34-67090
May 31, 2012
SR-EDGA-2011-31
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65426 , Rel. No. 34-65427 , Rel. No. 34-65428 , Rel. No. 34-65429 , Rel. No. 34-65430 , Rel. No. 34-65431 , Rel. No. 34-65432 , Rel. No. 34-65434 , Rel. No. 34-65435 , Rel. No. 34-65436 , Rel. No. 34-65437 , Rel. No. 34-65438 , Rel. No. 34-65439 , Rel. No. 34-65440 Federal Register version (77 FR 33531)
34-67090
May 31, 2012
SR-NYSEAmex-2011-73
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65426 , Rel. No. 34-65427 , Rel. No. 34-65428 , Rel. No. 34-65429 , Rel. No. 34-65430 , Rel. No. 34-65431 , Rel. No. 34-65432 , Rel. No. 34-65434 , Rel. No. 34-65435 , Rel. No. 34-65436 , Rel. No. 34-65437 , Rel. No. 34-65438 , Rel. No. 34-65439 , Rel. No. 34-65440 Federal Register version (77 FR 33531)
34-67090
May 31, 2012
SR-Phlx-2011-129
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65426 , Rel. No. 34-65427 , Rel. No. 34-65428 , Rel. No. 34-65429 , Rel. No. 34-65430 , Rel. No. 34-65431 , Rel. No. 34-65432 , Rel. No. 34-65434 , Rel. No. 34-65435 , Rel. No. 34-65436 , Rel. No. 34-65437 , Rel. No. 34-65438 , Rel. No. 34-65439 , Rel. No. 34-65440 Federal Register version (77 FR 33531)
34-67090
May 31, 2012
SR-NYSE-2011-48
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65426 , Rel. No. 34-65427 , Rel. No. 34-65428 , Rel. No. 34-65429 , Rel. No. 34-65430 , Rel. No. 34-65431 , Rel. No. 34-65432 , Rel. No. 34-65434 , Rel. No. 34-65435 , Rel. No. 34-65436 , Rel. No. 34-65437 , Rel. No. 34-65438 , Rel. No. 34-65439 , Rel. No. 34-65440 Federal Register version (77 FR 33531)
34-67090
May 31, 2012
SR-NASDAQ-2011-131
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65426 , Rel. No. 34-65427 , Rel. No. 34-65428 , Rel. No. 34-65429 , Rel. No. 34-65430 , Rel. No. 34-65431 , Rel. No. 34-65432 , Rel. No. 34-65434 , Rel. No. 34-65435 , Rel. No. 34-65436 , Rel. No. 34-65437 , Rel. No. 34-65438 , Rel. No. 34-65439 , Rel. No. 34-65440 Federal Register version (77 FR 33531)
34-67090
May 31, 2012
SR-FINRA-2011-054
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65426 , Rel. No. 34-65427 , Rel. No. 34-65428 , Rel. No. 34-65429 , Rel. No. 34-65430 , Rel. No. 34-65431 , Rel. No. 34-65432 , Rel. No. 34-65434 , Rel. No. 34-65435 , Rel. No. 34-65436 , Rel. No. 34-65437 , Rel. No. 34-65438 , Rel. No. 34-65439 , Rel. No. 34-65440 Federal Register version (77 FR 33531)
34-67090
May 31, 2012
SR-C2-2011-024
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65426 , Rel. No. 34-65427 , Rel. No. 34-65428 , Rel. No. 34-65429 , Rel. No. 34-65430 , Rel. No. 34-65431 , Rel. No. 34-65432 , Rel. No. 34-65434 , Rel. No. 34-65435 , Rel. No. 34-65436 , Rel. No. 34-65437 , Rel. No. 34-65438 , Rel. No. 34-65439 , Rel. No. 34-65440 Federal Register version (77 FR 33531)
34-67090
May 31, 2012
SR-EDGX-2011-30
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65426 , Rel. No. 34-65427 , Rel. No. 34-65428 , Rel. No. 34-65429 , Rel. No. 34-65430 , Rel. No. 34-65431 , Rel. No. 34-65432 , Rel. No. 34-65434 , Rel. No. 34-65435 , Rel. No. 34-65436 , Rel. No. 34-65437 , Rel. No. 34-65438 , Rel. No. 34-65439 , Rel. No. 34-65440 Federal Register version (77 FR 33531)
34-67090
May 31, 2012
SR-BYX-2011-025
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65426 , Rel. No. 34-65427 , Rel. No. 34-65428 , Rel. No. 34-65429 , Rel. No. 34-65430 , Rel. No. 34-65431 , Rel. No. 34-65432 , Rel. No. 34-65434 , Rel. No. 34-65435 , Rel. No. 34-65436 , Rel. No. 34-65437 , Rel. No. 34-65438 , Rel. No. 34-65439 , Rel. No. 34-65440 Federal Register version (77 FR 33531)
34-67090
May 31, 2012
SR-NSX-2011-11
