34-68313
Nov. 28, 2012
SR-BX-2012-063
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1 File Nos.: Comments Due: Rel. No. 34-68020 , Rel. No. 34-68637 , Rel. No. 34-68638 , Rel. No. 34-68639 , Rel. No. 34-68640 , Rel. No. 34-68641 , Rel. No. 34-68642 , Rel. No. 34-68643 , Rel. No. 34-68013 , Rel. No. 34-68018 , Rel. No. 34-68011 , Rel. No. 34-68006 , Rel. No. 34-68007 , Rel. No. 34-68022 Federal Register version (77 FR 71853)
34-68313
Nov. 28, 2012
SR-CBOE-2012-094
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1 File Nos.: Comments Due: Rel. No. 34-68020 , Rel. No. 34-68637 , Rel. No. 34-68638 , Rel. No. 34-68639 , Rel. No. 34-68640 , Rel. No. 34-68641 , Rel. No. 34-68642 , Rel. No. 34-68643 , Rel. No. 34-68013 , Rel. No. 34-68018 , Rel. No. 34-68011 , Rel. No. 34-68006 , Rel. No. 34-68007 , Rel. No. 34-68022 Federal Register version (77 FR 71853)
34-68313
Nov. 28, 2012
SR-NYSEMKT-2012-48
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1 File Nos.: Comments Due: View Received Comments Rel. No. 34-68020 , Rel. No. 34-68637 , Rel. No. 34-68638 , Rel. No. 34-68639 , Rel. No. 34-68640 , Rel. No. 34-68641 , Rel. No. 34-68642 , Rel. No. 34-68643 , Rel. No. 34-68013 , Rel. No. 34-68018 , Rel. No. 34-68011 , Rel. No. 34-68006 , Rel. No. 34-68007 , Rel. No. 34-68022 Federal Register version (77 FR 71853)
34-68313
Nov. 28, 2012
SR-NYSE-2012-49
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1 File Nos.: Comments Due: View Received Comments Rel. No. 34-68020 , Rel. No. 34-68637 , Rel. No. 34-68638 , Rel. No. 34-68639 , Rel. No. 34-68640 , Rel. No. 34-68641 , Rel. No. 34-68642 , Rel. No. 34-68643 , Rel. No. 34-68013 , Rel. No. 34-68018 , Rel. No. 34-68011 , Rel. No. 34-68006 , Rel. No. 34-68007 , Rel. No. 34-68022 Federal Register version (77 FR 71853)
34-68313
Nov. 28, 2012
SR-NASDAQ-2012-109
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1 File Nos.: Comments Due: View Received Comments Rel. No. 34-68020 , Rel. No. 34-68637 , Rel. No. 34-68638 , Rel. No. 34-68639 , Rel. No. 34-68640 , Rel. No. 34-68641 , Rel. No. 34-68642 , Rel. No. 34-68643 , Rel. No. 34-68013 , Rel. No. 34-68018 , Rel. No. 34-68011 , Rel. No. 34-68006 , Rel. No. 34-68007 , Rel. No. 34-68022 Federal Register version (77 FR 71853)
34-68313
Nov. 28, 2012
SR-BATS-2012-039
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1 File Nos.: Comments Due: Rel. No. 34-68020 , Rel. No. 34-68637 , Rel. No. 34-68638 , Rel. No. 34-68639 , Rel. No. 34-68640 , Rel. No. 34-68641 , Rel. No. 34-68642 , Rel. No. 34-68643 , Rel. No. 34-68013 , Rel. No. 34-68018 , Rel. No. 34-68011 , Rel. No. 34-68006 , Rel. No. 34-68007 , Rel. No. 34-68022 Federal Register version (77 FR 71853)
34-68313
Nov. 28, 2012
SR-NYSEArca-2012-105
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1 File Nos.: Comments Due: View Received Comments Rel. No. 34-68020 , Rel. No. 34-68637 , Rel. No. 34-68638 , Rel. No. 34-68639 , Rel. No. 34-68640 , Rel. No. 34-68641 , Rel. No. 34-68642 , Rel. No. 34-68643 , Rel. No. 34-68013 , Rel. No. 34-68018 , Rel. No. 34-68011 , Rel. No. 34-68006 , Rel. No. 34-68007 , Rel. No. 34-68022 Federal Register version (77 FR 71853)
34-68293
Nov. 27, 2012
SR-Phlx-2012-132
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to EEM Options Position Limits Comments Due: Exhibit 5 Federal Register version (77 FR 71644)
34-68302
Nov. 27, 2012
SR-NYSE-2012-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Moving the Rule Text That Provides for Pegging on the Exchange From Supplementary Material .26 of NYSE Rule 70 to NYSE Rule 13 and Amending Such Text to (i) Permit Designated Market Maker Interest To Be Set as Pegging Interest; (ii) Change References From National Best Bid, National Best Offer and National Best Bid or Offer to Best Protected Bid, Best Protected Offer and Best Protected Bid or Offer, Respectively; (iii) Permit Pegging Interest To Peg to the Opposite Side of the Market; and (iv) Provide for An Offset Value To Be Specified for Pegging Interest Comments Due: Exhibit 5 Federal Register version (77 FR 71658)
