34-66934
May 7, 2012
SR-CBOE-2012-040
Notice of Proposed Rule Change Related to Permanent Approval of Its Pilot on FLEX Minimum Value Sizes Comments Due: Rel. No. 34-67624 Federal Register version (77 FR 27822)
34-66923
May 4, 2012
SR-NSX-2012-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules Regarding Routing of Limit Orders Comments Due: Exhibit 5 Federal Register version (77 FR 27505)
34-66925
May 4, 2012
SR-Phlx-2012-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 27526)
34-66926
May 4, 2012
SR-Phlx-2012-56
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Phlx's Fee Schedule Governing Routing From Its NASDAQ OMX PSX Facility Comments Due: Exhibit 5 Federal Register version (77 FR 27525)
34-66928
May 4, 2012
SR-NYSEAmex-2011-84
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C To Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C To Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date File Nos.: Comments Due: View Received Comments Rel. No. 34-79587 , Rel. No. 34-70085 , Rel. No. 34-67347 , Rel. No. 34-66464 , Rel. No. 34-66346 , Rel. No. 34-66003 , Rel. No. 34-65672 , Rel. No. 34-65671 Federal Register version (77 FR 27508)
34-66928
May 4, 2012
SR-NYSE-2011-55
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C To Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C To Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date File Nos.: Comments Due: View Received Comments Rel. No. 34-79587 , Rel. No. 34-70085 , Rel. No. 34-67347 , Rel. No. 34-66464 , Rel. No. 34-66346 , Rel. No. 34-66003 , Rel. No. 34-65672 , Rel. No. 34-65671 Federal Register version (77 FR 27508)
34-66924
May 4, 2012
SR-FINRA-2012-023
Notice of Filing of Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities Comments Due: View Received Comments Rel. No. 34-67242 Federal Register version (77 FR 27527)
34-66912
May 3, 2012
SR-CME-2012-17
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Rules Regarding IRS Clearing Member Obligations and Qualifications Comments Due: Federal Register version (77 FR 27502)
34-66914
May 3, 2012
SR-CME-2012-16
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Rules Regarding CDS Clearing Member Obligations and Qualifications Comments Due: Federal Register version (77 FR 27530)
34-66915
May 3, 2012
SR-NASDAQ-2012-053
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 and Routing Fees and Rebates Under Rule 7018 Comments Due: Exhibit 5 Federal Register version (77 FR 27256)
34-66918
May 3, 2012
SR-ICC-2012-08
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add Margin Collection Requirements for Futures Commission Merchant Clearing Participants Comments Due: Federal Register version (77 FR 27260)
34-66903
May 2, 2012
SR-NYSEAmex-2012-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing an Increase to the Login Fee Within the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 27104)
34-66904
May 2, 2012
SR-NYSEArca-2012-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing a Fee Change for the Floor Broker Electronic Order Capture Device Comments Due: Exhibit 5 Federal Register version (77 FR 27106)
34-66905
May 2, 2012
SR-NASDAQ-2012-056
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7001 and 7018(h) Comments Due: Exhibit 5 Federal Register version (77 FR 27105)
34-66891
May 1, 2012
SR-BATS-2012-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.9 and Rule 21.1 To Allow Optional Attribution of Orders Comments Due: Federal Register version (77 FR 26811)
34-66890
May 1, 2012
SR-BYX-2012-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.9 To Allow Optional Attribution of Orders Comments Due: Federal Register version (77 FR 26808)
34-66887
May 1, 2012
SR-NYSEAmex-2012-24
Notice of Filing of Proposed Rule Change to List Shares of the Nuveen Long/Short Commodity Total Return Fund Under NYSE Amex Rule 1600 et seq. Comments Due: Rel. No. 34-67223 Federal Register version (77 FR 26798)
34-66889
May 1, 2012
SR-ISE-2012-22
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Add an Index Option Product for Trading on the Exchange Comments Due: View Received Comments 34-68247 , 34-67865 , 34-67225 , 34-66614 Federal Register version (77 FR 26812)
34-66895
May 1, 2012
SR-ICC-2012-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules To Update the Contract Reference Obligation ISINs Associated With Four Single Name Contracts Comments Due: Federal Register version (77 FR 26810)