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65426 , Rel. No. 34-65427 , Rel. No. 34-65428 , Rel. No. 34-65429 , Rel. No. 34-65430 , Rel. No. 34-65431 , Rel. No. 34-65432 , Rel. No. 34-65434 , Rel. No. 34-65435 , Rel. No. 34-65436 , Rel. No. 34-65437 , Rel. No. 34-65438 , Rel. No. 34-65439 , Rel. No. 34-65440 Federal Register version (77 FR 33531)
34-67090
May 31, 2012
SR-CHX-2011-30
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65426 , Rel. No. 34-65427 , Rel. No. 34-65428 , Rel. No. 34-65429 , Rel. No. 34-65430 , Rel. No. 34-65431 , Rel. No. 34-65432 , Rel. No. 34-65434 , Rel. No. 34-65435 , Rel. No. 34-65436 , Rel. No. 34-65437 , Rel. No. 34-65438 , Rel. No. 34-65439 , Rel. No. 34-65440 Federal Register version (77 FR 33531)
34-67090
May 31, 2012
SR-NYSEArca-2011-68
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65426 , Rel. No. 34-65427 , Rel. No. 34-65428 , Rel. No. 34-65429 , Rel. No. 34-65430 , Rel. No. 34-65431 , Rel. No. 34-65432 , Rel. No. 34-65434 , Rel. No. 34-65435 , Rel. No. 34-65436 , Rel. No. 34-65437 , Rel. No. 34-65438 , Rel. No. 34-65439 , Rel. No. 34-65440 Federal Register version (77 FR 33531)
34-67090
May 31, 2012
SR-BX-2011-068
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65426 , Rel. No. 34-65427 , Rel. No. 34-65428 , Rel. No. 34-65429 , Rel. No. 34-65430 , Rel. No. 34-65431 , Rel. No. 34-65432 , Rel. No. 34-65434 , Rel. No. 34-65435 , Rel. No. 34-65436 , Rel. No. 34-65437 , Rel. No. 34-65438 , Rel. No. 34-65439 , Rel. No. 34-65440 Federal Register version (77 FR 33531)
34-67090
May 31, 2012
SR-ISE-2011-61
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65426 , Rel. No. 34-65427 , Rel. No. 34-65428 , Rel. No. 34-65429 , Rel. No. 34-65430 , Rel. No. 34-65431 , Rel. No. 34-65432 , Rel. No. 34-65434 , Rel. No. 34-65435 , Rel. No. 34-65436 , Rel. No. 34-65437 , Rel. No. 34-65438 , Rel. No. 34-65439 , Rel. No. 34-65440 Federal Register version (77 FR 33531)
34-67075
May 30, 2012
SR-NYSEArca-2012-28
Notice of Designation of a Longer Period for Commission Action on 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. 34-67965 , Rel. No. 34-67470 , Rel. No. 34-66816 Federal Register version (77 FR 33258)
34-67074
May 30, 2012
SR-BX-2012-037
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Waiver of Fees for BX Options Participants Comments Due: Exhibit 5 Federal Register version (77 FR 33257)
34-67076
May 30, 2012
SR-NASDAQ-2012-062
Notice of Filing of Proposed Rule Change To Modify Its Corporate Governance Rules Comments Due: Rel. No. 34-67468 Federal Register version (77 FR 33261)
34-67079
May 30, 2012
SR-FINRA-2012-025
Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-67774 Federal Register version (77 FR 33522)
34-67078
May 30, 2012
SR-CBOE-2012-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to FLEX Options Comments Due: Federal Register version (77 FR 33259)
34-67071
May 29, 2012
SR-Phlx-2012-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the MSCI EAFE Index Comments Due: Exhibit 5 Federal Register version (77 FR 33013)
34-67066
May 29, 2012
SR-NYSEArca-2012-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Extension of Unlisted Trading Privileges to New Derivative Securities Products That Are Listed on Another Exchange and To Make Other Conforming and Technical Amendments Comments Due: Exhibit 5 Federal Register version (77 FR 33010)
34-67068
May 29, 2012
SR-NASDAQ-2012-064
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Date for Its Excess Order Fee Comments Due: Federal Register version (77 FR 33256)
34-67070
May 29, 2012
SR-ICC-2012-04
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Add Rules Related to the Clearing of Emerging Markets Sovereign Index Credit Default Swaps Comments Due: Rel. No. 34-67289 , Rel. No. 34-66777 Federal Register version (77 FR 33013)
