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)
34-67898
Sept. 20, 2012
SR-NYSEARCA-2012-95
Notice of Filing of Proposed Rule Change and Amendment No. 1 Amending Commentary .07 to NYSE Arca Options Rule 6.4 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. 34-68190 Federal Register version (77 FR 59233)
34-67893
Sept. 20, 2012
SR-CBOE-2012-089
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (77 FR 59226)
34-67885
Sept. 18, 2012
SR-CME-2012-35
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Acceptance of Additional Interest Rate Swaps for Clearing Comments Due: Federal Register version (77 FR 58899)
34-67881
Sept. 18, 2012
SR-NYSEArca-2012-101
Notice of Filing of Proposed Rule Change To List and Trade Shares of the PowerShares S&P 500 Downside Hedged Portfolio Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-68158 Federal Register version (77 FR 58889)
34-67882
Sept. 18, 2012
SR-NYSEArca-2012-102
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Twelve Funds of the Direxion Shares ETF Trust II Under NYSE Arca Equities Rule 8.200 Comments Due: Rel. No. 34-68165 Federal Register version (77 FR 58881)
34-67880
Sept. 18, 2012
SR-FINRA-2012-043
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete FINRA Rule 7064A (Late Fees) Comments Due: Federal Register version (77 FR 58880)
34-67879
Sept. 18, 2012
SR-CBOE-2012-087
Notice of Filing of a Proposed Rule Change To Amend Rules Regarding Requests for Data Related to Exchange Reviews Comments Due: Rel. No. 34-68171 Federal Register version (77 FR 66890)
34-67870
Sept. 17, 2012
SR-BOX-2012-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Strike Price Intervals in the Short Term Options Program Comments Due: Exhibit 5 Federal Register version (77 FR 58600)
34-67871
Sept. 17, 2012
SR-BOX-2012-003
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend the Price Improvement Period Comments Due: View Received Comments Rel. No. 34-67592 , Rel. No. 34-68177 Federal Register version (77 FR 58604)
34-67867
Sept. 14, 2012
SR-NASD-2005-100
Notice of Withdrawal of Proposed Rule Change and Amendments Nos. 1, 2, 3 and 4 Thereto, To Require Members To Provide Customers in TRACE-Eligible Debt Securities With Additional, Transaction-Specific Disclosures and To Notify Customers of the Availability of a Disclosure Document Comments Due: View Received Comments Rel. No. 34-56661 Federal Register version (77 FR 58437)
34-67866
Sept. 14, 2012
SR-Phlx-2012-113
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Electronic Firm Fee Discount Comments Due: Exhibit 5 Federal Register version (77 FR 58435)
34-67862
Sept. 14, 2012
SR-NYSEMKT-2012-41
Notice of Filing of Proposed Rule Change Amending Commentary .04 to NYSE Amex Options Rule 903 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration Comments Due: Rel. No. 34-68460 , Rel. No. 34-68135 Federal Register version (77 FR 58429)
34-67863
Sept. 14, 2012
SR-NYSEARCA-2012-94
Notice of Filing of Proposed Rule Change Proposes [sic] To Amend Commentary .06 to NYSE Arca Options Rule 6.4 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration. Comments Due: Rel. No. 34-68461 , Rel. No. 34-68136 Federal Register version (77 FR 58433)
34-67859
Sept. 14, 2012
SR-ISE-2012-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees Regarding Complex Order Rebates Comments Due: Exhibit 5 Federal Register version (77 FR 58424)
34-67865
Sept. 14, 2012
SR-ISE-2012-22
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change, as Modified by Amendment No. 1, To Add an Index Option Product for Trading on the Exchange Comments Due: View Received Comments 34-68247 , 34-67225 , 34-66889 , 34-66614 Federal Register version (77 FR 58432)
34-67861
Sept. 14, 2012
SR-CBOE-2012-088
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 58431)
34-67854
Sept. 13, 2012
SR-BATS-2012-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Applicable to the Exchange's Competitive Liquidity Provider Program. Comments Due: Exhibit 5 Federal Register version (77 FR 58198)
34-67855
Sept. 13, 2012
SR-BATS-2012-037
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 58195)
34-67853
Sept. 13, 2012
SR-BYX-2012-020