34-68300
Nov. 27, 2012
SR-ICC-2012-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct One Term in the ICC Rules Comments Due: Federal Register version (77 FR 71649)
34-68301
Nov. 27, 2012
SR-CBOE-2012-111
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend CBOE Rule 6.18 Concerning the Exchange's Disaster Recovery Facility Comments Due: Federal Register version (77 FR 71650)
34-68294
Nov. 27, 2012
SR-BOX-2012-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 7110 Regarding Session Orders Comments Due: Federal Register version (77 FR 71647)
34-68288
Nov. 26, 2012
SR-OCC-2012-22
Notice of Filing of Proposed Rule Change To Clarify the Use of Certain Amounts Credited to the Liquidating Settlement Account To Settle Mark-to-Market Payments Arising From Stock Loan and Borrow Positions Carried in the Customers' Account Comments Due: Rel. No. 34-68602 , Rel. No. 34-68602 Federal Register version (77 FR 71466)
34-68290
Nov. 26, 2012
SR-NYSEArca-2012-126
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.64 (OX Trading Auctions) With Respect to Opening Trading in an Options Series Comments Due: Exhibit 5 Federal Register version (77 FR 71469)
34-68287
Nov. 26, 2012
SR-NASDAQ-2012-131
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Listing Requirements for Other Securities Listed Under Rule 5730 Comments Due: Federal Register version (77 FR 71464)
34-68281
Nov. 21, 2012
SR-NSX-2012-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Operation of the Exchange's Depth-of-Book Feed Comments Due: Federal Register version (77 FR 71022)
34-68280
Nov. 21, 2012
SR-NYSEArca-2012-127
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Schedule of Fees and Charges for Exchange Services to Revise Certain Aspects of the Listing Fees Applicable to Structured Products Comments Due: Exhibit 5 Federal Register version (77 FR 71020)
34-68282
Nov. 21, 2012
SR-NYSE-2012-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C(9)(a)(1)(ii) 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 71023)
34-68283
Nov. 21, 2012
SR-NYSE-2012-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Specify Pricing That Is Currently Applicable to Certain Executions on the Exchange, but That Is Not Currently Included in the Price List Comments Due: Exhibit 5 Federal Register version (77 FR 71026)
34-68279
Nov. 21, 2012
SR-NASDAQ-2012-117
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change With Respect to INAV Pegged Orders for ETFs Comments Due: View Received Comments 34-68279A , Rel. No. 34-68672 , Rel. No. 34-68042 Federal Register version (77 FR 70857)
34-68267
Nov. 20, 2012
SR-Phlx-2012-133
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 3218 Comments Due: Federal Register version (77 FR 70866)
34-68272
Nov. 20, 2012
SR-NYSEMKT-2012-69
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, December 14, 2012 Comments Due: Federal Register version (77 FR 70871)
34-68271
Nov. 20, 2012
SR-NYSE-2012-67
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, December 14, 2012 Comments Due: Federal Register version (77 FR 70862)
34-68276
Nov. 20, 2012
SR-NYSE-2012-54
Notice to the Exchange When Required Pursuant to Sections 204.06, 204.12, 204.17, 204.21, 204.22, 311.01, 401.02, and 601.00 of the Listed Company Manual, and To Make Conforming Changes Comments Due: Exhibit 5 , Rel. No. 34-68635 Federal Register version (77 FR 70868)
34-68269
Nov. 20, 2012
SR-NSCC-2012-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Addendum A (Fee Structure) of Its Rules and Procedures Relating to Fund/SERV Fees Comments Due: Federal Register version (77 FR 70865)
34-68268
Nov. 20, 2012
SR-BX-2012-072
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 4618 Comments Due: Federal Register version (77 FR 70858)
