34-68490
Dec. 20, 2012
SR-CME-2012-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Applicable to its OTC Credit Default Swap Clearing Offering Comments Due: Federal Register version (77 FR 76314)
34-68488
Dec. 20, 2012
SR-NYSEArca-2012-142
Notice of Filing of Proposed Rule Change To List and Trade the Guggenheim Enhanced Total Return ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-68863 Federal Register version (78 FR 1892)
34-68493
Dec. 20, 2012
SR-NASDAQ-2012-133
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify a Level 2 Subscriber Fee and Related Rule Clarifications Comments Due: Federal Register version (77 FR 76574)
34-68502
Dec. 20, 2012
SR-NASDAQ-2012-139
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Port Fees and a Participant Fee Comments Due: Exhibit 5 Federal Register version (77 FR 76572)
34-68491
Dec. 20, 2012
SR-ISE-2012-101
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 504(f) To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration in Unusual Market Conditions Comments Due: Federal Register version (77 FR 76334)
34-68492
Dec. 20, 2012
SR-ISE-2012-100
Notice of Filing of Proposed Rule Change To Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism Comments Due: Exhibit 5 , Rel. No. 34-68849 Federal Register version (77 FR 76336)
34-68494
Dec. 20, 2012
SR-ICEEU-2012-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Position Allocation Methodology to Margin Calculations for Two Additional OTC Spread Swap Futures Contracts Comments Due: Federal Register version (77 FR 76316)
34-68495
Dec. 20, 2012
SR-ICEEU-2012-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Position Allocation Methodology for SPAN Margin Calculation Extended to Three Additional Calendar Spread Options Comments Due: Federal Register version (77 FR 76318)
34-68496
Dec. 20, 2012
SR-ICEEU-2012-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Intra-Day Margin Calling Policy for Energy Clearing Members Comments Due: Federal Register version (77 FR 76332)
34-68497
Dec. 20, 2012
SR-ICEEU-2012-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptance of Letters of Credit or Pass-Through Letters of Credit Deposits From Non-Financial Institution Energy Clearing Members Comments Due: Federal Register version (77 FR 76325)
34-68503
Dec. 20, 2012
SR-ICEEU-2012-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delivery Procedures To Reflect the Clearing Relationship for ICE Futures U.S. Inc. Comments Due: Federal Register version (77 FR 76315)
34-68487
Dec. 20, 2012
SR-CBOE-2012-124
Notice of Proposed Rule To Amend Various CBOE Rules Governing Letters of Guarantee and Authorization Comments Due: Rel. No. 34-68879 Federal Register version (77 FR 76320)
34-68504
Dec. 20, 2012
SR-CBOE-2012-122
Notice of Filing of a Proposed Rule Change Related to SPX Combo Orders Comments Due: Federal Register version (77 FR 76578)
34-68473
Dec. 19, 2012
SR-Phlx-2012-140
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Permit and Order Entry Port Fee Comments Due: Exhibit 5 Federal Register version (77 FR 76128)
34-68469
Dec. 19, 2012
SR-NYSEMKT-2012-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 140 of the NYSE MKT LLC Company Guide To Introduce an Initial Application Fee Comments Due: Exhibit 5 Federal Register version (77 FR 76158)
34-68474
Dec. 19, 2012
SR-NYSEArca--2012-141
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 6.65-Trading Halts and Suspensions Comments Due: Exhibit 5 Federal Register version (77 FR 76139)
34-68476
Dec. 19, 2012
SR-NYSEArca-2012-138
Notice of Filing of Proposed Rule Change To List and Trade PIMCO Foreign Currency Strategy Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-68871 Federal Register version (77 FR 76121)
34-68470
Dec. 19, 2012
SR-NYSE-2012-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Sections 902.02 and 902.03 of the New York Stock Exchange LLC Listed Company Manual To Introduce an Initial Application Fee Comments Due: Exhibit 5 Federal Register version (77 FR 76116)
34-68481
Dec. 19, 2012
SR-ICC-2012-23
Notice of Filing of Proposed Rule Change to Add Rules Related to the Clearing of iTraxx Europe Index CDS Comments Due: Rel. No. 34-68938 , Rel. No. 34-68882 Federal Register version (77 FR 76109)
34-68482
Dec. 19, 2012
SR-ICC-2012-24
Notice of Filing of Proposed Rule Change To Add Rules Related to the Clearing of European Corporate Single-Name CDS Comments Due: Rel. No. 34-68939 , Rel. No. 34-68881 Federal Register version (77 FR 76156)
34-68468