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 58196)
34-67851
Sept. 13, 2012
SR-OCC-2012-15
Notice of Filing of Proposed Rule Change Relating to Financial Reporting by Canadian Clearing Members Comments Due: Rel. No. 34-68113 , Rel. No. 34-68113 Federal Register version (77 FR 58194)
34-67850
Sept. 13, 2012
SR-NSCC-2012-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Which: (i) Eliminates the Practice of Netting of Creations and Redemptions of Index Receipts Prior to Their Entering NSCC's Accounting Operation, and (ii) Effects Certain Other Technical Changes Comments Due: Federal Register version (77 FR 58201)
34-67849
Sept. 13, 2012
SR-NASDAQ-2012-103
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Investor Support Program Under Rule 7014 and To Amend NASDAQ's Schedule of Execution Fees and Rebates Under Rule 7018 Comments Due: Exhibit 5 Federal Register version (77 FR 58190)
34-67852
Sept. 13, 2012
SR-NASDAQ-2012-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete NASDAQ Rule 7032 Comments Due: Federal Register version (77 FR 58199)
34-67848
Sept. 13, 2012
SR-C2-2012-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Rule Regarding Mandatory Trading Permit Holder Education and Corresponding Set of Fines Comments Due: Federal Register version (77 FR 58188)
34-67840
Sept. 12, 2012
SR-EDGX-2012-41
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 57633)
34-67839
Sept. 12, 2012
SR-EDGA-2012-41
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 57631)
34-67838
Sept. 12, 2012
SR-NYSEMKT-2012-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 993NY by Adding a New Paragraph (c) That Addresses the Authority of the Exchange or Archipelago Securities LLC ("Arca Securities") To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account for Arca Securities Comments Due: Exhibit 5 Federal Register version (77 FR 57621)
34-67836
Sept. 12, 2012
SR-NYSEArca-2012-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Options Rule 6.96 by Adding a New Paragraph (c) That Addresses the Authority of the Exchange or Archipelago Securities LLC ("Arca Securities") To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account for Arca Securities Comments Due: Exhibit 5 Federal Register version (77 FR 57611)
34-67841
Sept. 12, 2012
SR-NYSEArca-2012-99
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(d) To Provide That an Inside Limit Order Designated as a Primary Until 9:45 Order or a Primary After 3:55 Order Will Follow the Order Processing of an Inside Limit Order Only When the Order Is On the NYSE Arca Book Comments Due: Exhibit 5 Federal Register version (77 FR 57635)
34-67846
Sept. 12, 2012
SR-NYSE-2012-44
Notice of Filing of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual, Which Describes Certain Complimentary Products and Services that are Offered to Certain Issuers Comments Due: Exhibit 5 , Rel. No. 34-68143 Federal Register version (77 FR 57625)
34-67847
Sept. 12, 2012
SR-NYSE-2012-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.02 and 902.03 of the Listed Company Manual of the New York Stock Exchange LLC Comments Due: View Received Comments Exhibit 5 Federal Register version (77 FR 57627)
34-67837
Sept. 12, 2012
SR-NASDAQ-2012-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing of Options on Facebook, Inc., Google, Inc. and Groupon, Inc. Comments Due: Exhibit 5 Federal Register version (77 FR 57614)
34-67842
Sept. 12, 2012
SR-NASDAQ-2012-090
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rule 4626-Limitation of Liability Comments Due: View Received Comments Rel. No. 34-68115 , Rel. No. 34-67507 Federal Register version (77 FR 57171)
34-67843
Sept. 12, 2012
SR-NASDAQ-2012-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate To Add Liquidity and Non-Customer Fees for Removing Liquidity in Penny Pilot Options Comments Due: Exhibit 5 Federal Register version (77 FR 57618)
34-67892
Sept. 12, 2012
SR-CBOE-2012-071
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Increase the Maximum Term for LEAPS to Fifteen Years Comments Due: View Received Comments Rel. No. 34-68164 , Rel. No. 34-67600 Federal Register version (77 FR 59029)
34-67825
Sept. 11, 2012
SR-Phlx-2012-27