34-68274
Nov. 20, 2012
SR-MSRB-2012-09
Notice of Filing and Immediate Effectiveness of Revisions to the Study Outline for the Municipal Securities Principal Qualification Examination (Series 53) Comments Due: Exhibit 3 Federal Register version (77 FR 70855)
34-68270
Nov. 20, 2012
SR-FINRA-2012-050
Notice of Filing of Proposed Rule Change To Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) Comments Due: View Received Comments Rel. No. 34-68832 Federal Register version (77 FR 70860)
34-68257
Nov. 19, 2012
SR-BATS-2012-044
Notice of Filing of Proposed Rule Change To Amend BATS Rule 14.11, Entitled "Other Securities," and To List and Trade Shares of Certain ProShares Products Comments Due: Rel. No. 34-68619 Federal Register version (77 FR 70500)
34-68261
Nov. 19, 2012
SR-NYSEMKT-2012-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Monthly Fees for the Use of Ports Comments Due: Exhibit 5 Federal Register version (77 FR 70522)
34-68255
Nov. 19, 2012
SR-FINRA-2012-049
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a Pilot Basis Comments Due: Exhibit 5 Federal Register version (77 FR 70515)
34-68262
Nov. 19, 2012
SR-CBOE-2012-108
Notice of Proposed Rule Change To Address Authority To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of Routing Service Error Accounts Comments Due: Rel. No. 34-68585 Federal Register version (77 FR 70517)
34-68265
Nov. 19, 2012
SR-CBOE-2012-109
Notice of Proposed Rule Change Related to CBSX To Address Authority To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of Routing Service Error Accounts Comments Due: Rel. No. 34-68584 Federal Register version (77 FR 70511)
34-68260
Nov. 19, 2012
SR-C2-2012-038
Notice of Proposed Rule Change To Address Authority To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of Routing Service Error Accounts Comments Due: Rel. No. 34-68583 Federal Register version (77 FR 70496)
34-68254
Nov. 16, 2012
SR-NASDAQ-2012-130
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer the Equity Trade Journal for Clearing Firms Service and Assess a Related Fee Comments Due: Federal Register version (77 FR 70198)
34-68253
Nov. 16, 2012
SR-ICC-2012-20
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 70202)
34-68252
Nov. 16, 2012
SR-CBOE-2012-112
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Correct Rule Numbering Errors Comments Due: Federal Register version (77 FR 70201)
34-68244
Nov. 15, 2012
SR-NYSEMKT-2012-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 123C-Equities To Add New Supplementary Material .40 To Clarify That All Times Specified in Rule 123C-Equities Are Adjusted When the Scheduled Close of Trading Is Before 4:00 p.m. Comments Due: Exhibit 5 Federal Register version (77 FR 70197)
34-68239
Nov. 15, 2012
SR-NYSEARCA-2012-125
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(x) To Clarify That When There Is an Early Scheduled Close, the 3:45 p.m. ET Time Specified in the Rule Is Adjusted to 15 Minutes Before the Early Scheduled Close Comments Due: Federal Register version (77 FR 69901)
34-68243
Nov. 15, 2012
SR-NYSE-2012-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C To Add New Supplementary Material .40 To Clarify That All Times Specified in Rule 123C Are Adjusted When the Scheduled Close of Trading Is Before 4:00 p.m. Comments Due: Exhibit 5 Federal Register version (77 FR 70195)
34-68238
Nov. 15, 2012
SR-NASDAQ-2012-128
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Exemption to the Direct Registration Program Requirement to All Foreign Issuers Rather Than Only Foreign Private Issuers Comments Due: Federal Register version (77 FR 69911)
34-68240
Nov. 15, 2012
SR-ISE-2012-88
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 69905)
34-68247
Nov. 15, 2012
SR-ISE-2012-22
Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Options on the ISE Max SPY Index Comments Due: View Received Comments 34-67865 , 34-67225 , 34-66889 , 34-66614 Federal Register version (77 FR 69910)