34-67063
May 25, 2012
SR-FINRA-2012-021
Notice of Designation of a Longer Period for Commission Action on 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 Rel. No. 34-66804 Federal Register version (77 FR 32703)
34-67065
May 25, 2012
SR-CBOE-2012-047
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (77 FR 32707)
34-67057
May 24, 2012
SR-NYSEAmex-2012-31
Notice of Filing of Proposed Rule Change Defining a Primary Specialist in Each Options Class and Modifying the Specialist Entitlement Accordingly Comments Due: Exhibit 5 , Rel. No. 34-67421 Federal Register version (77 FR 32157)
34-67053
May 24, 2012
SR-Phlx-2012-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 616, Electronic Filing Requirements for Uniform Forms Comments Due: Federal Register version (77 FR 32151)
34-67058
May 24, 2012
SR-NYSEArca-2012-45
Notice of Filing of Proposed Rule Change Amending Its Rules To Reflect the Merger of Archipelago Holdings, Inc. ("Archipelago Holdings"), An Intermediate Holding Company, Into and With NYSE Group, Inc. ("NYSE Group"), Thereby Eliminating Archipelago Holdings From the Ownership Structure of the Exchange Comments Due: Exhibit 5 , Rel. No. 34-67435 Federal Register version (77 FR 32155)
34-67059
May 24, 2012
SR-FICC-2012-04
Notice of Filing of Proposed Rule Change To Clarify the Ability of the Government Securities Division To Use Implied Volatility Indicators as Part of the Volatility Model in Its Clearing Fund Formula Comments Due: Rel. No. 34-67336 Federal Register version (77 FR 32153)
34-67055
May 24, 2012
SR-CBOE-2012-050
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Name Change of the CBOE Regulatory Oversight Committee Comments Due: Federal Register version (77 FR 32160)
34-67056
May 24, 2012
SR-C2-2012-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Name Change of the C2 Regulatory Oversight Committee Comments Due: Federal Register version (77 FR 32159)
34-67047
May 23, 2012
SR-Phlx-2012-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reversal and Conversion Strategies Comments Due: Exhibit 5 Federal Register version (77 FR 32165)
34-67045
May 23, 2012
SR-NYSEArca-2012-44
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of iShares Strategic Beta U.S. Large Cap Fund and iShares Strategic Beta U.S. Small Cap Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-67320 Federal Register version (77 FR 31899)
34-67046
May 23, 2012
SR-BX-2012-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Fees Under Rule 7003(b) and Adopt a New Equities Regulatory Fee Comments Due: Federal Register version (77 FR 31906)
34-67039
May 22, 2012
SR-ISE-2012-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Qualification Standards for Market Makers To Receive a Rebate Comments Due: Exhibit 5 Federal Register version (77 FR 31680)
34-67036
May 21, 2012
SR-CME-2012-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify a Fee Program Related to Its OTC Interest Rate Swap Clearing Offering Comments Due: Federal Register version (77 FR 31416)
34-67037
May 21, 2012
SR-NYSEAmex-2012-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Certificate of Formation, Amended and Restated Operating Agreement, Company Guide, and Rules To Change the Name of the Exchange to NYSE MKT LLC Comments Due: Exhibit 5 Federal Register version (77 FR 31415)
34-67033
May 21, 2012
SR-NYSEArca-2012-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(pp) To Change the Primary After 3:45 Order to a Primary After 3:55 Order Comments Due: Exhibit 5 Federal Register version (77 FR 31410)
34-67034
May 21, 2012
SR-NYSEArca-2012-26