Dec. 19, 2012
SR-FINRA-2012-055
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business Comments Due: Exhibit 5 Federal Register version (77 FR 76112)
34-68471
Dec. 19, 2012
SR-FINRA-2012-056
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) Comments Due: View Received Comments Federal Register version (77 FR 76113)
34-68475
Dec. 19, 2012
SR-FINRA-2012-054
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add the Term Chief Legal Officer to the Definition of General Counsel Comments Due: Federal Register version (77 FR 76129)
34-68480
Dec. 19, 2012
SR-CBOE-2012-118
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Federal Register version (77 FR 76119)
34-68479
Dec. 19, 2012
SR-C2-2012-040
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Federal Register version (77 FR 76131)
34-68478
Dec. 19, 2012
SR-BOX-2012-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position and Exercise Limits for Options on the iShares MSCI Emerging Markets Index Fund to 500,000 Contracts Comments Due: Exhibit 5 Federal Register version (77 FR 76132)
34-68455
Dec. 18, 2012
SR-CHX-2012-14
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Telemarketing Rules Comments Due: View Received Comments Federal Register version (78 FR 1290)
34-68458
Dec. 18, 2012
SR-NYSEArca-2012-139
Notice of Filing of Proposed Rule Change To List and Trade First Trust Preferred Securities and Income ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-68870 Federal Register version (78 FR 1284)
34-68457
Dec. 18, 2012
SR-CBOE-2012-120
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 2, To Allow the Listing and Trading of a P.M.-Settled S&P 500 Index Option Product Comments Due: Rel. No. 34-68888 Federal Register version (78 FR 1296)
34-68450
Dec. 17, 2012
SR-BYX-2012-024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. Comments Due: Federal Register version (77 FR 75686)
34-68451
Dec. 17, 2012
SR-NYSEMKT-2012-82
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, January 18, 2013 Comments Due: Federal Register version (77 FR 75681)
34-68452
Dec. 17, 2012
SR-NYSE-2012-73
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, January 18, 2013 Comments Due: Federal Register version (77 FR 75683)
34-68442
Dec. 14, 2012
SR-BATS-2012-046
Notice of Filing of a Proposed Rule Change To Modify Exchange Rule 11.23 Relating to Auctions of Exchange-Listed Securities Comments Due: Exhibit 5 , Rel. No. 34-68788 Federal Register version (77 FR 75459)
34-68438
Dec. 14, 2012
AN-OCC-2012-04
Notice Filing To Revise the Method for Determining the Minimum Clearing Fund Size To Include Consideration of the Amount Necessary To Draw on Secured Credit Facilities Rel. No. 34-68445 , Rel. No. 34-68130 , Rel. No. 34-68225 Federal Register version (77 FR 75487)
34-68444
Dec. 14, 2012
SR-NYSEMKT-2012-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 102(a) of the NYSE MKT Company Guide To Eliminate an Erroneous Reference Comments Due: Exhibit 5 Federal Register version (77 FR 75462)
34-68440
Dec. 14, 2012
SR-NYSEArca-2012-28
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 1 To List and Trade Shares of the JPM XF Physical Copper Trust Pursuant to NYSE Arca Equities Rule 8.201 Comments Due: View Received Comments Rel. No. 34-69256 , Rel. No. 34-67965 , Rel. No. 34-67470 , Rel. No. 34-67075 , Rel. No. 34-66816 Federal Register version (77 FR 75468)
34-68437
Dec. 14, 2012
SR-ICEEU-2012-08
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Clear Western European Sovereign CDS Contracts View Received Comments Rel. No. 34-68757 , Rel. No. 34-68119 Federal Register version (77 FR 75466)
34-68443
Dec. 14, 2012
SR-DTC-2012-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Ministerial Changes to the Existing Reorganization Service Guide Comments Due:
34-68427
Dec. 13, 2012
SR-NYSEMKT-2012-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through March 31, 2013 Comments Due: Exhibit 5 Federal Register version (77 FR 75227)
34-68426
Dec. 13, 2012
SR-NYSEArca-2012-135
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 March 31, 2013 Comments Due: Exhibit 5 Federal Register version (77 FR 75224)
34-68421
Dec. 13, 2012
SR-NASDAQ-2012-135
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NASDAQ's Fees for Order Execution Comments Due: Federal Register version (77 FR 75232)
34-68424
Dec. 13, 2012
SR-ISE-2012-95
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Federal Register version (77 FR 75241)
34-68428
Dec. 13, 2012
SR-CBOE-2012-116
