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-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)
34-66981
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)
34-66983
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)
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)
