34-66559
March 9, 2012
SR-EDGA-2012-07
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 15407)
34-66567
March 9, 2012
SR-EDGA-2012-08
Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, SIX Swiss Exchange AG, Will Transfer Its Indirect Ownership Interest in ISE Holdings, Inc. to a Newly Formed Swiss Corporation, Eurex Global Derivatives AG Comments Due: Exhibit 5 , Rel. No. 34-66834 Federal Register version (77 FR 15413)
34-66561
March 9, 2012
SR-NYSEAmex-2012-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the Per Contract Execution Costs for Certain Participants Comments Due: Exhibit 5 Federal Register version (77 FR 15429)
34-66551
March 9, 2012
SR-Phlx-2012-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols Comments Due: Exhibit 5 , Rel. No. 34-68202 , Rel. No. 34-67825 , Rel. No. 34-66884 Federal Register version (77 FR 15400)
34-66569
March 9, 2012
SR-Phlx-2012-28
Notice of Filing of Proposed Rule Change Relating to the MSCI EAFE Index Comments Due: Exhibit 5 , Rel. No. 34-66861 Federal Register version (77 FR 15409)
34-66568
March 9, 2012
SR-NYSEARCA-2012-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fee Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 15819)
34-66564
March 9, 2012
SR-OPRA-2012-02
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 OPRA's Fee Schedule Comments Due: Federal Register version (77 FR 15833)
34-66566
March 9, 2012
SR-ISE-2012-21
Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, SIX Swiss Exchange AG, Will Transfer Its Indirect Ownership Interest in ISE Holdings, Inc. to a Newly Formed Swiss Corporation, Eurex Global Derivatives AG Comments Due: Exhibit 5 , Rel. No. 34-66834 Federal Register version (77 FR 15417)
34-66555
March 9, 2012
SR-FINRA-2012-017
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview) Comments Due: Federal Register version (77 FR 15445)
34-66562
March 9, 2012
SR-FINRA-2012-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council Comments Due: Federal Register version (77 FR 15428)
34-66556
March 9, 2012
SR-CBOE-2012-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Comments Due: Federal Register version (77 FR 15436)
34-66563
March 9, 2012
SR-CBOE-2012-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Weeklys Program Comments Due: Federal Register version (77 FR 15426)
34-66543
March 8, 2012
SR-Phlx-2012-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Applicable to the Trading of NMS Stocks Through NASDAQ OMX PSX Comments Due: Exhibit 5 Federal Register version (77 FR 15166)
34-66539
March 8, 2012
SR-NSCC-2012-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Messaging and Settlement Enhancements to the In Force Transactions Product Service of NSCC's Insurance and Retirement Services and the Establishment of Fees Applicable Theret Comments Due: Federal Register version (77 FR 15171)
34-66537
March 8, 2012
SR-BX-2012-016
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 14843)
34-66542
March 8, 2012
SR-BX-2012-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Connectivity Options and Fees Comments Due: Exhibit 5 Federal Register version (77 FR 15169)
34-66540
March 8, 2012
SR-NASDAQ-2012-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Supplemental Orders Comments Due: Exhibit 5 Federal Register version (77 FR 15167)
34-66544
March 8, 2012
SR-NASDAQ-2012-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Investor Support Program Comments Due: Exhibit 5 Federal Register version (77 FR 15163)
34-66538
March 8, 2012
SR-ICEEU-2012-03
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Rules Related to Certain Operational Changes Relating to Timing, Effectiveness and Operation of Transfer Orders for Purposes of Compliance With Non-U.S. Legislation Comments Due: Federal Register version (77 FR 15174)
34-66526
March 7, 2012
SR-BX-2012-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Identify the Proprietary Data Feed of BOX Market Information That BOX Makes Available to Its Options Participants at No Charge Comments Due: Exhibit 5 Federal Register version (77 FR 14845)
34-66525
March 7, 2012
SR-ISE-2012-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Network Fees Comments Due: Exhibit 5 Federal Register version (77 FR 14847)
34-66527
March 7, 2012
SR-FINRA-2012-015
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) Comments Due: Federal Register version (77 FR 14850)
34-66528
March 7, 2012
SR-FINRA-2012-014