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security ("Mini-Options Contracts") and Implement Rule Text Necessary To Distinguish Mini-Options Contracts From Option Contracts Overlying 100 Shares of a Security ("Standard Contracts") Comments Due: View Received Comments Rel. No. 34-67233 , Rel. No. 34-66725 Federal Register version (77 FR 31418)
34-67035
May 21, 2012
SR-ISE-2012-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Terminate a Pilot Program Related to an Incentive Plan for Certain Foreign Currency Options Traded on the Exchange and To Make a Technical Change to the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (77 FR 31411)
34-67017
May 18, 2012
SR-BATS-2012-017
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 31059)
34-67026
May 18, 2012
SR-Phlx-2012-68
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, by NASDAQ OMX PHLX LLC To Accept Inbound Orders From NASDAQ OMX BX's New Options Market Comments Due: Rel. No. 34-67294 Federal Register version (77 FR 31053)
34-67021
May 18, 2012
SR-OCC-2012-07
Notice of Filing and of Proposed Rule Change Relating to Adjustment Panel Voting Comments Due: Rel. No. 34-67333 , Rel. No. 34-67333 Federal Register version (77 FR 31060)
34-67020
May 18, 2012
SR-NYSEArca-2012-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Electronic Executions of Posted Customer Liquidity in Penny Pilot Issues Comments Due: Exhibit 5 Federal Register version (77 FR 31050)
34-67025
May 18, 2012
SR-BX-2012-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(f)(7) Concerning the Processing of the Price To Comply Order Comments Due: Federal Register version (77 FR 31413)
34-67022
May 18, 2012
SR-NASDAQ-2012-043
Notice of Designation of a Longer Period for Commission Action on 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. 34-67961 , Rel. No. 34-67411 , Rel. No. 34-66765 Federal Register version (77 FR 31050)
34-67024
May 18, 2012
SR-NASDAQ-2012-060
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(f)(7) Concerning the Processing of the Price To Comply Order Comments Due: Federal Register version (77 FR 31055)
34-67027
May 18, 2012
SR-NASDAQ-2012-061
Notice of Filing of Proposed Rule Change for the NASDAQ Options Market To Accept Inbound Orders From NASDAQ OMX BX's New Options Market Comments Due: Rel. No. 34-67295 Federal Register version (77 FR 31057)
34-67023
May 18, 2012
SR-C2-2012-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Comments Due: Federal Register version (77 FR 31418)
34-67006
May 17, 2012
SR-NYSEAmex-2012-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place at a Price That Is Below $1 Per Option Contract Until May 31, 2013 Comments Due: Exhibit 5 Federal Register version (77 FR 30572)
34-67004
May 17, 2012
SR-Phlx-2012-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Institute an Excess Order Fee Comments Due: Exhibit 5 Federal Register version (77 FR 30581)
34-67005
May 17, 2012
SR-NYSEArca-2012-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place at a Price That Is Below $1 Per Option Contract Until May 31, 2013 Comments Due: Exhibit 5 Federal Register version (77 FR 30574)
34-67007
May 17, 2012
SR-BX-2012-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Institute an Excess Order Fee Comments Due: Exhibit 5 Federal Register version (77 FR 30579)
34-67009
May 17, 2012
SR-BX-2012-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Grandfathered Rules, BOX Trading Rules, BX By-Laws, BX Rules and Remove the BOXR Operating Agreement and By-Laws Comments Due: Federal Register version (77 FR 30566)
34-67012
May 17, 2012
SR-BX-2012-035
