34-68051
Oct. 12, 2012
SR-BX-2012-067
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX's Fee Schedule Governing Order Execution and Routing Comments Due: Federal Register version (77 FR 64151)
34-68042
Oct. 12, 2012
SR-NASDAQ-2012-117
Notice of Filing of Proposed Rule Change With Respect to INAV Pegged Orders for ETFs Comments Due: View Received Comments Rel. No. 34-68672 , Rel. No. 34-68279 Federal Register version (77 FR 64167)
34-68045
Oct. 12, 2012
SR-NASDAQ-2012-115
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ's Schedule of Execution Fees for Order Routing Under Rule 7018 Comments Due: Federal Register version (77 FR 64179)
34-68039
Oct. 11, 2012
SR-NSX-2012-15
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Amending NSX Rule 15.5 To Comply With the Requirements of Exchange Act Rule 10C-1 Comments Due: Exhibit 5 , Rel. No. 34-68662 , Rel. No. 34-68312 Federal Register version (77 FR 63914)
34-68036
Oct. 11, 2012
SR-NYSEMKT-2012-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule Relating to Criteria for Rebates to Order Flow Providers Comments Due: Federal Register version (77 FR 63900)
34-68041
Oct. 11, 2012
SR-BX-2012-065
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add an Additional Execution Algorithm and Priority Overlays To Govern the Priority of Orders Comments Due: Federal Register version (77 FR 63903)
34-68035
Oct. 11, 2012
SR-ICC-2012-18
Notice of Filing 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. 34-68337 Federal Register version (77 FR 63905)
34-68037
Oct. 11, 2012
SR-FINRA-2012-045
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend NASD Rule 2711 and Incorporated NYSE Rule 472 To Conform With the Requirements of the Jumpstart Our Business Startups Act and Related Changes Comments Due: Federal Register version (77 FR 63908)
34-68026
Oct. 10, 2012
SR-BATS-2012-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Federal Register version (77 FR 63396)
34-68028
Oct. 10, 2012
SR-BATS-2012-041
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Federal Register version (77 FR 63393)
34-68027
Oct. 10, 2012
SR-BYX-2012-021
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 63395)
34-68033
Oct. 10, 2012
SR-CHX-2012-13
Notice of Filing of Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, To Establish Listing Standards for Issuers' Compensation Committees Comments Due: Exhibit 5 , Rel. No. 34-68653 , Rel. No. 34-68311 Federal Register version (77 FR 63370)
34-68025
Oct. 10, 2012
SR-OCC-2012-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the Per Contract Clearing Fee for Routing Trades Executed in Accordance With the Options Order Protection and Locked/Crossed Market Plan to $.01 Per Contract Comments Due: Federal Register version (77 FR 63398)
34-68024
Oct. 10, 2012
SR-NYSE-2012-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.03 of the New York Stock Exchange LLC Listed Company Manual To Amend Annual Fees and Certain Other Listing Fees Included Therein and To Make Technical and Conforming Changes Comments Due: Exhibit 5 Federal Register version (77 FR 63388)
34-68029
Oct. 10, 2012
SR-NASDAQ-2012-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-Penny Pilot and Penny Pilot Options Comments Due: Federal Register version (77 FR 63384)
34-68031
Oct. 10, 2012
SR-ISE-2012-84
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 63391)
34-68032
Oct. 10, 2012
SR-ISE-2012-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Route Out Fees for Priority Customers Comments Due: Federal Register version (77 FR 63390)
34-68034
Oct. 10, 2012
SR-ISE-2012-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees for Certain Complex Orders Executed on the Exchange Comments Due: Exhibit 5 Federal Register version (77 FR 63911)
34-68022
Oct. 9, 2012
SR-BATS-2012-039
Notice of Filing of Proposed Rule Change, as Modified by Amendment No.1, To Adopt Listing Standards Related to Certain Compensation Committee and Compensation Adviser Requirements Comments Due: Exhibit 5 , Rel. No. 34-68643 , Rel. No. 34-68313 Federal Register version (77 FR 62572)
34-68008
Oct. 9, 2012
SR-Phlx-2012-120
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to NOM Comments Due: Exhibit 5 Federal Register version (77 FR 63401)
34-68012
Oct. 9, 2012
SR-Phlx-2012-115
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Further That the Provisions of the Rule 800 Series Are Not Effective To Permit the Listing of Securities and Include a Reference on the Need To Comply With Rule 10C-1 Under the Securities Exchange Act of 1934 Should the Exchange List Equity Securities in the Future Comments Due: Exhibit 5 Federal Register version (77 FR 62556)