34-68245
Nov. 15, 2012
SR-FICC-2012-07
Notice of Filing of Proposed Rule Change Relating to Enhancements That the Mortgage-Backed Securities Division Intends To Implement to Its Services and Certain Other Clarifications and Corrections to Its Rules Comments Due: Rel. No. 34-68555 Federal Register version (77 FR 69913)
34-68241
Nov. 15, 2012
SR-CBOE-2012-107
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 69903)
34-68242
Nov. 15, 2012
SR-CBOE-2012-110
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Weekly Options Program Comments Due: Federal Register version (77 FR 69908)
34-68246
Nov. 15, 2012
SR-CBOE-2012-068
Notice of Withdrawal of a Proposed Rule Change To Amend the Customer Large Trade Discount Comments Due: Rel. No. 34-67794 , Rel. No. 34-67481 Federal Register version (77 FR 69910)
34-68228
Nov. 14, 2012
SR-NSX-2012-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 69711)
34-68226
Nov. 14, 2012
SR-NSX-2012-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 69709)
34-68225
Nov. 14, 2012
AN-OCC-2012-04
Notice To Revise the Method for Determining the Minimum Clearing Fund Size To Include Consideration of the Amount Necessary To Draw on Secured Credit Facilities Comments Due: Rel. No. 34-68445 , Rel. No. 34-68130 , 34-68438.pdf Federal Register version (77 FR 69668)
34-68231
Nov. 14, 2012
SR-NYSEMKT-2012-60
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Amex Options Fee Schedule To Introduce Fees for the Use of Ports Comments Due: Exhibit 5 Federal Register version (77 FR 69682)
34-68227
Nov. 14, 2012
SR-NYSEArca-2012-123
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Monthly Fees for the Use of Ports Comments Due: Federal Register version (77 FR 69679)
34-68230
Nov. 14, 2012
SR-NYSEArca-2012-122
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Introduce Fees for the Use of Ports Comments Due: Exhibit 5 Federal Register version (77 FR 69670)
34-68229
Nov. 14, 2012
SR-NYSE-2012-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Monthly Fees for the Use of Ports Comments Due: Exhibit 5 Federal Register version (77 FR 69688)
34-68232
Nov. 14, 2012
SR-NASDAQ-2012-127
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-Penny Pilot and Penny Pilot Options Comments Due: Exhibit 5 Federal Register version (77 FR 69685)
34-68215
Nov. 13, 2012
SR-NSX-2012-20
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee and Rebate Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 69522)
34-68219
Nov. 13, 2012
SR-CHX-2012-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Order Cancellation Fee Comments Due: Federal Register version (77 FR 69673)
34-68213
Nov. 13, 2012
SR-Phlx-2012-129
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Federal Register version (77 FR 69530)
34-68216
Nov. 13, 2012
SR-Phlx-2012-125
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to References in the Exchange's Pricing Schedule With Respect to Non-Electronic Transactions Comments Due: Exhibit 5 Federal Register version (77 FR 69527)
34-68217
Nov. 13, 2012
SR-Phlx-2012-130
Notice of Filing of Proposed Rule Change Relating to SQT and RSQT Evaluations Comments Due: Exhibit 5 , Rel. No. 34-68574 Federal Register version (77 FR 69525)
34-68220
Nov. 13, 2012
SR-NYSE-2012-66
Notice of Filing and Immediate Effectiveness of Proposed Interim Rule Change Relating to Rule 440B(b) Comments Due: Federal Register version (77 FR 69528)
34-68218
Nov. 13, 2012
SR-CBOE-2012-106
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of Changes to Market-Makers' Continuous Quoting Obligations Comments Due: Federal Register version (77 FR 69667)
34-68204
Nov. 9, 2012
SR-BATS-2012-043
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 (77 FR 68862)
34-68207
Nov. 9, 2012
SR-CME-2012-43
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Comply With CFTC Part 22 Regulations Comments Due: Federal Register version (77 FR 68869)