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) Comments Due: Federal Register version (77 FR 14848)
34-66518
March 6, 2012
SR-NYSEAmex-2012-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the NYSE Amex Options Fee Schedule To Add Fees for Reserve Floor Market Maker Amex Trading Permits Comments Due: Exhibit 5 Federal Register version (77 FR 14579)
34-66521
March 6, 2012
SR-MSRB-2012-03
Notice of Filing of Proposed Rule Change Consisting of Establishment of a Subscription to Historical Information and Documents Submitted to the MSRB's Short-Term Obligation Rate Transparency System Comments Due: Rel. No. 34-66865 Federal Register version (77 FR 14572)
34-66522
March 6, 2012
SR-MSRB-2012-02
Notice of Filing of Proposed Rule Change Consisting of Establishment of Historical Data Subscription from Submissions to the MSRB Electronic Municipal Market Access System ("EMMA") Comments Due: Rel. No. 34-66866 Federal Register version (77 FR 14574)
34-66517
March 6, 2012
SR-ICC-2012-02
Notice of Filing of Proposed Rule Change To Provide for a T+1 Settlement of the Initial Payment Related to the CDS Contracts Cleared by ICE Clear Credit LLC Comments Due: Rel. No. 34-66853 Federal Register version (77 FR 14578)
34-66520
March 6, 2012
SR-CBOE-2012-021
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make an Amendment Regarding the Administrative Fee Related to the Marketing Fee Comments Due: Federal Register version (77 FR 14576)
34-66511
March 5, 2012
SR-NSX-2012-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NSX Fee and Rebate Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 14450)
34-66512
March 5, 2012
SR-BX-2012-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Section 26 of the BOX Rules Comments Due: Exhibit 5 Federal Register version (77 FR 14452)
34-66515
March 5, 2012
SR-NASDAQ-2012-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates in Penny Pilot Options and Non-Penny Pilot Options Comments Due: Exhibit 5 Federal Register version (77 FR 14456)
34-66513
March 5, 2012
SR-FINRA-2012-016
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow FINRA To Exempt Certain Alternative Trading Systems From the Trade Reporting Obligation Under the Trade Reporting and Compliance Engine ("TRACE") Reporting Rules Comments Due: Federal Register version (77 FR 14454)
34-66508
March 2, 2012
SR-FINRA-2012-018
Notice of Filing of Proposed Rule Change To Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) To Adopt New Standardized Electronic Form CMA Comments Due: View Received Comments Rel. No. 34-67082 Federal Register version (77 FR 14052)
34-66497
March 1, 2012
SR-Phlx-2012-23
Notice of Filing of Proposed Rule Change To Amend Registration and Qualification Requirements Comments Due: Exhibit 5 , Rel. No. 34-66840 Federal Register version (77 FR 13668)
34-66501
March 1, 2012
SR-BX-2012-014
Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend the BOX LLC Agreement Comments Due: Exhibit 5 Federal Register version (77 FR 13676)
34-66499
March 1, 2012
SR-NASDAQ-2012-002
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt an Alternative to the $4 Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 or $3, if Certain Other Listing Requirements Are Met Comments Due: View Received Comments Rel. No. 34-66830 , Rel. No. 34-66159 Federal Register version (77 FR 13680)
34-66500
March 1, 2012
SR-ICC-2012-01
Notice of Filing of Proposed Rule To Provide That One Hundred Percent (100%) of the Initial Margin Requirement for Client-related Positions Cleared in a Clearing Participant's Customer Account Origin May Be Satisfied by a Clearing Participant Utilizing US Treasuries Comments Due: Rel. No. 34-66825 Federal Register version (77 FR 13678)
34-66498
March 1, 2012
SR-CBOE-2012-020
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 13680)
34-66488
Feb. 29, 2012
SR-Phlx-2012-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity in Select Symbols Comments Due: Exhibit 5 Federal Register version (77 FR 13377)
34-66481
Feb. 28, 2012
SR-NYSEAmex-2012-10
Notice of Filing of Proposed Rule Change Amending NYSE Amex Rule 476A To Update Its "List of Equities Rule Violations and Fines Applicable Thereto" Comments Due: Exhibit 5 , Rel. No. 34-66809 Federal Register version (77 FR 13159)
34-66482
Feb. 28, 2012
SR-NYSEAMEX-2012-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Filing the Content Outline and Selection Specifications for the Proprietary Traders Qualification Examination ("Series 56") Program Comments Due: Federal Register version (77 FR 13170)
