34-66643
March 22, 2012
SR-EDGA-2012-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Inbound Router, as Described in EDGA Rule 2.12(b) Comments Due: Exhibit 5 Federal Register version (77 FR 18876)
34-66645
March 22, 2012
SR-PHLX-2012-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Proprietary Traders Qualification Examination ("Series 56") Comments Due: Federal Register version (77 FR 19042)
34-66642
March 22, 2012
SR-NYSEArca-2012-19
Notice of Filing of Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 6.35 Comments Due: Exhibit 5 , Rel. No. 34-66945 , Rel.34-67248 Federal Register version (77 FR 18875)
34-66641
March 21, 2012
SR-CME-2012-05
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Its Rules Relating to Interest Rate Swaps Clearing Comments Due: Federal Register version (77 FR 18288)
34-66635
March 21, 2012
SR-NSCC-2012-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 53 of Its Rules and Procedures Relating to the Alternative Investment Product Services To Standardize and Automate the Method by Which Registered AIP Broker-Dealer Members Meet Their Good Control Location Obligations for Uncertificated Securities Comments Due: Federal Register version (77 FR 18283)
34-66636
March 21, 2012
SR-NASDAQ-2012-035
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Assess a Fee for the QView Service Comments Due: Federal Register version (77 FR 18280)
34-66637
March 21, 2012
SR-CBOE-2012-028
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Comments Due: Federal Register version (77 FR 18282)
34-66639
March 21, 2012
SR-C2-2012-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Comments Due: Federal Register version (77 FR 18287)
34-66627
March 20, 2012
SR-NYSEARCA-2012-18
Notice of Filing of Proposed Rule Change To List and Trade Shares of the APMEX Physical-1 oz. Gold Redeemable Trust Pursuant to NYSE Arca Equities Rule 8.201 Comments Due: Rel. No. 34-66930 Federal Register version (77 FR 17539)
34-66625
March 20, 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. 34-66954 Federal Register version (77 FR 17548)
34-66623
March 20, 2012
SR-ISE-2012-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (77 FR 17531)
34-66629
March 20, 2012
SR-ICEEU-2012-05
Notice of Filing of Proposed Rule Change To Amend the ICE Clear Europe CDS Procedures, Finance Procedures, and Rules With Respect to the Calculation and Payment of Interest on Mark-To-Market Margin on CDS Transactions Comments Due: Rel. No. 34-66911 Federal Register version (77 FR 17537)
34-66631
March 20, 2012
SR-ICC-2012-03
Notice of Filing of Proposed Rule Change to Its Risk Model To Reduce the Current Level of Risk Mutualization Among Its Clearing Participants and To Modify the Initial Margin Risk Model so That It Is Easier for Market Participants To Measure Their Risk Comments Due: Rel. No. 34-66916 Federal Register version (77 FR 17536)
34-66630
March 20, 2012
SR-DTC-2012-02
Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Issuance of and Maturity Presentment Processing for Money Market Instruments Comments Due: Rel. No. 34-66919 Federal Register version (77 FR 17534)
34-66617
March 19, 2012
SR-ISE-2012-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Order Type Comments Due: Federal Register version (77 FR 17102)
34-66615
March 16, 2012
SR-BX-2012-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Fee Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 16877)
34-66614
March 16, 2012
SR-ISE-2012-22
Notice of Filing of Proposed Rule Change To Add an Index Option Product for Trading on the Exchange Comments Due: View Received Comments Exhibit 5 , 34-68247 , 34-67865 , 34-67225 , 34-66889 Federal Register version (77 FR 16883)
34-66601
March 15, 2012
SR-CME-2012-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Additional Series of Credit Default Index Swaps Available for Clearing Comments Due: Federal Register version (77 FR 16572)
34-66610
March 15, 2012
SR-Phlx-2012-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Certain Select Symbols From the Rebates and Fees for Adding and Removing Liquidity in Select Symbols Comments Due: Exhibit 5 Federal Register version (77 FR 16888)
34-66609
March 15, 2012
SR-CBOE-2012-024
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Telemarketing Rules Comments Due: Federal Register version (77 FR 16574)
34-66599
March 14, 2012
SR-NYSEAmex-2012-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fee Changes Relating to Trading Nasdaq Securities Pursuant to Unlisted Trading Privileges Comments Due: Exhibit 5 Federal Register version (77 FR 16302)
