34-66130
Jan. 11, 2012
SR-EDGA-2011-42
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 2581)
34-66139
Jan. 11, 2012
SR-CHX-2012-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee Schedule To Assess Fees for Derivative Securities Products Comments Due: Federal Register version (77 FR 2583)
34-66145
Jan. 11, 2012
SR-Phlx-2011-189
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 2579)
34-66132
Jan. 11, 2012
SR-NYSEArca-2011-99
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Arca Equities Rule 7.11, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, To Extend the Effective Date of the Pilot Until July 31, 2012 Comments Due: Exhibit 5 Federal Register version (77 FR 2577)
34-66135
Jan. 11, 2012
SR-NYSEArca-2011-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 7.10, Which Governs Clearly Erroneous Executions, To Extend the Effective Date of the Pilot by Which Portions of Such Rule Operate Until July 31, 2012 Comments Due: Exhibit 5 Federal Register version (77 FR 2590)
34-66134
Jan. 11, 2012
SR-NYSE-2011-68
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, To Extend the Effective Date of the Pilot Until July 31, 2012 Comments Due: Exhibit 5 Federal Register version (77 FR 2592)
34-66136
Jan. 11, 2012
SR-NYSE-2011-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Which Governs Clearly Erroneous Executions, to Extend the Effective Date of The Pilot by Which Portions of Such Rule Operate Until July 31, 2012 Comments Due: Exhibit 5 Federal Register version (77 FR 2589)
34-66138
Jan. 11, 2012
SR-NYSE-2011-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List To Revise Its Schedule of Rebates Paid to Designated Market Makers for Providing Liquidity on the Exchange and To Delete References to Round and Odd Lot Transactions Comments Due: Exhibit 5 Federal Register version (77 FR 2585)
34-66131
Jan. 11, 2012
SR-C2-2011-043
Notice of Filing of a Proposed Rule Change Relating to Changes to Rule 6.51 Comments Due: Federal Register version (77 FR 2595)
34-66140
Jan. 11, 2012
SR-C2-2012-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (77 FR 2772)
34-66125
Jan. 10, 2012
SR-EDGA-2011-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 1.5(q) Comments Due: Exhibit 5 Federal Register version (77 FR 2329)
34-66122
Jan. 10, 2012
SR-Phlx-2011-186
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 2328)
34-66128
Jan. 10, 2012
SR-NYSEArca-2011-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the NYSE Arca Integrated Data Feed Comments Due: View Received Comments Federal Register version (77 FR 2331)
34-66126
Jan. 10, 2012
SR-NASDAQ-2012-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate To Add Liquidity in Penny Pilot Options Comments Due: View Received Comments Exhibit 5 Federal Register version (77 FR 2335)
34-66124
Jan. 10, 2012
SR-FICC-2008-01
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Allow the Mortgage-Backed Securities Division To Provide Guaranteed Settlement and Central Counterparty Services Comments Due: View Received Comments Rel. No. 34-66550 , Rel. No. 34-65899 , Rel. No. 34-65899A Federal Register version (77 FR 2103)
34-66120
Jan. 9, 2012
SR-BATS-2011-053
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 2108)
34-66118
Jan. 9, 2012
SR-CHX-2011-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Rule Regarding the Brokerplex Order Entry, Recordation, and Management System Comments Due: Federal Register version (77 FR 2103)
34-66121
Jan. 9, 2012
SR-NASDAQ-2012-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Federal Register version (77 FR 2106)
34-66119
Jan. 9, 2012
SR-CBOE-2011-126
Notice of Filing of a Proposed Rule Change Relating to the CBOE Stock Exchange Request for Quote Rules Comments Due: Rel. No. 34-66408 Federal Register version (77 FR 2112)
34-66115
Jan. 6, 2012
SR-NYSEArca-2011-101
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Replacing Numerical Thresholds With Percentage Thresholds for the Investor Tiers' Volume Requirements Comments Due: Exhibit 5 Federal Register version (77 FR 1969)
34-66116
Jan. 6, 2012
SR-BX-2012-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove References to the Russell 2000 Index (RUT) Comments Due: Exhibit 5 Federal Register version (77 FR 1968)
34-66102
Jan. 5, 2012
SR-CME-2011-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Certain Fee Programs in Connection With Its OTC Interest Rate Swap Clearing Offering Comments Due: Federal Register version (77 FR 1775)