34-66894
May 1, 2012
SR-DTC-2012-03
Notice of Filing of Proposed Rule Change To Implement a Change in the Practices of The Depository Trust Company as They Relate to Post-Payable Adjustments Comments Due: View Received Comments Rel. No. 34-67599A , Rel. No. 34-67599 Federal Register version (77 FR 26796)
34-66888
May 1, 2012
SR-CBOE-2012-038
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (77 FR 26813)
34-66883
April 30, 2012
SR-Phlx-2012-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees for Removing Liquidity in Select Symbols Comments Due: Rel. No. 34-68202 , Rel. No. 34-67825 , Rel. No. 34-66884 Federal Register version (77 FR 26591)
34-66881
April 30, 2012
SR-BX-2012-028
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for BX Members Using the NASDAQ OMX BX Equities System Comments Due: Federal Register version (77 FR 26588)
34-66873
April 27, 2012
SR-EDGX-2012-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New EDGX Rule Regarding Telemarketing Comments Due: Exhibit 5 Federal Register version (77 FR 26343)
34-66874
April 27, 2012
SR-EDGA-2012-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New EDGA Rule Regarding Telemarketing Comments Due: Exhibit 5 Federal Register version (77 FR 26348)
34-66872
April 27, 2012
SR-FINRA-2012-001
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Amend FINRA Rule 4560 (Short-Interest Reporting) Comments Due: View Received Comments Rel. No. 34-66220 Federal Register version (77 FR 26340)
34-66864
April 26, 2012
SR-EDGX-2012-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Associated With Receipt of the EDGX Book Feed Comments Due: Exhibit 5 Federal Register version (77 FR 26064)
34-66867
April 26, 2012
SR-CME-2012-13
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add Reporting Requirements for FCM Clearing Members Comments Due: Federal Register version (77 FR 26062)
34-66863
April 26, 2012
SR-EDGA-2012-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Associated With Receipt of the EDGA Book Feed Comments Due: Exhibit 5 Federal Register version (77 FR 26059)
34-66857
April 25, 2012
SR-NYSEAmex-2012-23
Notice of Filing of Proposed Rule Change Amending NYSE Amex Options Rule 928NY Specifying That the Potential Range for the Settings Applicable to the Market Maker Risk Limitation Mechanism Will Be Between One and 100 Executions per Second, To Eliminate the Current Reference to the Default Setting and, in the Future, To Specify the Applicable Minimum, Maximum and Default Settings via Regulatory Bulletin Comments Due: Exhibit 5 , Rel. No. 34-67314 Federal Register version (77 FR 25770)
34-66859
April 25, 2012
SR-Phlx-2012-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Account Fee Comments Due: Exhibit 5 Federal Register version (77 FR 25773)
34-66860
April 25, 2012
SR-CBOE-2012-013
Notice of Filing of a Proposed Rule Change To Adopt Self-Trade Prevention Modifiers on the CBOE Stock Exchange Comments Due: Rel. No. 34-67152 Federal Register version (77 FR 25767)
34-66847
April 23, 2012
SR-CME-2012-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Regarding Clearing Member Anti-Money Laundering Programs Comments Due: Federal Register version (77 FR 25215)
34-66846
April 23, 2012
SR-NYSEArca-2012-34
Notice of Filing of Proposed Rule Change To List and Trade the Huntington US Equity Rotation Strategy ETF and Huntington EcoLogical Strategy ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-67145 Federal Register version (77 FR 25218)
34-66848
April 23, 2012
SR-NASDAQ-2012-052
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SQF and BONO Port Fees and Account Fees Comments Due: Exhibit 5 Federal Register version (77 FR 25216)
34-66838
April 20, 2012
SR-Phlx-2012-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (77 FR 24997)
34-66841
April 20, 2012
SR-OCC-2012-06
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Revised DCO Rules Comments Due: Federal Register version (77 FR 24999)
34-66833
April 19, 2012
SR-NYSEArca-2012-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Specify How the Immediate-or-Cancel Time-in-Force Instructions Are Applicable to an MPL Order Comments Due: Exhibit 5 Federal Register version (77 FR 24750)
34-66830
April 18, 2012
SR-NASDAQ-2012-002