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols Comments Due: Rel. No. 34-68202 , Rel. No. 34-66884 , Rel. No. 34-66551 , Rel. No. 34-66883 Federal Register version (77 FR 57168)
34-67825
Sept. 11, 2012
SR-Phlx-2012-54
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols Comments Due: Rel. No. 34-68202 , Rel. No. 34-66884 , Rel. No. 34-66551 , Rel. No. 34-66883 Federal Register version (77 FR 57168)
34-67830
Sept. 11, 2012
SR-Phlx-2012-112
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols Comments Due: Exhibit 5 Federal Register version (77 FR 57169)
34-67831
Sept. 11, 2012
SR-Phlx-2012-111
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 57175)
34-67826
Sept. 11, 2012
SR-OCC-2012-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Administrative Oversight in SR-OCC-2012-10 Comments Due: Federal Register version (77 FR 57168)
34-67827
Sept. 11, 2012
SR-CBOE-2012-085
Notice of Filing of a Proposed Rule Change Relating to Complex Order Auctions Comments Due: Rel. No. 34-68095 Federal Register version (77 FR 57171)
34-67828
Sept. 11, 2012
SR-C2-2012-030
Notice of Filing of a Proposed Rule Change Relating to Complex Order Auctions Comments Due: Rel. No. 34-68096 Federal Register version (77 FR 57173)
34-67832
Sept. 11, 2012
SR-C2-2012-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Amendments to the Rules Comments Due: Federal Register version (77 FR 57177)
34-67818
Sept. 10, 2012
SR-EDGX-2012-39
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 56890)
34-67820
Sept. 10, 2012
SR-EDGX-2012-40
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 56907)
34-67817
Sept. 10, 2012
SR-EDGA-2012-39
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 56896)
34-67819
Sept. 10, 2012
SR-EDGA-2012-40
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 56900)
34-67816
Sept. 10, 2012
SR-NSX-2012-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Purpose of, and Statutory Basis for, the September 4, 2012 Changes to the NSX Fee and Rebate Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 56886)
34-67814
Sept. 10, 2012
SR-NYSE-2012-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List To Make Changes to Certain Transaction Fees To Eliminate the Step-Up Rate for Non-Floor Broker Transactions Comments Due: Exhibit 5 Federal Register version (77 FR 56895)
34-67815
Sept. 10, 2012
SR-NYSE-2012-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Non-Operable Text Within Its Price List Applicable to Supplemental Liquidity Providers ("SLPs") Comments Due: Exhibit 5 Federal Register version (77 FR 56902)
34-67822
Sept. 10, 2012
SR-BX-2012-060
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees Comments Due: Exhibit 5 Federal Register version (77 FR 56883)
34-67813
Sept. 10, 2012
SR-CBOE-2012-083
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Availability of a Data Product That Includes Option Valuations Through Market Data Express, LLC, an Affiliate of CBOE Comments Due: Federal Register version (77 FR 56903)
34-67797
Sept. 7, 2012
SR-NYSEArca-2012-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain NYSE Arca Equities Rules To Replace References to "NYSE Amex" With "NYSE MKT" Reflecting the Recent Name Change of NYSE Amex LLC to NYSE MKT LLC Comments Due: Federal Register version (77 FR 57166)
34-67799
Sept. 7, 2012
SR-NYSEArca-2012-86
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain NYSE Arca Rules To Replace References to "NYSE Amex" With "NYSE MKT" Reflecting the Recent Name Change of NYSE Amex LLC to NYSE MKT LLC Comments Due: Federal Register version (77 FR 56692)
34-67806
Sept. 7, 2012
SR-NYSEArca-2012-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Eliminate the Tape A Step Up Tier, Modify the Remaining Tape Step Up Tiers and Introduce an Alternative Method of Qualifying for Tier 1 Comments Due: Exhibit 5 Federal Register version (77 FR 56683)
34-67800
Sept. 7, 2012
SR-NYSE-2012-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain NYSE Rules To Replace References to "NYSE Amex" With "NYSE MKT" Reflecting the Recent Name Change of NYSE Amex LLC to NYSE MKT LLC Comments Due: Exhibit 5 Federal Register version (77 FR 56693)
34-67798
Sept. 7, 2012
SR-FINRA-2012-042
Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions Comments Due: Exhibit 5 , Rel. No. 34-68084 Federal Register version (77 FR 56686)
34-67803
Sept. 7, 2012
SR-FINRA-2012-041
Notice of Filing of Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority To Direct the Appearance of Associated Person Witnesses and the Production of Documents Without Subpoenas Comments Due: View Received Comments Rel. No. 34-68404 Federal Register version (77 FR 56694)
34-67791
Sept. 6, 2012
SR-OPRA-2012-05
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Section 3.1 of the OPRA Plan Comments Due: Federal Register version (77 FR 56243)
34-67792
Sept. 6, 2012
SR-MSRB-2012-07
Notice of Filing of Proposed Amendments to the Real-Time Transaction Reporting System Information System and Subscription Service Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-68081 Federal Register version (77 FR 56244)
34-67790
Sept. 6, 2012
SR-CBOE-2012-066
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Increase Position and Exercise Limits for EEM Options Comments Due: Rel. No. 34-68086 , Rel. No. 34-67478 Federal Register version (77 FR 56243)
34-67780
Sept. 5, 2012
SR-Phlx-2012-106
Notice of Withdrawal of Proposed Rule Change To Modify Exchange Rule 3307 To Institute a Five Millisecond Delay in the Execution Time of Marketable Orders on NASDAQ OMX PSX Comments Due: Rel. No. 34-67680 Federal Register version (77 FR 55885)
34-67784
Sept. 5, 2012
SR-FINRA-2012-040
Notice of Filing of Proposed Rule Change To Amend the By-Laws of FINRA Dispute Resolution, Inc. To Clarify That Services Provided by Mediators Should Not Cause Them To Be Classified as Industry Members Under the By-Laws Comments Due: View Received Comments Rel. No. 34-68142 Federal Register version (77 FR 55885)
34-67776
Sept. 4, 2012
SR-Phlx-2012-110
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Elimination of a Reversal and Conversion Fee Cap Comments Due: Exhibit 5 Federal Register version (77 FR 55513)
34-67777
Sept. 4, 2012
SR-CBOE-2012-084
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Transaction Fees for CBOE Range Options on the S&P 500 Index Comments Due: Exhibit 5 Federal Register version (77 FR 55515)
34-67766
Aug. 31, 2012
SR-EDGX-2012-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Edge Routed Liquidity Report Comments Due: View Received Comments Exhibit 5 Federal Register version (77 FR 55251)
34-67765
Aug. 31, 2012
SR-EDGA-2012-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Edge Routed Liquidity Report Comments Due: Exhibit 5 Federal Register version (77 FR 55248)
34-67764
Aug. 31, 2012
SR-NYSEMKT-2012-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Change the Number of Amex Trading Permits Required by NYSE Amex Market Makers Based on the Number of Options in Their Appointment Comments Due: Federal Register version (77 FR 55254)
34-67772
Aug. 31, 2012
SR-C2-2012-024
Notice of Filing of a Proposed Rule Change to Adopt a Designated Primary Market-Maker Program Comments Due: Exhibit 5 , Rel. No. 34-68070 Federal Register version (77 FR 55257)
34-67759
Aug. 30, 2012
SR-NYSE-2012-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107B To Change the Existing Supplemental Liquidity Provider Monthly Volume Requirement in All Assigned SLP Securities and Amend the Exchange's Price List To Specify the Applicable Percentage of NYSE CADV for the Monthly Volume Requirement Comments Due: Federal Register version (77 FR 54939)
34-67750
Aug. 29, 2012
SR-NASDAQ-2012-098
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Global Corporate Bond Fund of the WisdomTree Trust Comments Due: Rel. No. 34-68073 Federal Register version (77 FR 54640)
34-67751
Aug. 29, 2012
SR-FINRA-2012-024
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to FINRA Rule 4210 (Margin Requirements) Comments Due: Rel. No. 34-67088 Federal Register version (77 FR 54636)
34-67741
Aug. 28, 2012
SR-EDGX-2012-36
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 53950)
34-67743
Aug. 28, 2012
SR-CME-2012-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Applicable to its OTC Interest Rate Swap Clearing Offering Comments Due: Federal Register version (77 FR 53948)
34-67742
Aug. 28, 2012
