34-65969
Dec. 15, 2011
SR-NASDAQ-2011-169
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted Comments Due: Federal Register version (76 FR 79268)
34-65958
Dec. 15, 2011
SR-ISE-2011-81
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 (76 FR 79236)
34-65968
Dec. 15, 2011
SR-ISE-2011-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Federal Register version (76 FR 79723)
34-65967
Dec. 15, 2011
SR-CBOE-2011-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program Comments Due: Federal Register version (76 FR 79243)
34-65972
Dec. 15, 2011
SR-CBOE-2011-125
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Weeklys Program Comments Due: Federal Register version (76 FR 79250)
34-65953
Dec. 14, 2011
SR-NYSEAMEX-2011-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting the Text of Financial Industry Regulatory Authority Rule 5210, Which Prohibits the Publication of Manipulative or Deceptive Quotations or Transactions, as NYSE Amex Equities Rule 5210 Comments Due: Exhibit 5 Federal Register version (76 FR 79728)
34-65955
Dec. 14, 2011
SR-NYSEARCA-2011-90
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting the Text of Financial Industry Regulatory Authority Rule 5210, Which Prohibits the Publication of Manipulative or Deceptive Quotations or Transactions, as NYSE Arca Equities Rule 5210 Comments Due: View Received Comments Exhibit 5 Federal Register version (76 FR 79238)
34-65954
Dec. 14, 2011
SR-NYSE-2011-61
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Adopting the Text of Financial Industry Regulatory Authority Rule 5210, Which Prohibits the Publication of Manipulative or Deceptive Quotations or Transactions, as NYSE Rule 5210 Comments Due: View Received Comments Exhibit 5 Federal Register version (76 FR 79260)
34-65943
Dec. 13, 2011
SR-NYSEAmex-2011-95
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 78704)
34-65945
Dec. 13, 2011
SR-Phlx-2011-171
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders Comments Due: Exhibit 5 Federal Register version (76 FR 78712)
34-65946
Dec. 13, 2011
SR-Phlx-2011-168
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Option Floor Broker Subsidy Comments Due: Exhibit 5 Federal Register version (76 FR 78710)
34-65940
Dec. 12, 2011
SR-Phlx-2011-162
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols Comments Due: Exhibit 5 Federal Register version (76 FR 78322)
34-65899A
Dec. 12, 2011
SR-FICC-2008-01
Notice of Filing of Proposed Rule Change To Allow the Mortgage-Backed Securities Division To Provide Guaranteed Settlement and Central Counterparty Services; Correction Comments Due: View Received Comments Rel. No. 34-66550 , Rel. No. 34-66124 , Rel. No. 34-65899 Federal Register version (76 FR 77865)
34-65939
Dec. 12, 2011
SR-CBOE-2011-119
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to a Complex Order Auction Feature Comments Due: Federal Register version (76 FR 78708)
34-65938
Dec. 12, 2011
SR-C2-2011-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to a Complex Order Auction Feature Comments Due: Federal Register version (76 FR 78706)
34-65928
Dec. 9, 2011
SR-NYSEAmex-2011-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 78063)
34-65933
Dec. 9, 2011
SR-NYSEAmex-2011-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 78062)
34-65689A
Dec. 9, 2011
SR-Phlx-2011-142
Notice of Filing of Proposed Rule Change To Modify Its Co-Location Fee Schedule Regarding Low Latency Network Connections; Correction Comments Due: Rel. No. 34-66011 , Rel. No. 34-65706 Federal Register version (76 FR 78055)
34-65924
Dec. 9, 2011
SR-Phlx-2011-167
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Permit Fee Comments Due: Exhibit 5 Federal Register version (76 FR 78055)
34-65925
Dec. 9, 2011
SR-Phlx-2011-166
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Permit Fees Comments Due: Exhibit 5 Federal Register version (76 FR 78064)
34-65934
Dec. 9, 2011
SR-Phlx-2011-170
Notice of Filing of Proposed Rule Change to Request Permanent Approval of the Pilot Program to Permit NASDAQ OMX PSX to Accept Inbound Orders that Nasdaq Execution Services, LLC Routes in its Capacity as a Facility of The NASDAQ Stock Market LLC Comments Due: Rel. No. 34-66178 Federal Register version (76 FR 78060)