34-66484
Feb. 28, 2012
SR-Phlx-2012-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Adopt an Administrative Fee for the Payment for Order Flow Program Comments Due: Exhibit 5 Federal Register version (77 FR 13162)
34-66483
Feb. 28, 2012
SR-NYSEARCA-2012-016
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Filing the Content Outline and Selection Specifications for the Proprietary Traders Qualification Examination ("Series 56") Program Comments Due: Federal Register version (77 FR 13168)
34-66485
Feb. 28, 2012
SR-FICC-2012-01
Notice of Filing of Proposed Rule Change To Make a Technical Correction to the Rule Relating to the Calculation of Funds-Only Settlement Amounts for Repo Brokers Comments Due: Rel. No. 34-66785 Federal Register version (77 FR 13164)
34-66486
Feb. 28, 2012
SR-CBOE-2012-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule of Market Data Express, LLC Comments Due: Exhibit 5 Federal Register version (77 FR 13166)
34-66487
Feb. 28, 2012
SR-C2-2012-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule of Market Data Express, LLC Comments Due: Exhibit 5 Federal Register version (77 FR 13165)
34-66471
Feb. 27, 2012
SR-ISE-2012-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Obvious Error Rule Comments Due: Federal Register version (77 FR 12900)
34-66472
Feb. 27, 2012
SR-C2-2012-008
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (77 FR 12898)
34-66463
Feb. 24, 2012
SR-NYSEAMEX-2012-12
Notice of Filing of Proposed Rule Change Amending the NYSE Amex Equities Definition of Approved Person To Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes Comments Due: Exhibit 5 , Rel. No. 34-66710 Federal Register version (77 FR 12637)
34-66462
Feb. 24, 2012
SR-NYSE-2012-06
Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person To Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes Comments Due: Exhibit 5 , Rel. No. 34-66709 Federal Register version (77 FR 12626)
34-66464
Feb. 24, 2012
SR-NYSEAmex-2011-84
Notice of Filing of Partial Amendment No. 2 to Proposed Rule Changes, as Modified by Amendment No. 1, Adopting New Rule 107C To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchanges File Nos.: Comments Due: View Received Comments Rel. No. 34-79587 , Rel. No. 34-70085 , Rel. No. 34-67347 , Rel. No. 34-66928 , Rel. No. 34-66346 , Rel. No. 34-66003 , Rel. No. 34-65672 , Rel. No. 34-65671 Federal Register version (77 FR 12629)
34-66464
Feb. 24, 2012
SR-NYSE-2011-55
Notice of Filing of Partial Amendment No. 2 to Proposed Rule Changes, as Modified by Amendment No. 1, Adopting New Rule 107C To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchanges File Nos.: Comments Due: View Received Comments Rel. No. 34-79587 , Rel. No. 34-70085 , Rel. No. 34-67347 , Rel. No. 34-66928 , Rel. No. 34-66346 , Rel. No. 34-66003 , Rel. No. 34-65672 , Rel. No. 34-65671 Federal Register version (77 FR 12629)
34-66465
Feb. 24, 2012
SR-FINRA-2012-009
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 4(c) of Schedule A to the FINRA By-Laws To Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States Comments Due: Federal Register version (77 FR 12635)
34-66450
Feb. 23, 2012
SR-NYSEAmex-2012-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Correcting the Formatting of a Recently Adopted NYSE Amex Rule Comments Due: Exhibit 5 Federal Register version (77 FR 12339)
34-66453
Feb. 23, 2012
SR-NYSEAMEX-2012-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Registration Requirements for Traders Comments Due: Exhibit 5 Federal Register version (77 FR 12345)
34-66451
Feb. 23, 2012
SR-Phlx-2012-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (77 FR 12624)
34-66452
Feb. 23, 2012
SR-NYSEARCA-2012-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Registration Requirements for Traders and Removing Obsolete References to Paper Registration Submissions Comments Due: Exhibit 5 Federal Register version (77 FR 12347)
34-66449
Feb. 23, 2012
SR-CBOE-2012-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct Rule Numbering Errors Comments Due: Federal Register version (77 FR 12337)
34-66438
Feb. 22, 2012
SR-Phlx-2012-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain External and Inter-Cabinet Connectivity Fees Comments Due: Exhibit 5 Federal Register version (77 FR 12100)
34-66440
Feb. 22, 2012