34-66104
Jan. 5, 2012
SR-NYSEAmex-2011-107
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Changing the Monthly Fees for the Use of Ports That Provide Connectivity to Its Equity Trading Systems Comments Due: Exhibit 5 Federal Register version (77 FR 1771)
34-66111
Jan. 5, 2012
SR-Phlx-2011-187
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive PSX Port Pair Fees for Certain Newly-Added Routable Port Pairs Comments Due: Federal Register version (77 FR 1764)
34-66110
Jan. 5, 2012
SR-NYSEArca-2012-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fee Schedule Changing the Monthly Fees for the Use of Ports That Provide Connectivity to Its Equity Trading Systems Comments Due: Exhibit 5 Federal Register version (77 FR 1766)
34-66106
Jan. 5, 2012
SR-NYSE-2011-73
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC To Amend the Schedule of Rebates Paid to Supplemental Liquidity Providers for Providing Liquidity Comments Due: Exhibit 5 Federal Register version (77 FR 1769)
34-66108
Jan. 5, 2012
SR-NYSE-2011-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to (1) Adopting a Trading License Fee for Calendar Year 2012 and (2) Eliminating the NYSE E-Broker Hand Held Device Fee and the NYSE E-Broker Hand Held Device-Opening and Closing Order Imbalances Only (Together the "Hand Held Device Fees"), the Fee for Approval of a Pre-Qualified Substitute, and the Badge Maintenance Fee Comments Due: Exhibit 5 Federal Register version (77 FR 1768)
34-66103
Jan. 5, 2012
SR-ISE-2011-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options Comments Due: Exhibit 5 Federal Register version (77 FR 1757)
34-66109
Jan. 5, 2012
SR-FINRA-2011-075
Notice of Filing of Proposed Rule Change To Amend the Code of Arbitration Procedure for Industry Disputes To Preclude Collective Action Claims From Being Arbitrated Comments Due: View Received Comments Rel. No. 34-66774 Federal Register version (77 FR 1773)
34-66099
Jan. 4, 2012
SR-Phlx-2011-184
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Rebates and Fees for Adding and Removing Liquidity in Select Symbols Comments Due: Exhibit 5 Federal Register version (77 FR 1534)
34-66100
Jan. 4, 2012
SR-Phlx-2011-185
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Rebates and Fees for Adding and Removing Liquidity in Select Symbols Comments Due: View Received Comments Exhibit 5 Federal Register version (77 FR 1532)
34-66094
Jan. 4, 2012
SR-NYSEARCA-2011-103
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Implementation Date of the NYSE Arca Equities Rule 7400 Series, the Order Audit Trail System Rules, for Equity Trading Permit Holders That Are Not Financial Industry Regulatory Authority Members to March 31, 2012 Comments Due: Federal Register version (77 FR 1545)
34-66098
Jan. 4, 2012
SR-NYSEArca-2011-97
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the Teucrium Agriculture Fund Under NYSE Arca Equities Rule 8.200 Comments Due: Rel. No. 34-66466 Federal Register version (77 FR 1526)
34-66093
Jan. 4, 2012
SR-BX-2011-086
Notice of Filing and Immediate Effectiveness of a Proposal To Amend the Definition of Theoretical Price Comments Due: Exhibit 5 Federal Register version (77 FR 1543)
34-66092
Jan. 4, 2012
SR-NASDAQ-2011-175
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center Comments Due: Federal Register version (77 FR 1542)
34-66095
Jan. 4, 2012
SR-NASDAQ-2011-174
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Fee Pilot Program for NASDAQ Last Sale Comments Due: Federal Register version (77 FR 1537)
34-66083
Jan. 3, 2012
SR-CME-2011-19
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Comply With New CFTC DCO Regulations Comments Due: Federal Register version (77 FR 1114)
34-66077
Jan. 3, 2012
SR-Phlx-2011-179
Notice of Filing of Proposed Rule Change Relating to the MSCI EM Index Comments Due: Exhibit 5 , Rel. No. 34-66420 Federal Register version (77 FR 829)
34-66079
Jan. 3, 2012
SR-Phlx-2011-178
Notice of Filing of Proposed Rule Change Relating to Stock Execution Clerks Comments Due: Exhibit 5 , Rel. No. 34-66430 Federal Register version (77 FR 1099)
34-66085
Jan. 3, 2012
SR-Phlx-2011-180
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Rebates and Fees for Adding and Removing Liquidity in Select Symbols Comments Due: Exhibit 5 Federal Register version (77 FR 1106)
34-66086
Jan. 3, 2012
SR-Phlx-2011-181
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Access Service Fees Comments Due: Exhibit 5 Federal Register version (77 FR 1111)
