Received Comments
See Also - Exhibit 5, Rel. No. 34-69124
Federal Register version (78 FR 11921)
34-68918 SR-FINRA-2013-014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category
Comments Due: March 13, 2013
See Also - Exhibit 5
Federal Register version (78 FR 11925)
34-68908 SR-CHX-2013-05 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 8, Rule 13, Which, Among Other Things, Prohibits Deceptive and Other Abusive Telemarketing Acts or Practices, To Correct a Citation Error
Comments Due: March 22, 2013
Federal Register version (78 FR 13919)
34-68907 SR-PHLX-2013-05 Notice of Filing of Proposed Rule Change Regarding Catastrophic Errors
Comments Due: March 12, 2013
View Received Comments
See Also - Rel. No. 34-69304
Federal Register version (78 FR 11705)
34-68910 SR-NYSEArca-2013-16 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the WisdomTree Euro Debt Fund
Comments Due: March 13, 2013
Federal Register version (78 FR 11932)
34-68912 SR-NYSEArca-2013-13 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 7.11 To Establish 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: March 12, 2013
See Also - Exhibit 5
Federal Register version (78 FR 11720)
34-68909 SR-BX-2013-011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Fee Schedule Governing Order Execution
Comments Due: March 13, 2013
Federal Register version (78 FR 11935)
34-68905 SR-NASDAQ-2013-023 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 7014 and 7018
Comments Due: March 12, 2013
See Also - Exhibit 5
Federal Register version (78 FR 11716)
34-68911 SR-NASDAQ-2013-025 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates To Add Liquidity in Penny Pilot Options
Comments Due: March 12, 2013
See Also - Exhibit 5
Federal Register version (78 FR 11711)
34-68913 SR-NASDAQ-2013-024 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Measure Used To Determine Whether the Price of a Stock Is Equal to or Greater Than One Dollar Under Rule 4120(a)(11)
Comments Due: March 12, 2013
Federal Register version (78 FR 11709)
34-68906 SR-ISE-2013-13 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees
Comments Due: March 12, 2013
See Also - Exhibit 5
Federal Register version (78 FR 11715)
34-68895 SR-BYX-2013-004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments Due: March 8, 2013
See Also - Exhibit 5
Federal Register version (78 FR 11255)
34-68894 SR-CHX-2013-06 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter the Circumstances Under Which Liquidity Providing Credits are Paid to Institutional Brokers
Comments Due: March 8, 2013
See Also - Exhibit 5
Federal Register version (78 FR 11258)
34-68898 SR-NYSEArca-2013-11 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Introduce a New Electronic Customer Rate for Certain Executions That Take Liquidity
Comments Due: March 8, 2013
See Also - Exhibit 5
Federal Register version (78 FR 11261)
34-68899 SR-NASDAQ-2013-027 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments Due: March 8, 2013
See Also - Exhibit 5
Federal Register version (78 FR 11257)
34-68900 SR-CBOE-2013-014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule
Comments Due: March 8, 2013
See Also - Exhibit 5
Federal Register version (78 FR 11260)
34-68901 SR-CBOE-2013-018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments Due: March 8, 2013
See Also - Exhibit 5
Federal Register version (78 FR 11243)
34-68897 SR-C2-2013-007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Comments Due: March 8, 2013
See Also - Exhibit 5
Federal Register version (78 FR 11252)
34-68878 SR-EDGX-2013-07 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments Due: March 7, 2013
See Also - Exhibit 5
Federal Register version (78 FR 10676)
34-68883 SR-EDGX-2013-04 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.14 To Extend the Operation of the Single Stock Circuit Breaker Program
Comments Due: March 7, 2013
See Also - Exhibit 5
Federal Register version (78 FR 10682)
34-68885 SR-BYX-2013-006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Pilot Program Related To Trading Pauses Due to Extraordinary Market Volatility
Comments Due: March 7, 2013
See Also - Exhibit 5
Federal Register version (78 FR 10649)
34-68877 SR-EDGA-2013-07 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments Due: March 7, 2013
See Also - Exhibit 5
Federal Register version (78 FR 10651)