34-68004
Oct. 9, 2012
SR-NYSEMKT-2012-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Certain Proprietary Options Market Data Products Comments Due: Exhibit 5 Federal Register version (77 FR 62582)
34-68007
Oct. 9, 2012
SR-NYSEMKT-2012-48
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Sections 110, 801, 803 and 805 of the Exchange's Company Guide To Comply With the Requirements of Securities and Exchange Commission Rule 10C-1 Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-68637 , Rel. No. 34-68313 Federal Register version (77 FR 62576)
34-68005
Oct. 9, 2012
SR-NYSEARCA-2012-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fees for Certain Proprietary Options Market Data Products Comments Due: Exhibit 5 Federal Register version (77 FR 63362)
34-68006
Oct. 9, 2012
SR-NYSEArca-2012-105
Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(k)(4) To Comply With the Requirements of Securities and Exchange Commission Rule 10C-1 Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-68638 , Rel. No. 34-68313 Federal Register version (77 FR 62587)
34-68011
Oct. 9, 2012
SR-NYSE-2012-49
Notice of Filing of Proposed Rule Change, as Modified by Amendment No.1, Amending Sections 303A.00, 303A.02(a) and 303A.05 of the Exchange's Listed Company Manual To Comply With the Requirements of Securities and Exchange Commission Rule 10C-1 Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-68639 , Rel. No. 34-68313 Federal Register version (77 FR 62541)
34-68017
Oct. 9, 2012
SR-NYSE-2012-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the New York Stock Exchange Listed Company Manual Regarding Waivers for Certain Listing Fees Comments Due: Exhibit 5 Federal Register version (77 FR 63404)
34-68021
Oct. 9, 2012
SR-NYSE-2012-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to Certain Fees and Credits Within the New York Stock Exchange LLC Price List Comments Due: Exhibit 5 Federal Register version (77 FR 63406)
34-68018
Oct. 9, 2012
SR-BX-2012-063
Notice of Filing of Proposed Rule Change To Modify the Listing Rules for Compensation Committees To Comply With Rule 10C-1 under the Exchange Act and Make Other Related Changes Comments Due: Exhibit 5 , Rel. No. 34-68641 , Rel. No. 34-68313 Federal Register version (77 FR 62547)
34-68013
Oct. 9, 2012
SR-NASDAQ-2012-109
Notice of Filing of Proposed Rule Change To Modify the Listing Rules for Compensation Committees To Comply With Rule 10C-1 Under the Exchange Act and Make Other Related Changes Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-68640 , Rel. No. 34-68313 Federal Register version (77 FR 62563)
34-68015
Oct. 9, 2012
SR-NASDAQ-2012-111
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide for Automatic Cancellation of Midpoint Peg Post-Only Orders at Market Close Comments Due: Federal Register version (77 FR 63368)
34-68016
Oct. 9, 2012
SR-ICC-2012-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Schedule 502 of the ICC Rules Comments Due: Federal Register version (77 FR 62562)
34-68010
Oct. 9, 2012
SR-CBOE-2012-096
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Order Routing Rules Comments Due: Federal Register version (77 FR 63399)
34-68020
Oct. 9, 2012
SR-CBOE-2012-094
Notice of Filing of a Proposed Rule Change To Update Its Rule 31.10-Corporate Governance-in Order To Comply With New Rule 10C-1 Under the Securities Exchange Act of 1934 Comments Due: Rel. No. 34-68642 , Rel. No. 34-68313 Federal Register version (77 FR 62558)
34-68009
Oct. 9, 2012
SR-C2-2012-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Order Routing Rules Comments Due: Federal Register version (77 FR 63367)
34-67982
Oct. 5, 2012
SR-CME-2012-30
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 62273)
34-67991
Oct. 5, 2012
SR-Phlx-2012-116
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 3315(a)(1)(A) To Reflect a Change in Its Routing Functionality To Allow Routable Orders to Simultaneously Execute Against Exchange Available Shares and Route to Other Markets for Execution of the Remainder of the Order Comments Due: Federal Register version (77 FR 62287)
34-67996
Oct. 5, 2012
SR-Phlx-2012-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing From an Affiliated Exchange Comments Due: Federal Register version (77 FR 62282)
34-67999
Oct. 5, 2012
SR-Phlx-2012-122
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Position Limits for SPY Options on a Pilot Basis Comments Due: Exhibit 5 Federal Register version (77 FR 62295)