34-66087
Jan. 3, 2012
SR-Phlx-2011-182
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the PHLX Market Exhaust Functionality Comments Due: Federal Register version (77 FR 1095)
34-66081
Jan. 3, 2012
SR-OCC-2011-18
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to DCO 60 Day Regulations Comments Due: Federal Register version (77 FR 1116)
34-66090
Jan. 3, 2012
SR-OCC-2011-19
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Clearance and Settlement of Over-the-Counter Options Comments Due: View Received Comments Federal Register version (77 FR 1107)
34-66078
Jan. 3, 2012
SR-NASDAQ-2011-173
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for the Trading and Compliance Data Package Comments Due: Federal Register version (77 FR 1125)
34-66084
Jan. 3, 2012
SR-ISE-2011-84
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 1103)
34-66080
Jan. 3, 2012
SR-FINRA-2011-073
Notice of Filing of Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee Comments Due: View Received Comments Rel. No. 34-66454 Federal Register version (77 FR 1119)
34-66082
Jan. 3, 2012
SR-C2-2011-041
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule With Respect to Public Customer Maker/Taker Fee (Rebate) and Connectivity Charges Comments Due: Federal Register version (77 FR 1101)
34-66074
Dec. 30, 2011
SR-BX-2011-088
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive BX Port Pair Fees for Certain Newly-Added Routable Port Pairs Comments Due: Federal Register version (77 FR 832)
34-66075
Dec. 30, 2011
SR-C2-2011-042
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Exchange's Automated Improvement Mechanisms Comments Due: Federal Register version (77 FR 1098)
34-66067
Dec. 29, 2011
SR-CBOE-2011-127
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 518)
34-66061
Dec. 28, 2011
SR-CHX-2011-34
Notice of Filing of Proposed Rule Change Regarding Suspension of a Participant's Trading Privileges on the Exchange Comments Due: Federal Register version (77 FR 312)
34-66062
Dec. 28, 2011
SR-NYSEArca-2011-98
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Arca Equities Rule 7.31(w)(1) To Remove the PNP Plus Order Type Comments Due: Federal Register version (77 FR 3026)
34-66063
Dec. 28, 2011
SR-DTC-2011-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fees for Equity and Debt Derivatives Comments Due: Federal Register version (77 FR 315)
34-66059
Dec. 27, 2011
SR-NYSE-2011-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending for an Additional 12 Months the Pilot Program That Provides an Exception to NYSE Rule 2B by Permitting the Exchange's Equity Ownership Interest in BIDS Holdings L.P. Comments Due: Federal Register version (77 FR 145)
34-66040
Dec. 23, 2011
SR-NYSEAmex-2011-104
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 500 To Extend the Operation of the Pilot Program That Allows Nasdaq Stock Market Securities To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2012 Comments Due: Federal Register version (76 FR 82324)
34-66041
Dec. 23, 2011
SR-NYSEAmex-2011-103
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Under Rule 107B Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2012 Comments Due: Federal Register version (76 FR 82328)
34-66042
Dec. 23, 2011
SR-NYSEAmex-2011-102
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2012 Comments Due: Federal Register version (76 FR 82326)
34-66043
Dec. 23, 2011
SR-NYSEAmex-2011-101
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rules 504 and 509 To Modify the Quoting Requirements Applicable to Designated Market Maker Units Registered in Nasdaq Stock Market Securities Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Comments Due: Federal Register version (76 FR 82329)
34-66044
Dec. 23, 2011
SR-NYSEAmex-2011-100
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 103B, Which Governs the Allocation of Securities to DMMs Comments Due: Federal Register version (76 FR 82344)
34-66045
Dec. 23, 2011
SR-NYSE-2011-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Under Rule 107B Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2012 Comments Due: Federal Register version (76 FR 82342)
34-66046
Dec. 23, 2011
SR-NYSE-2011-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2012 Comments Due: Federal Register version (76 FR 82340)
34-66047
Dec. 23, 2011
SR-NYSE-2011-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 103B, Which Governs the Allocation of Securities to DMMs Comments Due: Exhibit 5 Federal Register version (76 FR 82339)