34-68884 SR-EDGA-2013-04 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.14 To Extend the Operation of the Single Stock Circuit Breaker Program
Comments Due: March 7, 2013
See Also - Exhibit 5
Federal Register version (78 FR 10653)
34-68880 SR-Phlx-2013-10 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Fees in Section II of the Pricing Schedule
Comments Due: March 7, 2013
See Also - Exhibit 5
Federal Register version (78 FR 10664)
34-68889 SR-Phlx-2013-15 Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program To Permit PSX To Accept Inbound Orders Routed by Nasdaq Execution Services LLC From the BX Equities Market
Comments Due: March 7, 2013
See Also - Rel. No. 34-69229
Federal Register version (78 FR 10666)
34-68875 SR-NYSEMKT-2013-05 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C-Equities To Establish 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: March 7, 2013
See Also - Exhibit 5
Federal Register version (78 FR 10678)
34-68876 SR-NYSE-2013-09 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C To Establish 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: March 7, 2013
See Also - Exhibit 5
Federal Register version (78 FR 10643)
34-68890 SR-BX-2013-013 Notice of Filing of Proposed Rule Change Requesting Permanent Approval of a Pilot Program To Receive Inbound Equities Orders From PSX Through NES
Comments Due: March 7, 2013
See Also - Rel. No. 34-69232
Federal Register version (78 FR 10674)
34-68891 SR-NASDAQ-2013-028 Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program To Permit Inbound Orders Routed by Nasdaq Execution Services LLC From the NASDAQ OMX BX Equities Market and NASDAQ OMX PSX
Comments Due: March 7, 2013
See Also - Rel. No. 34-69233
Federal Register version (78 FR 10670)
34-68872 SR-MSRB-2013-01 Notice of Filing of a Proposed Rule Change Relating to Amendments to MSRB Rules G-37 and G-8 and Form G-37
Comments Due: March 7, 2013
View Received Comments
See Also - Exhibit 2, Exhibit 3, Exhibit 5, Rel. No. 34-69249
Federal Register version (78 FR 10656)
34-68886 SR-ISE-2013-10 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102 To Extend the Pilot Program
Comments Due: March 7, 2013
See Also - Exhibit 5
Federal Register version (78 FR 10684)
34-68881 SR-ICC-2012-24 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Add Rules Related to the Clearing of European Corporate Single-Name CDS
Comments Due: January 16, 2013
See Also - Rel. No. 34-68939, Rel. No. 34-68482
Federal Register version (78 FR 10652)
34-68882 SR-ICC-2012-23 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Add Rules Related to the Clearing of iTraxx Europe Index CDS
Comments Due: January 16, 2013
See Also - Rel. No. 34-68938, Rel. No. 34-68481
Federal Register version (78 FR 10646)
34-68873 SR-CBOE-2013-016 Notice of Filing 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: March 7, 2013
View Received Comments
See Also - Exhibit 5, Rel. No. 34-69124
Federal Register version (78 FR 10671)
34-68887 SR-CBOE-2013-017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Comments Due: March 7, 2013
See Also - Exhibit 5
Federal Register version (78 FR 10647)
34-68865 SR-BATS-2013-006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Short Term Options Series Program
Comments Due: March 6, 2013
Federal Register version (78 FR 10229)
34-68862 SR-NYSEArca-2013-08 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the SPDR Blackstone/GSO Senior Loan ETF Under NYSE Arca Equities Rule 8.600
Comments Due: March 6, 2013
See Also - Rel. No. 34-69244
Federal Register version (78 FR 10233)
34-68861 SR-NYSE-2013-12 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Cease Operating New York Block Exchange and Contemporaneously Delete the Text of Rule 1600, Which Governs NYBX Functionality
Comments Due: March 6, 2013
See Also - Exhibit 5
Federal Register version (78 FR 10226)
34-68867 SR-ICEEU-2013-02 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Rules Related to Legal Segregation With Operational Commingling
Comments Due: March 6, 2013
Federal Register version (78 FR 10220)
34-68860 SR-CBOE-2013-015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Comments Due: March 6, 2013
See Also - Exhibit 5
Federal Register version (78 FR 10228)
34-68851 SR-BATS-2013-009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments Due: March 5, 2013
See Also - Exhibit 5