Notice of Proposed Rule Change Related to Bylaw and Other Changes Comments Due: Rel. No. 34-68766 Federal Register version (77 FR 75230)
34-68422
Dec. 13, 2012
SR-C2-2012-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (77 FR 75235)
34-68423
Dec. 13, 2012
SR-C2-2012-041
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (77 FR 75228)
34-68429
Dec. 13, 2012
C2-2012-039
Notice of Proposed Rule Change Related to Bylaw and Other Changes Comments Due: Rel. No. 34-68767 Federal Register version (77 FR 75237)
34-68425
Dec. 13, 2012
SR-BOX-2012-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (77 FR 75234)
34-68418
Dec. 12, 2012
SR-NYSEMKT-2012-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding New Rule 956.1NY, Which Will Govern the Submission of Automated Trading Data Comments Due: Exhibit 5 Federal Register version (77 FR 75225)
34-68416
Dec. 12, 2012
SR-NASDAQ-2012-119
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Establish Fees for New Optional Wireless Connectivity for Co-Located Clients Comments Due: View Received Comments Rel. No. 34-68085 Federal Register version (77 FR 75229)
34-68415
Dec. 12, 2012
SR-MIAX-2012-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the MIAX Options Fee Schedule Comments Due: View Received Comments Exhibit 5 Federal Register version (77 FR 74905)
34-68413
Dec. 12, 2012
SR-ISE-2012-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (77 FR 74898)
34-68414
Dec. 12, 2012
SR-FINRA-2012-052
Notice of Filing of Proposed Rule Change To Require Members To Report the Factor to TRACE in Asset-Backed Security Transactions (Except an Asset-Backed Security Traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission Comments Due: View Received Comments Rel. No. 34-69037 , Rel. No. 34-68768 Federal Register version (77 FR 74896)
34-68417
Dec. 12, 2012
SR-CBOE-2012-119
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule Comments Due: View Received Comments Federal Register version (77 FR 74894)
34-68412
Dec. 12, 2012
SR-BOX-2012-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Market Maker Pre-Opening Obligations on BOX Comments Due: Exhibit 5 Federal Register version (77 FR 74902)
34-68402
Dec. 11, 2012
SR-Phlx-2012-137
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity Comments Due: Exhibit 5 Federal Register version (77 FR 74699)
34-68406
Dec. 11, 2012
SR-Phlx-2012-138
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategies Comments Due: Exhibit 5 Federal Register version (77 FR 74715)
34-68403
Dec. 11, 2012
SR-OCC-2012-23
Notice of Filing of Proposed Rule Change To Accommodate Certain Physically-Settled Options on U.S. Treasury Securities Comments Due: Rel. No. 34-68712 , Rel. No. 34-68712 Federal Register version (77 FR 74705)
34-68407
Dec. 11, 2012
SR-NYSEMKT-2012-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Amend the NYSE Amex Options Fee Schedule for Professional Customers and Broker-Dealers To Modify Existing Volume-Based Tiers and the Associated Rate per Contract for Certain Electronic Executions Comments Due: Exhibit 5 Federal Register version (77 FR 74710)
34-68399
Dec. 11, 2012
SR-NYSEARCA-2012-134
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Allow Manual Orders Entered Into the Exchange's Electronic Order Capture System or Entered Into an Order Entry Device and Contemporaneously Recorded Into the EOC System To Qualify for the Manual Transaction Fee Comments Due: Exhibit 5 Federal Register version (77 FR 74723)
34-68405
Dec. 11, 2012
SR-NYSEArca-2012-137
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 74719)
34-68400
Dec. 11, 2012
SR-NASDAQ-2012-136
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for SOX, OSX and HGX Comments Due: Exhibit 5 Federal Register version (77 FR 74703)
34-68398
Dec. 11, 2012
SR-ISE-2012-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Position and Exercise Limits in EEM Options Comments Due: Federal Register version (77 FR 74700)
34-68391
Dec. 10, 2012
SR-NSX-2012-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule Comments Due: Federal Register version (77 FR 74536)
34-68392
Dec. 10, 2012
SR-NSX-2012-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule Comments Due: Federal Register version (77 FR 74533)
34-68393
Dec. 10, 2012
SR-Phlx-2012-134
Notice of Filing and Immediate Effectiveness of a Proposal with Respect to the Authority of the Exchange or Nasdaq Options Services LLC ("NOS") To Cancel Options Orders when a Technical or System Issue Occurs and To Describe the Operation of an Error Account for NOS Comments Due: Exhibit 5 Federal Register version (77 FR 74520)