SR-EDGA-2012-37
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 53951)
34-67740
Aug. 28, 2012
SR-NYSEMKT-2012-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rules 103B(IX)-Equities and 504-Equities To Provide That a Designated Market Maker Unit May Trade at the Same Panel Securities Traded on the Exchange and/or Securities Listed on the New York Stock Exchange LLC Comments Due: Exhibit 5 Federal Register version (77 FR 53952)
34-67737
Aug. 28, 2012
SR-NYSEArca-2012-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Arca Equities Rule 4.3(c) and Adopting New Rules 2262 and 2269 To Harmonize With the Rules of New York Stock Exchange LLC, NYSE MKT LLC, and Financial Industry Regulatory Authority, Inc. Comments Due: Exhibit 5 Federal Register version (77 FR 53955)
34-67738
Aug. 28, 2012
SR-NASDAQ-2012-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Direct Registration Requirements under Rule 5210(c) Comments Due: Federal Register version (77 FR 53957)
34-67734
Aug. 27, 2012
SR-BYX-2012-019
Notice of Filing of Proposed Rule Change To Adopt a Retail Price Improvement Program Comments Due: View Received Comments Federal Register version (77 FR 53242)
34-67732
Aug. 27, 2012
SR-NYSEArca-2012-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the First Trust CBOE S&P 500 VIX Tail Hedge Fund (Formerly, the First Trust CBOE VIX Tail Hedge Index Fund) Comments Due: Federal Register version (77 FR 53239)
34-67728
Aug. 24, 2012
SR-NYSEArca-2012-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 6.47, "Crossing" Orders-OX Comments Due: Exhibit 5 Federal Register version (77 FR 52774)
34-67729
Aug. 24, 2012
SR-NYSEArca-2012-92
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of iShares 2018 S&P AMT-Free Municipal Series and iShares 2019 S&P AMT-Free Municipal Series Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 Comments Due: Rel. No. 34-67985 Federal Register version (77 FR 52776)
34-67719
Aug. 23, 2012
SR-NYSEMKT-2012-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Offer Certain Proprietary Options Data Products Comments Due: Federal Register version (77 FR 56685)
34-67720
Aug. 23, 2012
SR-NYSEArca-2012-89
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Offer Certain Proprietary Options Data Products Comments Due: Federal Register version (77 FR 56685)
34-67721
Aug. 23, 2012
SR-NASDAQ-2012-097
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership in The NASDAQ Stock Market LLC Comments Due: Exhibit 5 Federal Register version (77 FR 52373)
34-67722
Aug. 23, 2012
SR-NASDAQ-2012-095
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Market Maker Pre-Opening Obligations on NOM Comments Due: Exhibit 5 Federal Register version (77 FR 52375)
34-67723
Aug. 23, 2012
SR-C2-2012-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (77 FR 52377)
34-67713
Aug. 22, 2012
SR-NYSEMKT-2012-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 928NY To Expand the Existing Market Maker Risk Limitation Mechanism Making It Available for Orders From Market Makers as Well as Non-Market Maker ATP Holders, and To Provide for Two Additional Risk Limitation Mechanisms Comments Due: Federal Register version (77 FR 52090)
34-67714
Aug. 22, 2012
SR-NYSEArca-2012-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.40 To Expand the Existing Market Maker Risk Limitation Mechanism Making It Available for Orders From Market Makers as Well as Non-Market Maker OTP Firms and OTP Holders, and To Provide for Two Additional Risk Limitation Mechanisms Comments Due: Federal Register version (77 FR 52098)
34-67715
Aug. 22, 2012
SR-NYSEArca-2012-88
Notice of Filing of Proposed Rule Change To List and Trade Shares of the RiverFront Strategic Income Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-68030 Federal Register version (77 FR 52083)
34-67705
Aug. 22, 2012
SR-DTC-2012-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Existing Procedures as They Relate to Processing Mandatory Corporate Actions Comments Due: Federal Register version (77 FR 52080)
34-67707
Aug. 22, 2012
SR-DTC-2012-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Updates to Its Custody Service Comments Due: Federal Register version (77 FR 52082)