34-65922
Dec. 9, 2011
SR-NYSEArca-2011-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Relating to Manual Orders Comments Due: Exhibit 5 Federal Register version (76 FR 78066)
34-65929
Dec. 9, 2011
SR-NASDAQ-2011-171
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Post-Only Order Comments Due: Federal Register version (76 FR 78057)
34-65931
Dec. 9, 2011
SR-NASDAQ-2011-168
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Option Fee Disputes Comments Due: Federal Register version (76 FR 78325)
34-65911
Dec. 8, 2011
SR-EDGA-2011-40
Notice of Filing of Proposed Rule Change To Amend EDGA Rule 11.9 Comments Due: Exhibit 5 , Rel. No. 34-66231 Federal Register version (76 FR 77877)
34-65917
Dec. 8, 2011
SR-Phlx-2011-143
Notice of Withdrawal of Proposed Rule Change To Modify Commentary .01 to Rule 1009 Regarding Criteria for Listing an Option on an Underlying Covered Security Comments Due: View Received Comments Rel. No. 34-65706 Federal Register version (76 FR 77877)
34-65912
Dec. 8, 2011
SR-BX-2011-082
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 (76 FR 77862)
34-65913
Dec. 8, 2011
SR-NASDAQ-2011-163
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Federal Register version (76 FR 77883)
34-65915
Dec. 8, 2011
SR-NASDAQ-2011-166
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4613(a)(2)(D) To Clarify That the Designated Percentage for Rights and Warrants Is Thirty Percent Comments Due: Federal Register version (76 FR 77863)
34-65916
Dec. 8, 2011
SR-ISE-2011-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to API Fees Comments Due: Exhibit 5 Federal Register version (76 FR 77881)
34-65914
Dec. 8, 2011
SR-CBOE-2011-114
Notice of Proposed Rule Change Related to Complex Order Processing in Hybrid 3.0 Classes Comments Due: Rel. No. 34-66235 Federal Register version (76 FR 77878)
34-65907
Dec. 7, 2011
SR-BATS-2011-049
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Federal Register version (76 FR 77576)
34-65906
Dec. 7, 2011
SR-NYSEArca-2011-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Comments Due: Exhibit 5 Federal Register version (76 FR 77859)
34-65903
Dec. 6, 2011
SR-EDGX-2011-37
Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGX Rule 11.9 Comments Due: Exhibit 5 Federal Register version (76 FR 77284)
34-65902
Dec. 6, 2011
SR-EDGA-2011-39
Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGA Rule 11.9 Comments Due: Exhibit 5 Federal Register version (76 FR 77286)
34-65897
Dec. 6, 2011
SR-Phlx-2011-163
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Federal Register version (76 FR 77277)
34-65898
Dec. 6, 2011
SR-ISE-2011-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Threshold Levels for Tier-Based Rebates for Qualified Contingent Cross Orders and Solicitation Orders Executed on the Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 77279)
34-65900
Dec. 6, 2011
SR-ISE-2011-82
Notice of Filing of Proposed Rule Change Relating to Legging Orders Comments Due: Rel. No. 34-66234 Federal Register version (76 FR 77275)
34-65896
Dec. 6, 2011
SR-FINRA-2011-067
Notice of Filing of Proposed Rule Change Relating to Whistleblower Claims in Arbitration Comments Due: View Received Comments Rel. No. 34-66575 Federal Register version (76 FR 77283)
34-65899
Dec. 6, 2011
SR-FICC-2008-01
Notice of Filing of 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. 34-66124 , Rel. No. 34-65899A Federal Register version (76 FR 77287)
34-65901
Dec. 6, 2011
SR-DTC-2011-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Existing Operational Arrangements Involving Eligibility of Securities Comments Due: View Received Comments Federal Register version (76 FR 77281)
34-65886
Dec. 5, 2011
SR-CME-2011-16
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Rules Relating to Its Cleared Only OTC FX Swap Offering Comments Due: Federal Register version (76 FR 77036)
34-65893
Dec. 5, 2011