34-68394
Dec. 10, 2012
SR-BX-2012-073
Notice of Filing and Immediate Effectiveness of Proposed Rule Change With Respect to the Authority of the Exchange or Nasdaq Options Services LLC ("NOS") To Cancel Options Orders When a Technical or System Issue Occurs and To Describe the Operation of an Error Account for NOS Comments Due: Exhibit 5 Federal Register version (77 FR 74524)
34-68389
Dec. 10, 2012
SR-NASDAQ-2012-122
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend and Adopt Several NASDAQ Rules To Reflect Changes to Rules of the Financial Industry Regulatory Authority ("FINRA") Comments Due: Exhibit 5 Federal Register version (77 FR 74538)
34-68395
Dec. 10, 2012
SR-NASDAQ-2012-134
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the NASDAQ Options Market ("NOM") With Respect to the Authority of the Exchange or Nasdaq Options Services LLC ("NOS") To Cancel Options Orders When a Technical or System Issue Occurs and To Describe the Operation of an Error Account for NOS Comments Due: Exhibit 5 Federal Register version (77 FR 74530)
34-68380
Dec. 7, 2012
SR-NYSEMKT-2012-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 903 To Provide That the Exchange May Not List Short Term Option Series Expirations That Coincide With the Expiration of Quarterly Option Series on the Same Class Comments Due: Federal Register version (77 FR 74263)
34-68381
Dec. 7, 2012
SR-NYSEMKT-2012-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Modify the NYSE Amex Options Fee Schedule Regarding the Manner in Which Funds From Marketing Charges Are Controlled Comments Due: Exhibit 5 Federal Register version (77 FR 74261)
34-68383
Dec. 7, 2012
SR-NYSEMKT-2012-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 952NY With Respect to Opening Trading in an Options Series Comments Due: Exhibit 5 Federal Register version (77 FR 74258)
34-68382
Dec. 7, 2012
SR-NYSEARCA-2012-136
Notice of Filing And Immediate Effectiveness of Proposed Rule Change to Allow for the Split-Price Priority Provisions to Apply to Open Outcry Trading of Cabinet Trades Comments Due: Exhibit 5 Federal Register version (77 FR 74247)
34-68385
Dec. 7, 2012
SR-NYSEARCA-2012-133
Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(h)(7) To Permit PL Select Orders To Interact With Incoming Orders Larger Than the Size of the PL Select Order Comments Due: Exhibit 5 , Rel. No. 34-68725 Federal Register version (77 FR 74528)
34-68384
Dec. 7, 2012
SR-ISE-2012-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Payment for Order Flow Fees Comments Due: Exhibit 5 Federal Register version (77 FR 74252)
34-68386
Dec. 7, 2012
SR-FINRA-2009-060
Notice of Filing of Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) Comments Due: Rel. No. 34-60836 Federal Register version (77 FR 74253)
34-68387
Dec. 7, 2012
SR-FINRA-2012-053
Notice of Filing of Proposed Rule Change To Establish Optional TRACE Data Delivery Services and Related Fees Comments Due: Exhibit 5 , Rel. No. 34-68675 Federal Register version (77 FR 74249)
34-68375
Dec. 6, 2012
SR-Phlx-2012-135
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options Comments Due: Exhibit 5 Federal Register version (77 FR 74037)
34-68376
Dec. 6, 2012
SR-Phlx-2012-139
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Orders Comments Due: Exhibit 5 Federal Register version (77 FR 74039)
34-68377
Dec. 6, 2012
SR-NYSE-2012-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Manner in Which New York Stock Exchange LLC Calculates Certain Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by the Exchange on November 12, 2012 Comments Due: Federal Register version (77 FR 74034)
34-68378
Dec. 6, 2012
SR-NASDAQ-2012-043
Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Establish the Market Quality Program Comments Due: View Received Comments Rel. No. 34-67961 , Rel. No. 34-67411 , Rel. No. 34-67022 , Rel. No. 34-66765 Federal Register version (77 FR 74042)
34-68358
Dec. 5, 2012
SR-NYSEMKT-2012-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Exchange Rule 904 To Increase the Position and Exercise Limits for Options on the iShares MSCI Emerging Markets Index Fund to 500,000 Contracts Comments Due: Exhibit 5 Federal Register version (77 FR 73708)
34-68359
Dec. 5, 2012
SR-NYSEArca-2012-132
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Exchange Rule 6.8 To Increase the Position and Exercise Limits for Options on the iShares MSCI Emerging Markets Index Fund to 500,000 Contracts Comments Due: Exhibit 5 Federal Register version (77 FR 73716)