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove the BOX Fee Schedule In Effect While BOX Was a Facility of the Exchange Comments Due: Exhibit 5 Federal Register version (77 FR 30561)
34-67014
May 17, 2012
SR-BX-2012-034
Notice of Filing of Proposed Rule Change With Respect to the Authority of the Exchange or NASDAQ Execution Services to Cancel Orders When a Technical or System Issue Occurs and To Describe the Operation of an Error Account Comments Due: Exhibit 5 , Rel. No. 34-67280 Federal Register version (77 FR 30576)
34-67008
May 17, 2012
SR-C2-2012-011
Notice of Filing of a Proposed Rule Change Relating to the Adoption of a Disaster Recovery Rule Comments Due: Rel. No. 34-67357 Federal Register version (77 FR 30571)
34-67000
May 16, 2012
SR-CBOE-2012-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3.6A-Qualification and Registration of Trading Permit Holders and Associated Persons Comments Due: Federal Register version (77 FR 30338)
34-66992
May 15, 2012
SR-Phlx-2012-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to PSX Rule 3301(f)(8) Concerning the Processing of the Price To Comply Order Comments Due: Federal Register version (77 FR 30038)
34-66993
May 15, 2012
SR-Phlx-2012-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Direct Market Data Product, PHLX Orders Comments Due: Federal Register version (77 FR 30043)
34-66994
May 15, 2012
SR-NYSE-2012-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 102.01C and 103.01B of the Exchange's Listed Company Manual To Permit the Listing of Emerging Growth Companies on the Basis of Two Years of Reported Financial Data Comments Due: Exhibit 5 Federal Register version (77 FR 30040)
34-66984
May 14, 2012
SR-NYSEAmex-2012-29
Notice of Filing of Proposed Rule Change Amending Commentary .07 to NYSE Amex Options Rule 904 To Eliminate Position Limits for Options on the SPDR S&P 500 Exchange-Traded Fund Which List and Trade Under the Symbol SPY Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-67672 , Rel. No. 34-67278 Federal Register version (77 FR 29721)
34-66985
May 14, 2012
SR-Phlx-2012-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols and Equity Options Fees Comments Due: Exhibit 5 Federal Register version (77 FR 29726)
34-66981
May 14, 2012
SR-NYSE-2011-56
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether to Disapprove Proposed Rule Changes To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and To Permit Designated Market Makers and Floor Brokers Access To Disaggregated Order Information File Nos.: Comments Due: Rel. No. 34-67437 , Rel. No. 34-66397 , Rel. No. 34-66036 , Rel. No. 34-65736 , Rel. No. 34-65735 Federal Register version (77 FR 29730)
34-66981
May 14, 2012
SR-NYSEAmex-2011-86
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether to Disapprove Proposed Rule Changes To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and To Permit Designated Market Makers and Floor Brokers Access To Disaggregated Order Information File Nos.: Comments Due: Rel. No. 34-67437 , Rel. No. 34-66397 , Rel. No. 34-66036 , Rel. No. 34-65736 , Rel. No. 34-65735 Federal Register version (77 FR 29730)
34-66983
May 14, 2012
SR-BX-2012-030
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Establishment of a New Options Market, NASDAQ OMX BX Options Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-67256 Federal Register version (77 FR 29730)
34-66979
May 14, 2012
SR-BOX-2012-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Fee Schedule For Trading on BOX Comments Due: Exhibit 5 , Memorandum Federal Register version (77 FR 29740)
34-66982
May 14, 2012
SR-BOX-2012-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rules Based on the Boston Options Exchange Group, LLC ("BOX Group") Rules and Recent BOX Group Rule Filings Comments Due: Exhibit 5 Federal Register version (77 FR 29718)