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, To Adopt an Alternative to the $4 Per Share Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 Closing Price Per Share or $3 Closing Price Per Share, if Certain Other Listing Requirements are Met Comments Due: View Received Comments Rel. No. 34-66499 , Rel. No. 34-66159 Federal Register version (77 FR 24549)
34-66827
April 18, 2012
SR-ISE-2012-26
Notice of Filing of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security Comments Due: View Received Comments Rel. No. 34-67234 , Rel. No. 34-67097 Federal Register version (77 FR 24547)
34-66820
April 17, 2012
SR-NYSEAmex-2012-22
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 107B To Add a Class of Supplemental Liquidity Providers That Are Registered as Market Makers at the Exchange Comments Due: Exhibit 5 , Rel. No. 34-67155 Federal Register version (77 FR 24236)
34-66818
April 17, 2012
SR-NYSEArca-2012-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Peritus High Yield ETF Comments Due: Federal Register version (77 FR 24233)
34-66821
April 17, 2012
SR-NYSE-2012-10
Notice of Filing of Proposed Rule Change Amending NYSE Rule 107B To Add a Class of Supplemental Liquidity Providers That Are Registered as Market Makers at the Exchange Comments Due: Exhibit 5 , Rel. No. 34-67154 Federal Register version (77 FR 24239)
34-66819
April 17, 2012
SR-FINRA-2011-058
Notice of Filing of Amendment No. 1 to Proposed Rule Change To Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) Comments Due: View Received Comments Exhibit 5 , Rel No. 34-67208 , Rel. No. 34-66819 , and , Rel. No. 34-65568 Federal Register version (77 FR 23770)
34-66813
April 16, 2012
SR-CME-2012-11
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Facilitate Changing its Methodology for Calculation of the "Cash Mark-to-Market" Performance Bonds for Cleared OTC FX Swaps From SPAN to HVaR Comments Due: Federal Register version (77 FR 23768)
34-66816
April 16, 2012
SR-NYSEArca-2012-28
Notice of Filing of 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. 34-67075 Federal Register version (77 FR 23772)
34-66817
April 16, 2012
SR-NASDAQ-2012-050
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (77 FR 23788)
34-66812
April 16, 2012
SR-CBOE-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 23767)
34-66805
April 13, 2012
SR-Phlx-2012-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Option Fees Comments Due: Exhibit 5 Federal Register version (77 FR 23528)
34-66806
April 13, 2012
SR-Phlx-2012-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1014 Comments Due: View Received Comments Exhibit 5 Federal Register version (77 FR 23531)
34-66810
April 13, 2012
SR-NYSEArca-2012-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(h)(4) To Make Passive Liquidity Orders in Exchange-Listed Securities Available to All Users, Regardless of Whether a Lead Market Maker Is Assigned to the Security Comments Due: Exhibit 5 Federal Register version (77 FR 23534)
34-66811
April 13, 2012
SR-NYSEArca-2012-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(t) To Provide for Limit-on-Open Orders and Market-on-Open Orders Comments Due: Exhibit 5 Federal Register version (77 FR 23536)
34-66804
April 13, 2012
SR-FINRA-2012-021
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: View Received Comments Exhibit 5 , Rel. No. 34-67063 Federal Register version (77 FR 23524)
34-66794
April 12, 2012
SR-BATS-2012-015
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: View Received Comments Exhibit 5 Federal Register version (77 FR 23307)
34-66795
April 12, 2012
SR-NYSEAmex-2012-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Recent Changes to FINRA Rules 7440 and 7450, and To Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Amex Equities Rule 5320 To Require that Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Amex Equities Rule 5320 Comments Due: Exhibit 5 Federal Register version (77 FR 23298)
34-66799
April 12, 2012
SR-Phlx-2012-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FINRA Fees Comments Due: Exhibit 5 Federal Register version (77 FR 23301)
34-66800
April 12, 2012
SR-Phlx-2012-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders Comments Due: Exhibit 5 Federal Register version (77 FR 23521)
34-66798
April 12, 2012
SR-NYSEArca-2012-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Recent Changes to FINRA Rules 7440 and 7450, and To Adopt Recent Changes to FINRA Rule 5320 by Amending Commentary .02 to NYSE Arca Equities Rule 5320 To Require That ETP Holders Report to the Order Audit Trail System Information Barriers Put Into Place by the ETP Holder in Reliance on Commentary .02 to NYSE Arca Equities Rule 5320 Comments Due: Exhibit 5 Federal Register version (77 FR 23303)