Federal Register version (78 FR 9955)
34-68852 SR-NSX-2013-05 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.20B To Extend the Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Comments Due: March 5, 2013
See Also - Exhibit 5
Federal Register version (78 FR 9983)
34-68853 SR-CHX-2013-03 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 20, Rule 2, Which Provides for, Among Other Things, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan To Address Extraordinary Market Volatility or February 4, 2014
Comments Due: March 5, 2013
See Also - Exhibit 5
Federal Register version (78 FR 9981)
34-68838 SR-Phlx-2013-08 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Routing Functionality of the NASDAQ OMX PSX Market
Comments Due: March 5, 2013
Federal Register version (78 FR 9977)
34-68848 SR-NYSEARCA-2013-09 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments Due: March 5, 2013
See Also - Exhibit 5
Federal Register version (78 FR 9985)
34-68840 SR-BX-2013-008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Routing Functionality to the NASDAQ OMX BX Equities Market
Comments Due: March 5, 2013
Federal Register version (78 FR 9961)
34-68839 SR-NASDAQ-2013-014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Routing Functionality to the NASDAQ System
Comments Due: March 5, 2013
View Received Comments
Federal Register version (78 FR 9957)
34-68841 SR-NASDAQ-2013-020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Limit Locator Service Offered at No Cost to Subscribing Members
Comments Due: March 5, 2013
Federal Register version (78 FR 9966)
34-68847 SR-NASDAQ-2013-016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the Purpose of Amending Rule 7014(g)
Comments Due: March 5, 2013
See Also - Exhibit 5
Federal Register version (78 FR 9972)
34-68850 SR-NASDAQ-2013-017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Restore Certain Requirements That Were Inadvertently Deleted From Rule 5815 Relating to a Staff Delisting Determination, Public Reprimand Letter, or Written Denial of a Listing Application
Comments Due: March 7, 2013
Federal Register version (78 FR 9969)
34-68842 SR-FINRA-2013-013 Notice of Filing of Proposed Rule Change To Require Members To Report OTC Equity Transactions as Soon As Practicable, But No Later Than 10 Seconds, Following Execution
Comments Due: March 5, 2013
View Received Comments
See Also - Exhibit 5, Rel. No. 34-69561, Rel. No. 34-69173
Federal Register version (78 FR 9963)
34-68846 SR-FINRA-2013-009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the "Late Report-T+N" Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
Comments Due: March 5, 2013
Federal Register version (78 FR 9979)
34-68855 SR-FINRA-2013-010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Individual Stock Trading Pause Pilot Program
Comments Due: March 5, 2013
See Also - Exhibit 5
Federal Register version (78 FR 9968)
34-68844 SR-CBOE-2013-007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Opening of the Complex Order Book
Comments Due: March 5, 2013
See Also - Exhibit 5
Federal Register version (78 FR 9953)
34-68854 SR-CBOE-2013-010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Individual Stock Trading Pause Pilot Program
Comments Due: March 5, 2013
Federal Register version (78 FR 9975)
34-68843 SR-C2-2013-003 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Opening of the Complex Order Book
Comments Due: March 5, 2013
See Also - Exhibit 5
Federal Register version (78 FR 9959)
34-68831 SR-EDGX-2013-03 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments Due: March 4, 2013
See Also - Exhibit 5
Federal Register version (78 FR 9763)
34-68830 SR-EDGA-2013-03 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments Due: March 4, 2013
See Also - Exhibit 5
Federal Register version (78 FR 9749)
34-68829 SR-NSCC-2012-10 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Eliminate the Offset of Its Obligations With Institutional Delivery Transactions That Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures
Comments Due: January 25, 2013
View Received Comments
See Also - Rel. No. 34-69302, Rel. No. 34-68549
Federal Register version (78 FR 9751)
34-68832 SR-FINRA-2012-050 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Comments Due: March 4, 2013
See Also - Rel. No. 34-68270
Federal Register version (78 FR 9754)