34-68001
Oct. 5, 2012
SR-NYSEArca-2012-112
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to NYSE Arca Rule 6.8 Adopting a Pilot Program Eliminating Position Limits for Options on the SPDR S&P 500 Exchange-Traded Fund,1 Comments Due: Exhibit 5 Federal Register version (77 FR 62303)
34-67990
Oct. 5, 2012
SR-BX-2012-064
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 4758(a)(1)(A) To Reflect a Change in Its Routing Functionality To Allow Routable Orders To Simultaneously Execute Against Exchange Available Shares and Route to Other Markets for Execution of the Remainder of the Order Comments Due: Federal Register version (77 FR 62285)
34-67995
Oct. 5, 2012
SR-BX-2012-066
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing From an Affiliated Exchange Comments Due: Federal Register version (77 FR 62292)
34-67994
Oct. 5, 2012
SR-NASDAQ-2012-107
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Assessed Under Rule 7003(a) Comments Due: Exhibit 5 Federal Register version (77 FR 62290)
34-67997
Oct. 5, 2012
SR-NASDAQ-2012-112
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing From an Affiliated Exchange Comments Due: Federal Register version (77 FR 62293)
34-67993
Oct. 5, 2012
SR-ISE-2012-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for Singly Listed Options Comments Due: Exhibit 5 Federal Register version (77 FR 62280)
34-68000
Oct. 5, 2012
SR-ISE-2012-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Pilot Program To Eliminate Position and Exercise Limits in SPY Options Comments Due: Federal Register version (77 FR 62300)
34-67998
Oct. 5, 2012
SR-ICEEU-2012-07
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise CDS Procedures Related to Clearing Certainty Requirements Comments Due: Federal Register version (77 FR 62289)
34-67983
Oct. 5, 2012
SR-ICC-2012-17
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Rules Related To Legal Segregation With Operational Commingling Comments Due: Federal Register version (77 FR 62275)
34-67992
Oct. 5, 2012
SR-CBOE-2012-095
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Closing Rotation Procedures for S&P 500 Index Options Comments Due: Federal Register version (77 FR 62277)
34-68002
Oct. 5, 2012
AN-OCC-2012-03
Notice of Filing of Advance Notice and Notice of No Objection to Replace The Options Clearing Corporation's Credit Facility Comments Due:
34-67981
Oct. 4, 2012
SR-EDGX-2012-45
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 61797)
34-67980
Oct. 4, 2012
SR-EDGA-2012-45
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 61800)
34-67986
Oct. 4, 2012
SR-NYSEArca-2012-104
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: Exhibit 5 Federal Register version (77 FR 61803)
34-67987
Oct. 4, 2012
SR-NYSEARCA-2012-110
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Amend the Fees Charged for Routing Orders to the New York Stock Exchange LLC Comments Due: Exhibit 5 Federal Register version (77 FR 61795)
34-67977
Oct. 4, 2012
SR-NASDAQ-2012-110
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer the ACT Reject Scan and Assess a Related Fee Comments Due: Federal Register version (77 FR 62283)
34-67979
Oct. 4, 2012
SR-NASDAQ-2012-108
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Fee Pilot Program for NASDAQ Last Sale Comments Due: Federal Register version (77 FR 61810)
34-67984
Oct. 4, 2012
SR-BOX-2012-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on BOX Comments Due: Exhibit 5 Federal Register version (77 FR 61808)
34-67973
Oct. 3, 2012
SR-ISE-2012-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Non-Substantive Clarifications to the Exchange's Schedule of Fees Comments Due: Exhibit 5 Federal Register version (77 FR 61645)
34-67971
Oct. 3, 2012
SR-FINRA-2012-044
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Security Futures Comments Due: Federal Register version (77 FR 61647)
34-67959
Oct. 2, 2012
SR-EDGX-2012-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to EDGX Rule 11.5 To Add a New Order Type Comments Due: Exhibit 5 Federal Register version (77 FR 61449)
34-67960
Oct. 2, 2012
SR-EDGA-2012-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to EDGA Rule 11.5 To Add a New Order Type Comments Due: Exhibit 5 Federal Register version (77 FR 61463)
34-67966
Oct. 2, 2012
SR-Phlx-2012-117
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Members and Member Organizations the Ability To Pay a Regulatory Fine Pursuant to an Installment Plan Comments Due: Federal Register version (77 FR 61460)
34-67962
Oct. 2, 2012
SR-NYSEArca-2012-37