34-66970
May 11, 2012
SR-EDGX-2012-17
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 29438)
34-66971
May 11, 2012
SR-EDGA-2012-18
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 29428)
34-66967
May 11, 2012
SR-Phlx-2012-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the PHLX Depth of Market Data Product Comments Due: Federal Register version (77 FR 29440)
34-66968
May 11, 2012
SR-Phlx-2012-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees for Removing Liquidity in Select Symbols Comments Due: Exhibit 5 Federal Register version (77 FR 29425)
34-66965
May 11, 2012
SR-NYSEARCA-2012-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Equities Rule 5.2(j)(1), the Exchange's "Other Securities" Listing Standard, To Delete a Provision Providing That If a Security Listed Under the Rule Contains Redemption Provisions, the Redemption Price Must Be at Least $3.00 Per Unit Comments Due: Federal Register version (77 FR 29416)
34-66966
May 11, 2012
SR-NYSEArca-2012-37
Notice of Filing of 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 Exhibit 5 , Rel. No. 34-68616 , Rel. No. 34-67962 , Rel. No. 34-67411 , Rel. No. 34-67222 Federal Register version (77 FR 29419)
34-66973
May 11, 2012
SR-NYSEArca-2012-39
Notice of Filing of Proposed Rule Change Relating To Listing and Trading the Global Alpha & Beta ETF Pursuant to NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-67277.pdf Federal Register version (77 FR 29429)
34-66969
May 11, 2012
4-546
Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add the BOX Options Exchange LLC as a Participant Comments Due: View Received Comments Federal Register version (77 FR 29396)
34-66972
May 11, 2012
SR-NASDAQ-2012-059
Notice of Filing of Proposed Rule Change To Establish "Benchmark Orders" Under NASDAQ Rule 4751(f) Comments Due: Rel. No. 34-68199 , Rel. No. 34-67655 , Rel. No. 34-67258 Federal Register version (77 FR 29435)
34-66974
May 11, 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., the New York Stock Exchange LLC, NYSE Amex LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Concerning Options-Related Sales Practice Matters Comments Due: Federal Register version (77 FR 29705)
34-66975
May 11, 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 Amex 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, the BOX Options Exchange LLC, NASDAQ OMX BX, Inc. and the NASDAQ OMX PHLX, Inc. Concerning Options-Related Market Surveillance Comments Due: View Received Comments Federal Register version (77 FR 29712)
34-66958
May 10, 2012
SR-NSX-2012-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Purpose of, and Statutory Basis for, the May 1, 2012 Changes to the NSX Fee and Rebate Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 28909)
34-66959
May 10, 2012
SR-NYSEAmex-2012-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Equities Price List for Certain Fees Relating To Transactions in Exchange-Listed Securities and Trading Pursuant to Unlisted Trading Privileges of Securities Listed on the Nasdaq Stock Market LLC Comments Due: Exhibit 5 Federal Register version (77 FR 28912)
34-66957
May 10, 2012
4-533
Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add BOX Options Exchange LLC as a Party Thereto Comments Due: View Received Comments Federal Register version (77 FR 28904)
34-66964
May 10, 2012
SR-NASDAQ-2012-057
Notice of Filing of Proposed Rule Change With Respect to the Authority of NASDAQ or NASDAQ Execution Services To Cancel Orders When a Technical or System Issue Occurs and To Describe the Operation of an Error Account Comments Due: Exhibit 5 , Rel. No. 34-67281 Federal Register version (77 FR 28905)