SR-BX-2012-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain External and Inter-Cabinet Connectivity Fees Comments Due: Exhibit 5 Federal Register version (77 FR 12094)
34-66439
Feb. 22, 2012
SR-NASDAQ-2012-025
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain External and Inter-Cabinet Connectivity Fees Comments Due: Exhibit 5 Federal Register version (77 FR 12096)
34-66441
Feb. 22, 2012
SR-FINRA-2012-011
Notice of Filing of Proposed Rule Change Relating to Mediator Selection Comments Due: View Received Comments Rel. No. 34-67040 Federal Register version (77 FR 12098)
34-66442
Feb. 22, 2012
SR-FINRA-2012-012
Notice of Filing of Proposed Rule Change Relating To Raising the Limit for Simplified Arbitration Comments Due: View Received Comments Rel. No. 34-66913 Federal Register version (77 FR 12092)
34-66427
Feb. 21, 2012
SR-BATS-2012-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rebates for the Competitive Liquidity Provider Program Comments Due: Federal Register version (77 FR 11608)
34-66426
Feb. 21, 2012
SR-Phlx-2012-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule to Define a Market Maker Comments Due: Exhibit 5 Federal Register version (77 FR 11615)
34-66429
Feb. 21, 2012
SR-Phlx-2012-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Modify Connectivity Options and Fees Comments Due: Exhibit 5 Federal Register version (77 FR 11611)
34-66428
Feb. 21, 2012
SR-NASDAQ-2012-028
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Connectivity Options and Fees Comments Due: Exhibit 5 Federal Register version (77 FR 11602)
34-66431
Feb. 21, 2012
SR-NASDAQ-2012-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing of Strike Prices Comments Due: Exhibit 5 Federal Register version (77 FR 11604)
34-66432
Feb. 21, 2012
SR-ISE-2012-08
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Short Term Option Series Program Comments Due: View Received Comments Exhibit 5 Federal Register version (77 FR 11614)
34-66434
Feb. 21, 2012
SR-ICEEU-2012-02
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Procedures Related to Certain Technical and Operational Changes Relating to Operational Processing of Restructuring Credit Events Under CDS Contracts Comments Due: Federal Register version (77 FR 11607)
34-66422
Feb. 17, 2012
SR-BATS-2012-010
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 11179)
34-66421
Feb. 17, 2012
SR-NYSE-2012-05
Notice of Filing of Proposed Rule Change Amending NYSE Rule 476A To Update Its "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A" Comments Due: Exhibit 5 , Rel. No. 34-66758 Federal Register version (77 FR 11181)
34-66412
Feb. 16, 2012
SR-NYSEAMEX-2012-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Amex Equities Rule 319, Which Addresses Fidelity Bond Requirements, and Adopt New Rule Text That Is Substantially Similar to FINRA Rule 4360 Comments Due: Federal Register version (77 FR 10791)
34-66410
Feb. 16, 2012
SR-CHX-2012-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee Schedule To Provide for a New Cross Connection Charge and Waive Monthly Fees at its New Facility Until April 1, 2012 Comments Due: Federal Register version (77 FR 10792)
34-66407
Feb. 16, 2012
SR-Phlx-2012-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correction of Exchange Rule 705 (Fidelity Bonds) Comments Due: Federal Register version (77 FR 10787)
34-66411
Feb. 16, 2012
SR-NYSE-2012-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 319 and its Interpretation, Which Address Fidelity Bond Requirements, and Adopt New Rule Text That Is Substantially Similar to FINRA Rule 4360 Comments Due: Federal Register version (77 FR 10788)
34-66414
Feb. 16, 2012
SR-BX-2012-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BX Rule 7021 Comments Due: Federal Register version (77 FR 11184)
34-66409
Feb. 16, 2012
SR-NASDAQ-2012-027
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Federal Register version (77 FR 10794)
34-66406
Feb. 16, 2012
SR-ISE-2012-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Complex Orders Executed on the Exchange Comments Due: Exhibit 5 Federal Register version (77 FR 10579)
34-66413
Feb. 16, 2012
SR-DTC-2012-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Automate the "Full Call" Notification Process Relating to Money Market Instruments and Reduce the Time Frame Within Which Notices Are Required To Be Submitted Comments Due: Federal Register version (77 FR 11175)
34-66402
Feb. 15, 2012