34-68360
Dec. 5, 2012
SR-CBOE-2012-115
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 74041)
34-68361
Dec. 5, 2012
SR-BOX-2012-020
Notice of Filing and Immediate Effectiveness of a Proposal To Expand the Short Term Options Series Program Comments Due: Exhibit 5 Federal Register version (77 FR 73729)
34-68362
Dec. 5, 2012
4-551
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc. and Miami International Securities Exchange, LLC Concerning Options-Related Market Surveillance Comments Due: Federal Register version (77 FR 73719)
34-68363
Dec. 5, 2012
S7-966
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the BATS Exchange, Inc., BOX Options Exchange, LLC, the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, LLC. Concerning Options-Related Sales Practice Matters Comments Due: Federal Register version (77 FR 73711)
34-68354
Dec. 4, 2012
SR-NYSEMKT-2012-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 472-Equities, Which Addresses Communications With the Public, Adopting New Rule Text To Conform to the Changes Adopted by the Financial Industry Regulatory Authority, Inc. for Research Analysts and Research Reports as Required by the Jumpstart Our Business Startups Act Comments Due: Federal Register version (77 FR 73705)
34-68351
Dec. 4, 2012
SR-NYSEArca-2012-131
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the Horizons S&P 500 Covered Call ETF, Horizons S&P Financial Select Sector Covered Call ETF, and Horizons S&P Energy Select Sector Covered Call ETF Under NYSE Arca Equities Rule 5.2(j)(3) Comments Due: Rel. No. 34-68708 Federal Register version (77 FR 73500)
34-68353
Dec. 4, 2012
SR-NYSE-2012-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 472, Which Addresses Communications With the Public, Adopting New Rule Text To Conform to the Changes Adopted by the Financial Industry Regulatory Authority, Inc. for Research Analysts and Research Reports as Required by the Jumpstart Our Business Startups Act Comments Due: Federal Register version (77 FR 73726)
34-68350
Dec. 4, 2012
SR-CBOE-2012-117
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rule Related to Multi-Class Broad-Based Index Option Spread Orders Comments Due: Federal Register version (77 FR 73498)
34-68352
Dec. 4, 2012
SR-CBOE-2012-113
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule Comments Due: Federal Register version (77 FR 73508)
34-68340
Dec. 3, 2012
SR-NYSEMKT-2012-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C(9)(a)(1)(ii)-Equities To Delete the Requirement That the Order Acceptance Cut-Off Time Cannot Be Past 4:30 p.m. Comments Due: Exhibit 5 Federal Register version (77 FR 73106)
34-68339
Dec. 3, 2012
SR-NYSEArca-2012-130
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 6.62(cc) Making Available the Post No Preference Light Only Quotation to Options Classes Not Participating in the Penny Pilot Comments Due: Exhibit 5 Federal Register version (77 FR 73109)
34-68336
Dec. 3, 2012
SR-NASDAQ-2012-129
Notice of Filing of Proposed Rule Change to Establish the Retail Price Improvement Program on a Pilot Basis until 12 Months from the Date of Implementation Comments Due: Exhibit 5 , Rel. No. 34-68694
34-68337
Dec. 3, 2012
SR-ICC-2012-18
Notice of Withdrawal of Proposed Rule Change To Add Rules Related to the Clearing of iTraxx Europe Index CDS and European Corporate Single-Name CDS Comments Due: Rel. No. 34-68035 Federal Register version (77 FR 73106)
34-68338
Dec. 3, 2012
SR-ICC-2012-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules To Update the Contract Reference Obligation ISIN Associated With One Single Name Contract Comments Due: Federal Register version (77 FR 73103)
34-68342
Dec. 3, 2012
SR-CBOE-2012-114
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 73096)
34-68330
Nov. 30, 2012
SR-BATS-2012-045
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Availability of Risk Management Tools Comments Due: Federal Register version (77 FR 72894)
34-68329
Nov. 30, 2012
SR-BYX-2012-022
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Availability of Risk Management Tools Comments Due: Federal Register version (77 FR 72902)
34-68328
Nov. 30, 2012
SR-MSRB-2012-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of the Requirement To Report the Contractual Dollar Prices at Which Transactions Were Executed for Inter-Dealer Transactions Comments Due: Federal Register version (77 FR 72897)