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Proposing a Pilot Program To Create a Lead Market Maker Issuer Incentive Program for Issuers of Certain Exchange-Traded Products Listed on NYSE Arca, Inc. File Nos.: Comments Due: View Received Comments Rel. No. 34-68616 , Rel. No. 34-67411 , Rel. No. 34-67222 , Rel. No. 34-66966 Federal Register version (77 FR 61462)
34-67965
Oct. 2, 2012
SR-NYSEArca-2012-28
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change 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. 34-68440 , Rel. No. 34-67470 , Rel. No. 34-67075 , Rel. No. 34-66816 Federal Register version (77 FR 61457)
34-67967
Oct. 2, 2012
SR-BX-2012-062
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Members the Ability To Pay a Regulatory Fine Pursuant to an Installment Plan Comments Due: Federal Register version (77 FR 61458)
34-67961
Oct. 2, 2012
SR-NASDAQ-2012-043
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Establish the Market Quality Program Comments Due: View Received Comments Rel. No. 34-68378 , Rel. No. 34-67411 , Rel. No. 34-67022 , Rel. No. 34-66765 Federal Register version (77 FR 61452)
34-67964
Oct. 2, 2012
SR-ICC-2012-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules for the September 20, 2012 and September 27, 2012 Scheduled Index Series Listings Comments Due: Federal Register version (77 FR 61461)
34-67953
Oct. 1, 2012
SR-CME-2012-38
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Comply With Revisions to CFTC Regulations Governing Derivatives Clearing Organizations Comments Due: Federal Register version (77 FR 61044)
34-67951
Oct. 1, 2012
SR-Phlx-2012-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer the QView Service Comments Due: Exhibit 5 Federal Register version (77 FR 61039)
34-67952
Oct. 1, 2012
SR-BX-2012-061
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer the QView Service Comments Due: Federal Register version (77 FR 61041)
34-67955
Oct. 1, 2012
SR-ISE-2012-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Reduced Fees for Historical ISE Open/Close Trade Profile Intraday Market Data Offering Comments Due: Federal Register version (77 FR 61037)
34-67956
Oct. 1, 2012
SR-ISE-2012-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees File Nos.: Comments Due: Rel. No. 34-69498 Federal Register version (78 FR 36810)
34-67957
Oct. 1, 2012
SR-ISE-2012-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 711 To Provide for the Nullification of Trades by Mutual Agreement of the Parties Thereto Comments Due: Federal Register version (77 FR 61035)
34-67954
Oct. 1, 2012
SR-ICC-2012-16
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Rules Related to Clearing Certainty Requirements Comments Due: Federal Register version (77 FR 61042)
34-67948
Sept. 28, 2012
SR-ISE-2012-58
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1 To List and Trade Option Contracts Overlying 10 Shares of Certain Securities File Nos.: Comments Due: View Received Comments Rel. No. 34-67631 , Rel. No. 34-67284 , Rel. No. 34-67632 , Rel. No. 34-67283 Federal Register version (77 FR 60735)
34-67948
Sept. 28, 2012
SR-NYSEArca-2012-64
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1 To List and Trade Option Contracts Overlying 10 Shares of Certain Securities File Nos.: Comments Due: View Received Comments Rel. No. 34-67631 , Rel. No. 34-67284 , Rel. No. 34-67632 , Rel. No. 34-67283 Federal Register version (77 FR 60735)
34-67946
Sept. 28, 2012
SR-CBOE-2012-080
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 60738)
34-67942
Sept. 27, 2012
SR-EDGX-2012-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment to Rule 2.11 Comments Due: Exhibit 5 Federal Register version (77 FR 60502)
34-67941
Sept. 27, 2012
SR-EDGA-2012-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment to Rule 2.11 Comments Due: Exhibit 5 Federal Register version (77 FR 60500)
34-67937
Sept. 27, 2012
SR-CBOE-2012-091
Notice of Filing and Immediate Effectiveness of a Proposed Rule To Eliminate Position and Exercise Limits for Physically-Settled SPY Options on a Pilot Basis Comments Due: Federal Register version (77 FR 60489)
34-67938
Sept. 27, 2012
SR-CBOE-2012-093
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to AIM, SAM, FLEX AIM, FLEX SAM and FLEX Electronic RFQs Comments Due: Federal Register version (77 FR 60496)
34-67939
Sept. 27, 2012
SR-C2-2012-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the P.M.-Settled S&P 500 Index Option Product Pilot Program Comments Due: Federal Register version (77 FR 60504)
34-67936