SR-EDGX-2012-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Offering of a New Historical Data Feed Service to Members and Non-Members Comments Due: Exhibit 5 Federal Register version (77 FR 10595)
34-66403
Feb. 15, 2012
SR-EDGA-2012-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Offering of a New Historical Data Feed Service to Members and Non-Members Comments Due: Exhibit 5 Federal Register version (77 FR 10593)
34-66400
Feb. 15, 2012
SR-NYSEAmex-2012-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 123C(4) To Provide for How Certain Interest Is Included in the Calculation of MOC and LOC Imbalances Comments Due: Exhibit 5 Federal Register version (77 FR 10584)
34-66401
Feb. 15, 2012
SR-NYSE-2012-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 123C(4) To Provide for How Certain Interest Is Included in the Calculation of MOC and LOC Imbalances Comments Due: Exhibit 5 Federal Register version (77 FR 10581)
34-66398
Feb. 15, 2012
SR-NSCC-2012-02
Notice of Filing of Proposed Rule Change To Enhance Its Margining Methodology as Applied to Municipal and Corporate Bonds Comments Due: Rel. No. 34-66731 Federal Register version (77 FR 10589)
34-66399
Feb. 15, 2012
SR-NSCC-2012-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Technical Correction With Respect to the Excess Capital Premium as Set Forth in Procedure XV (Clearing Fund Formula) of NSCC's Rules and Procedures Comments Due: Federal Register version (77 FR 10591)
34-66391
Feb. 14, 2012
SR-CHX-2012-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Implement a Clearing Submission Fee Credit for Institutional Brokers Comments Due: Federal Register version (77 FR 10013)
34-66390
Feb. 14, 2012
SR-NYSEArca-2012-10
Notice of Filing of Proposed Rule Change Relating To Listing and Trading of Shares of the BNP Paribas S&P Dynamic Roll Global Commodities Fund Under NYSE Arca Equities Rule 8.200 Comments Due: Rel. No. 34-66717 Federal Register version (77 FR 10005)
34-66392
Feb. 14, 2012
SR-ISE-2012-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Complex Orders Executed on the Exchange Comments Due: Exhibit 5 Federal Register version (77 FR 10016)
34-66394
Feb. 14, 2012
SR-CBOE-2012-005
Notice of Filing of a Proposed Rule Change Related to Stock-Option Processing Comments Due: Rel. No. 34-66759 Federal Register version (77 FR 10026)
34-66393
Feb. 14, 2012
SR-C2-2012-004
Notice of Filing of a Proposed Rule Change Related to Stock-Option Processing Comments Due: Rel. No. 34-66760 Federal Register version (77 FR 10020)
34-66385
Feb. 13, 2012
SR-NYSEAmex-2012-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide for "Self-Trade Prevention" on the Exchange Comments Due: Exhibit 5 Federal Register version (77 FR 9719)
34-66386
Feb. 13, 2012
SR-NYSEArca-2012-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide for "Self-Trade Prevention" on the Exchange Comments Due: Exhibit 5 Federal Register version (77 FR 9721)
34-66384
Feb. 13, 2012
SR-C2-2012-006
Notice of Filing of a Proposed Rule Change Relating to Its Automated Improvement Mechanism Comments Due: Rel. No. 34-66677 Federal Register version (77 FR 9717)
34-66383
Feb. 10, 2012
SR-EDGX-2012-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 1.5(q) Comments Due: Federal Register version (77 FR 9714)
34-66380
Feb. 10, 2012
SR-BATS-2012-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.23 Relating to Auctions of Exchange-Listed Securities Comments Due: Exhibit 5 Federal Register version (77 FR 9279)
34-66376
Feb. 10, 2012
SR-NYSEAmex-2012-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending an Existing Rebate Relating to Qualified Contingent Cross Orders That Are Entered and Executed Through the Exchange Systems Comments Due: Exhibit 5 Federal Register version (77 FR 9293)
34-66377
Feb. 10, 2012
SR-NYSEArca-2012-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the NYSE Arca Options Fee Schedule Relating to Post Liquidity Credits Comments Due: Exhibit 5 Federal Register version (77 FR 9288)
34-66378
Feb. 10, 2012
SR-NYSEArca-2012-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fee Schedule To Increase the Investor Tier 1 Credit for ETP Holders and Market Makers Comments Due: Exhibit 5 Federal Register version (77 FR 9278)
34-66379
Feb. 10, 2012
SR-NYSEArca-2012-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fee Schedule Increasing the Indication of Interest Tier 1 Credit and the Tracking Order Tier 1 Credit for ETP Holders and Market Makers Comments Due: Exhibit 5 Federal Register version (77 FR 9277)