34-66049
Dec. 23, 2011
SR-FINRA-2011-035
Notice of Filing of Amendment No. 2 to Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2210 (Communications With the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications With the Public Regarding Security Futures), and 2216 (Communications With the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-66681 , Rel. No. 34-65663 , Rel. No. 34-64984 Federal Register version (76 FR 82014)
34-66050
Dec. 23, 2011
SR-FINRA-2011-071
Notice of Filing of Proposed Rule Change To Increase the Trading Activity Fee Rate for Transactions in Covered Equity Securities Comments Due: Rel. No. 34-66276 Federal Register version (76 FR 82334)
34-66048
Dec. 23, 2011
SR-CBOE-2011-116
Notice of Filing of a Proposed Rule Change Relating to Its Automated Improvement Mechanism Comments Due: Federal Register version (76 FR 82336)
34-66052
Dec. 23, 2011
SR-CBOE-2011-123
Notice of Filing of a Proposed Rule Change Related to FLEX Options Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-66702 Federal Register version (77 FR 306)
34-66054
Dec. 23, 2011
SR-CBOE-2011-120
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule Comments Due: Federal Register version (76 FR 82332)
34-66034
Dec. 22, 2011
SR-BATS-2011-051
Notice of Filing of Proposed Rule Change To Implement a Competitive Liquidity Provider Program Comments Due: Exhibit 5 , Rel. No. 34-66307 Federal Register version (76 FR 82011)
34-66029
Dec. 22, 2011
SR-CME-2011-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee Schedule Applicable to Its OTC Interest Rate Swap Clearing Offering Comments Due: Federal Register version (76 FR 82005)
34-66030
Dec. 22, 2011
SR-CME-2011-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee Schedule Applicable to Its OTC Credit Default Swap North American Index Clearing Offering Comments Due: Federal Register version (76 FR 82006)
34-66032
Dec. 22, 2011
SR-NYSEAmex-2011-99
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Amex Equities Rule 70 Comments Due: Exhibit 5 Federal Register version (76 FR 82009)
34-66037
Dec. 22, 2011
SR-Phlx-2011-177
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 (76 FR 82008)
34-66031
Dec. 22, 2011
SR-NYSE-2011-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Rule 70 Comments Due: Exhibit 5 Federal Register version (76 FR 82024)
34-66036
Dec. 22, 2011
SR-NYSE-2011-56
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers File Nos.: Comments Due: Rel. No. 34-67437 , Rel. No. 34-66981 , Rel. No. 34-66397 , Rel. No. 34-65736 , Rel. No. 34-65735 Federal Register version (76 FR 82011)
34-66036
Dec. 22, 2011
SR-NYSEAmex-2011-86
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers File Nos.: Comments Due: Rel. No. 34-67437 , Rel. No. 34-66981 , Rel. No. 34-66397 , Rel. No. 34-65736 , Rel. No. 34-65735 Federal Register version (76 FR 82011)
34-66033
Dec. 22, 2011
SR-FINRA-2011-074
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities Comments Due: Federal Register version (76 FR 82022)
34-66035
Dec. 22, 2011
SR-CBOE-2011-122
Notice of Filing of a Proposed Rule Change Related to FLEX Options Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-66348 Federal Register version (76 FR 82017)
34-66038
Dec. 22, 2011
SR-CBOE-2011-117
Notice of Filing of a Proposed Rule Change Relating to Its Automated Improvement Mechanism Comments Due: Rel. No. 34-66375 Federal Register version (76 FR 82016)
34-66018
Dec. 21, 2011
SR-FINRA-2011-072
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program Comments Due: Federal Register version (76 FR 81549)
34-66007
Dec. 20, 2011
SR-NSX-2011-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule Comments Due: Federal Register version (76 FR 81000)
34-66006
Dec. 20, 2011
SR-NYSEAmex-2011-97
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Amendment to NYSE Amex Rule 452 and Corresponding Section 723 of the Company Guide and Amex Rule 577 Relating to Discretionary Proxy Voting on Executive Compensation Matters Comments Due: Exhibit 5 Federal Register version (76 FR 80989)
34-66016
Dec. 20, 2011
SR-Phlx-2011-164
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fee Schedule for Co-Location Services Comments Due: Exhibit 5 Federal Register version (76 FR 80995)
34-66015
Dec. 20, 2011
SR-BX-2011-081
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Co-Location Services Comments Due: Exhibit 5 Federal Register version (76 FR 80996)