34-66593
March 14, 2012
SR-Phlx-2012-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the 100MB Connectivity Option and Fee Comments Due: Exhibit 5 Federal Register version (77 FR 16307)
34-66602
March 14, 2012
SR-Phlx-2012-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptable Complex Execution ("ACE") Parameter Order Protection Feature Comments Due: Federal Register version (77 FR 16579)
34-66600
March 14, 2012
SR-NYSE-2012-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Changes to the Transaction Fees and Credits Within the New York Stock Exchange Price List Comments Due: Exhibit 5 Federal Register version (77 FR 16298)
34-66592
March 14, 2012
SR-BX-2012-018
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the 100MB Connectivity Option and Fee Comments Due: Exhibit 5 Federal Register version (77 FR 16288)
34-66591
March 14, 2012
SR-NASDAQ-2012-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the 100MB Connectivity Option and Fee Comments Due: Exhibit 5 Federal Register version (77 FR 16309)
34-66589
March 14, 2012
SR-ISE-2012-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Route-Out Fee for Priority Customer Orders Comments Due: Exhibit 5 Federal Register version (77 FR 16311)
34-66590
March 14, 2012
SR-ISE-2012-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to API Fees Comments Due: Exhibit 5 Federal Register version (77 FR 16287)
34-66595
March 14, 2012
SR-ISE-2012-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Telemarketing Rules Comments Due: Federal Register version (77 FR 16290)
34-66596
March 14, 2012
SR-ISE-2012-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Certain Rebates for Certain Complex Orders Comments Due: Exhibit 5 Federal Register version (77 FR 16304)
34-66597
March 14, 2012
SR-ISE-2012-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Transaction Fees Comments Due: Exhibit 5 Federal Register version (77 FR 16295)
34-66580
March 13, 2012
SR-BATS-2012-012
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 14.3, Entitled "General Procedures and Prerequisites for Initial and Continued Listing on the Exchange" Comments Due: Exhibit 5 Federal Register version (77 FR 16110)
34-66583
March 13, 2012
SR-Phlx-2012-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Price Improvement XL ("PIXLSM Comments Due: Federal Register version (77 FR 16108)
34-66584
March 13, 2012
SR-Phlx-2012-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Options Fees Comments Due: Exhibit 5 Federal Register version (77 FR 16283)
34-66582
March 13, 2012
SR-ISE-2012-16
Notice of Filing of Proposed Rule Change To Amend ISE Rule 722 (Complex Orders) To Provide Its Members With a Choice in Executing Broker-Dealers for the Stock Leg(s) of Stock-Option Orders Comments Due: Rel. No. 34-66880 Federal Register version (77 FR 16106)
34-66581
March 13, 2012
SR-ICEEU-2012-04
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 Europe Limited Comments Due: Rel. No. 34-66862 Federal Register version (77 FR 16105)
34-66571
March 12, 2012
SR-BATS-2012-013
Notice of Filing of Proposed Rule Change by BATS Exchange, Inc. to Amend BATS Rule 2.12, Entitled "BATS Trading, Inc. as Inbound Router" Comments Due: Rel. No. 34-66808 Federal Register version (77 FR 15153)
34-66572
March 12, 2012
SR-BYX-2012-006
Notice of Filing of Proposed Rule Change by BATS Y-Exchange, Inc. To Amend BYX Rule 2.12, Entitled "BATS Trading, Inc. as Inbound Router" Comments Due: Rel. No. 34-66807 Federal Register version (77 FR 15152)
34-66577
March 12, 2012
SR-FINRA-2012-020
Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA Comments Due: Exhibit 5 , Rel. No. 34-66829 Federal Register version (77 FR 15827)
34-66574
March 12, 2012
SR-FICC-2012-02
Notice of Filing of Proposed Rule Change To Remove Functionality in the Government Securities Division's Rules That Is No Longer Utilized by Participants Comments Due: Rel. No. 34-66856 Federal Register version (77 FR 15822)
34-66558
March 9, 2012
SR-EDGX-2012-06
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 15432)
34-66565
March 9, 2012
SR-EDGX-2012-07
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 15422)
34-66554
March 9, 2012
SR-CME-2012-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Applicable to Its OTC Interest Rate Swap Clearing Offering Comments Due: Federal Register version (77 FR 15447)
34-66557
March 9, 2012
SR-EDGA-2012-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.9 Comments Due: Exhibit 5 Federal Register version (77 FR 15405)
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)