34-66797
April 12, 2012
SR-NYSE-2012-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Recent Changes to FINRA Rules 7440 and 7450, and To Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Rule 5320 To Require That Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Rule 5320 Comments Due: Exhibit 5 Federal Register version (77 FR 23305)
34-66792
April 12, 2012
SR-BX-2012-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter V, Section 16 of the BOX Trading Rules Comments Due: Exhibit 5 Federal Register version (77 FR 23316)
34-66789
April 12, 2012
SR-ISE-2012-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Increasing Certain Rebates and Taker Fees for Complex Orders in Options on the SPDR S&P500 ETF Trust Comments Due: Exhibit 5 Federal Register version (77 FR 23295)
34-66790
April 12, 2012
SR-ISE-2012-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates Comments Due: Exhibit 5 Federal Register version (77 FR 23312)
34-66793
April 12, 2012
SR-ISE-2012-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend an Existing Fee Cap Program and Related Service Fee Comments Due: Exhibit 5 Federal Register version (77 FR 23313)
34-66786
April 11, 2012
SR-CME-2012-10
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Acceptance of Additional Interest Rate Swaps and Related Interbank Rates for Clearing Comments Due: Federal Register version (77 FR 22825)
34-66780
April 11, 2012
SR-NASDAQ-2012-049
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4751 Comments Due: Federal Register version (77 FR 22829)
34-66781
April 11, 2012
SR-CBOE-2012-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (77 FR 22828)
34-66784
April 11, 2012
SR-CBOE-2012-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Comments Due: Federal Register version (77 FR 22824)
34-66776
April 10, 2012
SR-NYSEAmex-2012-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Amendments to Its Price List To Raise the Supplemental Liquidity Provider Rebate and Raise the NYSE Crossing Session II Rate and Fee Cap Comments Due: Exhibit 5 Federal Register version (77 FR 22624)
34-66777
April 10, 2012
SR-ICC-2012-04
Notice of Filing of Proposed Rule Change To Add Rules Related to the Clearing of Emerging Markets Sovereign Index CDS Comments Due: Rel. No. 34-67289 , Rel. No. 34-67070 Federal Register version (77 FR 22623)
34-66773
April 9, 2012
SR-CME-2012-09
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 22372)
34-66772
April 9, 2012
SR-MSRB-2012-05
Notice Concerning the Application of MSRB Rule G-17 to Sophisticated Municipal Market Professionals Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-67064 Federal Register version (77 FR 22367)
34-66774
April 9, 2012
SR-FINRA-2011-075
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 13024 of the Code of Arbitration Procedure for Industry Disputes To Preclude Collective Action Claims From Being Arbitrated Comments Due: Rel. No. 34-66109 Federal Register version (77 FR 22374)
34-66761
April 6, 2012
SR-EDGX-2012-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New EDGX Rule 11.22 Requiring Members To Input Accurate Information Into the System Comments Due: Exhibit 5 Federal Register version (77 FR 22006)
34-66762
April 6, 2012
SR-EDGX-2012-12
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 22053)
34-66763
April 6, 2012
SR-EDGA-2012-13
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 22008)
34-66764
April 6, 2012
SR-EDGA-2012-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New EDGA Rule 11.22 Requiring Members To Input Accurate Information Into the System Comments Due: Exhibit 5 Federal Register version (77 FR 22020)
34-66754
April 6, 2012
SR-Phlx-2012-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing of Non-Customer Orders Comments Due: Federal Register version (77 FR 22040)
34-66755
April 6, 2012
SR-Phlx-2012-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (77 FR 22037)
34-66756
April 6, 2012
SR-Phlx-2012-43
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 22036)
34-66757
April 6, 2012
SR-Phlx-2012-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates for Adding and Removing Liquidity in SPY Comments Due: Exhibit 5 Federal Register version (77 FR 22034)
34-66767
April 6, 2012
SR-Phlx-2012-40