34-66010
Dec. 20, 2011
SR-NASDAQ-2011-160
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Co-Location Services Comments Due: Exhibit 5 Federal Register version (76 FR 80993)
34-66008
Dec. 20, 2011
SR-C2-2011-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program Comments Due: Federal Register version (76 FR 81002)
34-66004
Dec. 19, 2011
SR-Phlx-2011-155
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Stock Execution Clerks and the Trading Floor Personnel Registration Fee Comments Due: Exhibit 5 Federal Register version (76 FR 80442)
34-66005
Dec. 19, 2011
SR-Phlx-2011-174
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategy Executions and the Monthly Cap Comments Due: Exhibit 5 Federal Register version (76 FR 80444)
34-66002
Dec. 19, 2011
SR-NYSEARCA-2011-94
Notice of Filing of Proposed Rule Change To List and Trade Shares of the ProShares Managed Futures Strategy Fund, ProShares Commodity Managed Futures Strategy Fund and ProShares Financial Managed Futures Strategy Fund Under NYSE Arca Equities Rule 8.200 Comments Due: Rel. No. 34-66334 Federal Register version (76 FR 80433)
34-66003
Dec. 19, 2011
SR-NYSE-2011-55
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Adopting New NYSE Rule 107C To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchange for NYSE-listed Securities and New NYSE Amex Equities Rule 107C To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchange for NYSE Amex Equities Traded Securities File Nos.: Comments Due: View Received Comments Rel. No. 34-82228 , Rel. No. 34-79587 , Rel. No. 34-70085 , Rel. No. 34-67347 , Rel. No. 34-66928 , Rel. No. 34-66464 , Rel. No. 34-66346 , Rel. No. 34-65672 , Rel. No. 34-65671 Federal Register version (76 FR 80445)
34-66003
Dec. 19, 2011
SR-NYSEAmex-2011-84
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Adopting New NYSE Rule 107C To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchange for NYSE-listed Securities and New NYSE Amex Equities Rule 107C To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchange for NYSE Amex Equities Traded Securities File Nos.: Comments Due: View Received Comments Rel. No. 34-82228 , Rel. No. 34-79587 , Rel. No. 34-70085 , Rel. No. 34-67347 , Rel. No. 34-66928 , Rel. No. 34-66464 , Rel. No. 34-66346 , Rel. No. 34-65672 , Rel. No. 34-65671 Federal Register version (76 FR 80445)
34-65986
Dec. 16, 2011
SR-Phlx-2011-175
Notice of Filing of Proposed Rule Change Regarding Strike Price Intervals for SLV and USO Options Comments Due: Exhibit 5 , Rel. No. 34-66285 Federal Register version (76 FR 79748)
34-65990
Dec. 16, 2011
SR-OCC-2011-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Novation of Trades at OCC Comments Due: Federal Register version (76 FR 79731)
34-65988
Dec. 16, 2011
SR-NYSEARCA-2011-95
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the PIMCO Total Return Exchange Traded Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-66321 Federal Register version (76 FR 79741)
34-65995
Dec. 16, 2011
SR-NYSE-2011-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Bond Trading License and the Bond Liquidity Provider Pilot Program Until the Earlier of the Approval of the Securities and Exchange Commission to Make Such Pilot Permanent or January 19, 2013 Comments Due: Federal Register version (76 FR 79726)
34-65987
Dec. 16, 2011
SR-BX-2011-084
Notice of Filing of Proposed Rule Change Relating to Amending the BOX Trading Rules To Reduce the PIP From One Second to 100 Milliseconds Comments Due: Rel. No. 34-66306 Federal Register version (76 FR 79734)
34-65989
Dec. 16, 2011
SR-BX-2011-085
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Fee Schedule With Respect to the Delisting of the Russell 2000 Index Options (RUT) Comments Due: Exhibit 5 Federal Register version (76 FR 79737)
34-65992
Dec. 16, 2011
SR-MSRB-2011-19
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Consisting of Amendments to Rule G-16, on Periodic Compliance Examination, and Rule G-9, on Preservation of Record Comments Due: View Received Comments Rel. No. 34-65631 Federal Register version (76 FR 79738)
34-65993
Dec. 16, 2011
SR-DTC-2011-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating To Update DTC's Custody Service Guide Comments Due: Federal Register version (76 FR 79732)
34-65994
Dec. 16, 2011
SR-DTC-2011-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to DTC's Deposits Service Guide Comments Due: Federal Register version (76 FR 79725)