34-66961
May 10, 2012
SR-ISE-2012-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees and Rebates for Certain Complex Orders Traded on the Exchange Comments Due: Exhibit 5 Federal Register version (77 FR 28914)
34-66962
May 10, 2012
SR-ISE-2012-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees and Rebates for Complex Orders Executed on the Exchange Comments Due: Exhibit 5 Federal Register version (77 FR 28917)
34-66949
May 9, 2012
SR-EDGX-2012-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amending Certain Sections of Its Current Bylaws Comments Due: Exhibit 5 Federal Register version (77 FR 28643)
34-66950
May 9, 2012
SR-EDGA-2012-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amending Certain Sections of Its Current Bylaws Comments Due: Exhibit 5 Federal Register version (77 FR 28649)
34-66952
May 9, 2012
4-443
Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures To Facilitate the Listing and Trading of Standardized Options To Add BOX Options Exchange LLC as a Sponsor Comments Due: View Received Comments Federal Register version (77 FR 28641)
34-66951
May 9, 2012
SR-NASDAQ-2012-055
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Institute an Excess Order Fee Comments Due: Federal Register version (77 FR 28647)
34-66954
May 9, 2012
SR-MSRB-2012-04
Notice on the Duties of Dealers That Use the Services of Broker's Brokers Comments Due: View Received Comments Rel. No. 34-67238 , Rel. No. 34-66625 Federal Register version (77 FR 28653)
34-66953
May 9, 2012
SR-CBOE-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 28653)
34-66940
May 8, 2012
SR-CME-2012-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Applicable to OTC S&P GSCI-ER Swaps Contracts Comments Due: Federal Register version (77 FR 28417)
34-66945
May 8, 2012
SR-NYSEArca-2012-19
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 6.35 Comments Due: Rel. No. 34-66642 , Rel.34-67248 Federal Register version (77 FR 28413)
34-66946
May 8, 2012
SR-NYSEArca-2012-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fee Schedule To Make Correction to the Tape A, Tape B, and Tape C Step Up Tiers Comments Due: Exhibit 5 Federal Register version (77 FR 28411)
34-66944
May 8, 2012
SR-BX-2012-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Exchange's Co-Location Super High Density Cabinet Monthly Fee Comments Due: Exhibit 5 Federal Register version (77 FR 28414)
34-66943
May 8, 2012
SR-NASDAQ-2012-054
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NASDAQ Co-Location Super High Density Cabinet Monthly Fee Comments Due: Exhibit 5 Federal Register version (77 FR 28415)
34-66931
May 7, 2012
SR-CME-2012-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Adoption of Interest Rate Futures Contracts Portfolio Margining Program With Eris Exchange, LLC Comments Due: Federal Register version (77 FR 27827)
34-66935
May 7, 2012
SR-Phlx-2012-58
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Pricing Schedule Regarding the Co-Location Super High Density Cabinet Monthly Fee Comments Due: Exhibit 5 Federal Register version (77 FR 27819)
34-66937
May 7, 2012
SR-NYSEArca-2012-05
Notice of Filing of Proposed Rule Change Adding New Paragraph (cc) to NYSE Arca Options Rule 6.62 To Provide for a Post No Preference Light Only Quotation Comments Due: Exhibit 5 , Rel. No. 34-67252 Federal Register version (77 FR 27820)
34-66936
May 7, 2012
SR-ICEEU-2012-06
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Membership Qualifications for CDS Clearing Members That Are Us CDS Clearing Members Comments Due: Federal Register version (77 FR 27825)