Notice of Filing of Proposed Rule Change Relating to Quarterly Trading Requirements Applicable to Registered Options Traders Comments Due: Exhibit 5 , Rel. No. 34-67169 Federal Register version (77 FR 22365)
34-66753
April 6, 2012
SR-NYSEArca-2012-25
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the WisdomTree Brazil Bond Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-67054 Federal Register version (77 FR 21827)
34-66765
April 6, 2012
SR-NASDAQ-2012-043
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Establish the Market Quality Program Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-68378 , Rel. No. 34-67961 , Rel. No. 34-67411 , Rel. No. 34-67022 Federal Register version (77 FR 22042)
34-66768
April 6, 2012
SR-NASDAQ-2012-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Fees and Rebates in Penny Pilot Options Comments Due: Exhibit 5 Federal Register version (77 FR 22015)
34-66766
April 6, 2012
SR-ICC-2012-05
Notice of Filing of Proposed Rule Change to Membership Qualifications Comments Due: Rel. No. 34-66922 Federal Register version (77 FR 22019)
34-66769
April 6, 2012
SR-CBOE-2012-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to FLEX Options Comments Due: Federal Register version (77 FR 22012)
34-66742
April 5, 2012
SR-OCC-2012-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to Rescinding a Policy Interpretation Affecting Certain Adjustments Comments Due: Federal Register version (77 FR 21819)
34-66740
April 5, 2012
SR-NASDAQ-2012-042
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Re-Organize NASDAQ's Rules Governing the Fees Applicable to NASDAQ's Depth-of-Book Market Data Comments Due: View Received Comments Federal Register version (77 FR 21609)
34-66741
April 5, 2012
SR-NASDAQ-2012-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Transaction Execution Fee and Credit Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 21607)
34-66747
April 5, 2012
SR-NASDAQ-2012-047
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Investor Support Program and the Extended Hours Investor Program Under Rule 7014 and To Amend the Liquidity Provider Rebate Schedule Under Rule 7018 Comments Due: Exhibit 5 Federal Register version (77 FR 21823)
34-66746
April 5, 2012
SR-ISE-2012-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Route-Out Fee for Priority Customer Orders and Modify the Rebate for Primary Market Makers That Send Intermarket Sweep Orders Comments Due: Exhibit 5 Federal Register version (77 FR 21833)
34-66743
April 5, 2012
SR-CBOE-2012-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct Hyperlink in Rule 5.5A Comments Due: Federal Register version (77 FR 21821)
34-66733
April 4, 2012
SR-BX-2012-020
Notice of Filing of Proposed Rule Change Regarding Registration, Qualification, and Continuing Education Requirements for Associated Persons Comments Due: Exhibit 5 Federal Register version (77 FR 21603)
34-66734
April 4, 2012
SR-ISE-2012-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Additions to the Schedule of Fees Comments Due: Exhibit 5 Federal Register version (77 FR 21615)
34-66732
April 4, 2012
SR-ICC-2012-06
Notice of Filing of Proposed Rule Change To Amend Schedule 502 of the ICE Clear Credit LLC Rules To Provide for Clearing of the Markit CDX North American High Yield Series 15 Credit Default Swap Contracts Maturing on December 20, 2013 Comments Due: Federal Register version (77 FR 21602)
34-66723
April 3, 2012
SR-BATS-2012-014
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of BATS Global Markets, Inc. Comments Due: Exhibit 5 Federal Register version (77 FR 20858)
34-66722
April 3, 2012
SR-BYX-2012-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of BATS Global Markets, Inc. Comments Due: Exhibit 5 Federal Register version (77 FR 20860)
34-66721
April 3, 2012
SR-Phlx-2012-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options Comments Due: Exhibit 5 Federal Register version (77 FR 21137)
34-66725
April 3, 2012
SR-NYSEArca-2012-26
Notice of Filing of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of a Security ("Mini-Options Contracts") and Implementing 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. 34-67034 , Exhibit 5 Federal Register version (77 FR 21120)
34-66718
April 3, 2012
SR-BX-2012-021
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for BX Members Using the NASDAQ OMX BX Equities System Comments Due: Exhibit 5 Federal Register version (77 FR 21140)