34-68206
Nov. 9, 2012
SR-NSX-2012-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee and Rebate Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 68873)
34-68201
Nov. 9, 2012
SR-Phlx-2012-131
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Cabinet Trading Pilot Program in Rule 1059 Comments Due: Federal Register version (77 FR 68871)
34-68202
Nov. 9, 2012
SR-Phlx-2012-54
Notice of Filing of Amendments No. 1, and Order Granting Accelerated Approval for Proposed Rule Changes as Modified by Amendments No. 1 Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols File Nos.: Comments Due: Rel. No. 34-67825 , Rel. No. 34-66884 , Rel. No. 34-66551 , Rel. No. 34-66883 Federal Register version (77 FR 68856)
34-68202
Nov. 9, 2012
SR-Phlx-2012-27
Notice of Filing of Amendments No. 1, and Order Granting Accelerated Approval for Proposed Rule Changes as Modified by Amendments No. 1 Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols File Nos.: Comments Due: Rel. No. 34-67825 , Rel. No. 34-66884 , Rel. No. 34-66551 , Rel. No. 34-66883 Federal Register version (77 FR 68856)
34-68212
Nov. 9, 2012
SR-NYSEMKT-2012-66
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, November 16, 2012 Comments Due: Federal Register version (77 FR 69536)
34-68211
Nov. 9, 2012
SR-NYSE-2012-64
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, November 16, 2012 Comments Due: Federal Register version (77 FR 69534)
34-68199
Nov. 9, 2012
SR-NASDAQ-2012-059
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change To Establish "Benchmark Orders" Under NASDAQ Rule 4751(f) Comments Due: Rel. No. 34-67655 , Rel. No. 34-67258 , Rel. No. 34-66972 Federal Register version (77 FR 68873)
34-68209
Nov. 9, 2012
SR-NASDAQ-2012-126
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Rebates for Order Execution and Its Fees for Order Entry Ports Through the Introduction of New Market Quality Incentive Programs on a Pilot Basis Comments Due: Exhibit 5 Federal Register version (77 FR 69519)
34-68189
Nov. 8, 2012
SR-EDGX-2012-33
Notice of Withdrawal of Proposed Rule Change To Amend EDGX Rule 11.5(c) To Add the Edge Market CloseSM Comments Due: Rel. No. 34-67598 Federal Register version (77 FR 68182)
34-68180
Nov. 8, 2012
SR-CHX-2012-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Its Fee Schedule To Amend Its Institutional Broker Credits Comments Due: Federal Register version (77 FR 68183)
34-68181
Nov. 8, 2012
SR-CHX-2012-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Its Fee Schedule To Increase Its DEA Fees Comments Due: Federal Register version (77 FR 68185)
34-68182
Nov. 8, 2012
SR-CHX-2012-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Single-Sided Orders Fees and Rebates Comments Due: Federal Register version (77 FR 68167)
34-68196
Nov. 8, 2012
SR-Phlx-2012-128
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Assessed Under Section VII. C. of the Pricing Schedule Comments Due: Federal Register version (77 FR 68169)
34-68183
Nov. 8, 2012
SR-NYSEMKT-2012-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Options Regulatory Fee and To Revise the Circumstances Under Which NYSE Amex Options LLC Will Collect the Options Regulatory Fee Comments Due: View Received Comments Federal Register version (77 FR 68186)
34-68186
Nov. 8, 2012
SR-NYSEMKT-2012-58
Notice of Filing of Proposed Rule Change Deleting NYSE MKT Rules 95(c) and (d)-Equities and Related Supplementary Material Comments Due: Exhibit 5 , Rel. No. 34-69983 , Rel. No. 34-69575 , Rel. No. 34-68923 , Rel. No. 34-68521 Federal Register version (77 FR 68191)
34-68193
Nov. 8, 2012
SR-NYSEMKT-2012-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary to Exchange Rule 903 Regarding Strike Price Intervals for Classes in the Short Term Option Series Program Comments Due: Federal Register version (77 FR 68177)
34-68179
Nov. 8, 2012