Sept. 27, 2012
SR-BOX-2012-013
Notice of Filing of Proposed Rule Change To Eliminate Position Limits for Options on the SPDR S&P 500 Exchange-Traded Fund,1 Comments Due: Exhibit 5 Federal Register version (77 FR 60491)
34-67928
Sept. 26, 2012
SR-CBOE-2012-090
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Codification of a Fee Schedule for the Sale by Market Data Express, LLC, an Affiliate of CBOE, of a Data Product That Includes Option Valuations Comments Due: Federal Register version (77 FR 60161)
34-67929
Sept. 26, 2012
SR-C2-2012-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to AIM and SAM Comments Due: Federal Register version (77 FR 60163)
34-67922
Sept. 25, 2012
SR-CME-2012-37
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Allow FCM Clearing Member CEOs and CFOs To Designate Authorized Representatives To Approve Certain Disbursements of Customer Funds Comments Due: Federal Register version (77 FR 60000)
34-67923
Sept. 25, 2012
SR-NYSEARCA-2012-103
Notice of Filing of Proposed Rule Change Amending NYSE Arca Rules 3.2 and 3.3 and NYSE Arca Equities, Inc. ("NYSE Arca Equities") Rules 3.2 and 3.3 to Expand the Eligibility Requirements for Service on Boards of Directors and Committees Comments Due: Exhibit 5 , Rel. No. 34-68233 Federal Register version (77 FR 59995)
34-67921
Sept. 25, 2012
SR-OCC-2012-17
Advance Notice Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis Comments Due: Rel. No. 34-68148 , 34-68147.pdf , Rel. No. 34-67896
34-67916
Sept. 24, 2012
SR-CME-2012-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Additional Series of Credit Default Index Swaps Available for Clearing Comments Due: Federal Register version (77 FR 59688)
34-67917
Sept. 24, 2012
SR-OCC-2012-16
Notice of Filing of Proposed Rule Change To Accommodate Recently Proposed Equity Options That Have a Unit of Trading of 10 Shares Comments Due: Rel. No. 34-68104 , Rel. No. 34-68104 Federal Register version (77 FR 59687)
34-67910
Sept. 21, 2012
SR-EDGX-2012-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 13.9 Comments Due: Exhibit 5 Federal Register version (77 FR 59429)
34-67905
Sept. 21, 2012
SR-BATS-2012-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Federal Register version (77 FR 59425)
34-67909
Sept. 21, 2012
SR-EDGA-2012-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 13.9 Comments Due: Exhibit 5 Federal Register version (77 FR 59441)
34-67907
Sept. 21, 2012
SR-NYSEMKT-2012-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 1203(a) and 1205(b) of the NYSE MKT Company Guide ("Company Guide") To Increase the Fees Applicable to Issuers Requesting Review of a Determination To Limit or Prohibit the Continued Listing of Their Securities on the Exchange Comments Due: Exhibit 5 Federal Register version (77 FR 59442)
34-67904
Sept. 21, 2012
SR-NASDAQ-2012-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Members the Ability To Pay a Regulatory Fine Pursuant to an Installment Plan Comments Due: Federal Register version (77 FR 59439)
34-67903
Sept. 21, 2012
SR-CBOE-2012-082
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Small Order Preference Priority Overlay Comments Due: Federal Register version (77 FR 59444)
34-67906
Sept. 21, 2012
SR-OCC-2012-14
Notice of Filing of Advance Notice Relating to the Clearance and Settlement of Over-the-Counter Options Comments Due: Rel. No. 34-68434 , Rel. No. 34-68112 , 34-68111.pdf , Rel. No. 34-67835
34-67896
Sept. 20, 2012
SR-OCC-2012-17
Notice of Filing of Proposed Rule Change Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis Comments Due: Rel. No. 34-68148 , Rel. No. 34-68148 Federal Register version (77 FR 59231)
34-67895
Sept. 20, 2012
SR-NYSEMKT-2012-47
Notice of Filing of Proposed Rule Change To Amend the NYSE Amex Options LLC Members Agreement To Empower the Volume Dispute Committee To Establish Principles for Determining Whether the Exchange Has Experienced a Bona Fide Systems Problem and To Adjust Certain Volume Measurements Accordingly Comments Due: Exhibit 5 Federal Register version (77 FR 59234)
34-67897
Sept. 20, 2012
SR-NYSEMKT-2012-42
Notice of Filing of Proposed Rule Change and Amendment No. 1, Amending Rule 903(h) and Related Commentary .10 To Expand the Number of Expirations Available Under the Short Term Option Series Program ("STOS Program"), To Allow for the Exchange To Delist Any Series in the STOS That Do Not Have Open Interest and To Expand the Number of Series in STOS Under Limited Circumstances Comments Due: Exhibit 5 , Rel. No. 34-68191 Federal Register version (77 FR 59236)