SR-NYSEARCA-2012-121
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Relating to Pricing Applicable to Electronic Transactions in Non-Penny Pilot Issues Comments Due: View Received Comments Exhibit 5 Federal Register version (77 FR 68163)
34-68194
Nov. 8, 2012
SR-NYSEArca-2012-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 and .07 to NYSE Arca Rule 6.4 Regarding Strike Price Intervals for Classes in the Short Term Option Series Program Comments Due: Federal Register version (77 FR 68172)
34-68185
Nov. 8, 2012
SR-NYSE-2012-57
Notice of Filing of Proposed Rule Change Deleting NYSE Rules 95(c) and (d) and Related Supplementary Material Comments Due: Exhibit 5 , Rel. No. 34-69575 , Rel. No. 34-68923 , Rel. No. 34-68522 Federal Register version (77 FR 68188)
34-68188
Nov. 8, 2012
SR-BX-2012-071
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (77 FR 68879)
34-68195
Nov. 8, 2012
SR-BX-2012-070
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Assessed Under Rule 7003(a) Comments Due: Federal Register version (77 FR 68171)
34-68187
Nov. 8, 2012
SR-NASDAQ-2012-125
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (77 FR 68877)
34-68192
Nov. 8, 2012
SR-FINRA-2012-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Repeal the Changes Described in SR-FINRA-2011-019 Comments Due: Federal Register version (77 FR 68181)
34-68175
Nov. 7, 2012
SR-NSX-2012-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee and Rebate Schedule Comments Due:
34-68174
Nov. 7, 2012
SR-NYSEArca-2012-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Options Regulatory Fee and To Revise the Circumstances Under Which NYSE Arca, Inc. Will Collect the Options Regulatory Fee Comments Due: View Received Comments Federal Register version (77 FR 67845)
34-68178
Nov. 7, 2012
SR-CBOE-2012-104
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (77 FR 67847)
34-68176
Nov. 7, 2012
SR-C2-2012-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (77 FR 67850)
34-68166
Nov. 6, 2012
SR-EDGX-2012-46
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 (77 FR 67695)
34-68168
Nov. 6, 2012
SR-EDGA-2012-46
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 (77 FR 67699)
34-68173
Nov. 6, 2012
SR-NYSEArca-2012-120
Notice of Filing of Proposed Rule Change To List and Trade Shares of the United States Asian Commodities Basket Fund Under NYSE Arca Equities Rule 8.200 Comments Due: Rel. No. 34-68547 Federal Register version (77 FR 67712)
34-68163
Nov. 6, 2012
SR-CBOE-2012-098
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 67701)
34-68169
Nov. 6, 2012
SR-CBOE-2012-105
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (77 FR 67703)
34-68151
Nov. 5, 2012
SR-OCC-2012-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Applicability of OCC's Rules Governing Delivery of Treasury Securities Underlying Treasury Futures Contracts to Futures on Treasury Securities With Maturities of Greater Than 25 Years Comments Due: Federal Register version (77 FR 67429)
34-68156
Nov. 5, 2012
SR-NYSEMKT-2012-57
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule To Remove Dividend Spreads From the List of Strategy Executions for Which Fee Caps Apply Comments Due: Exhibit 5 Federal Register version (77 FR 67419)
34-68162
Nov. 5, 2012
SR-NYSEMKT-2012-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of Those Aspects of Rules 36.20-Equities, 36.21-Equities, and 36.30-Equities That Would Not Permit Designated Market Makers and Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From November 5, 2012 Until the Earlier of When Phone Service Is Fully Restored or Friday, November 9, 2012 Comments Due: Federal Register version (77 FR 67720)
34-68157
Nov. 5, 2012
SR-NYSEARCA-2012-119
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Remove Dividend Spreads From the List of Strategy Executions for Which Fee Caps Apply Comments Due: Exhibit 5 Federal Register version (77 FR 67417)