SR-NYSEAmex-2011-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Its Rules an Existing Policy Related to the Application of NYSE Amex Options Rule 935NY Comments Due: Exhibit 5 Federal Register version (76 FR 77030)
34-65887
Dec. 5, 2011
SR-NYSEAmex-2011-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 72 Priority of Bids and Offers and Allocation of Executions Comments Due: Exhibit 5 Federal Register version (76 FR 77038)
34-65883
Dec. 5, 2011
SR-Phlx-2011-154
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Routing Fees for PSX Comments Due: Exhibit 5 Federal Register version (76 FR 77048)
34-65888
Dec. 5, 2011
SR-Phlx-2011-160
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Firm Related Equity Option Cap Comments Due: Exhibit 5 Federal Register version (76 FR 77046)
34-65894
Dec. 5, 2011
SR-NYSEArca-2011-89
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Its Rules an Existing Policy Related to the Application of NYSE Arca Options Rule 6.47A Comments Due: Exhibit 5 Federal Register version (76 FR 77044)
34-65889
Dec. 5, 2011
SR-NYSE-2011-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 72 Priority of Bids and Offers and Allocation of Executions Comments Due: Exhibit 5 Federal Register version (76 FR 77040)
34-65890
Dec. 5, 2011
SR-FINRA-2011-070
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend FINRA Rule 4512 (Customer Account Information) Comments Due: Federal Register version (76 FR 77034)
34-65864
Dec. 2, 2011
SR-NYSEAMEX-2011-90
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NYSE Rule 104(a)(1)(A) To Reflect That Designated Market Maker Unit Quoting Requirements Are Based on Consolidated Average Daily Volume Comments Due: Exhibit 5 Federal Register version (76 FR 76775)
34-65869
Dec. 2, 2011
SR-Phlx-2011-161
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality Comments Due: Federal Register version (76 FR 76793)
34-65870
Dec. 2, 2011
SR-OCC-2011-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow for the Clearing of Real Estate Index Futures Contracts Comments Due: Federal Register version (76 FR 76792)
34-65865
Dec. 2, 2011
SR-NYSE-2011-58
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NYSE Rule 104(a)(1)(A) To Reflect That Designated Market Maker Unit Quoting Requirements Are Based on Consolidated Average Daily Volume Comments Due: Exhibit 5 Federal Register version (76 FR 76799)
34-65866
Dec. 2, 2011
S7-24-89
Notice of Filing and Immediate Effectiveness of Amendment No. 26 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc. Comments Due: View Received Comments Federal Register version (76 FR 76455)
34-65876
Dec. 2, 2011
SR-BX-2011-078
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees for BX Comments Due: Exhibit 5 Federal Register version (76 FR 76781)
34-65867
Dec. 2, 2011
SR-BX-2011-080
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality Comments Due: Federal Register version (76 FR 76797)
34-65868
Dec. 2, 2011
SR-NASDAQ-2011-158
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality Comments Due: Federal Register version (76 FR 76795)
34-65873
Dec. 2, 2011
SR-NASDAQ-2011-164
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct NOM Rules Comments Due: Federal Register version (76 FR 76786)
34-65878
Dec. 2, 2011
SR-NASDAQ-2011-165
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Transaction Execution Fee and Credit Schedule in Rule 7018 Comments Due: Exhibit 5 Federal Register version (76 FR 77032)
34-65877
Dec. 2, 2011
SR-FINRA-2011-069
Notice of Filing of Proposed Rule Change Relating To Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA Comments Due: View Received Comments Rel. No. 34-66149 Federal Register version (76 FR 76777)
34-65871
Dec. 2, 2011
SR-DTC-2011-09
Notice of Filing of Proposed Rule Change To Modify a Practice in Order To Mitigate Systemic Risk, Specifically Liquidity Related, Associated With DTC End of Day Net Funds Settlement Comments Due: Rel. No. 34-66186 Federal Register version (76 FR 76790)
34-65875
Dec. 2, 2011
SR-CBOE-2011-112
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FLEX Transaction Fees Comments Due: Federal Register version (76 FR 76783)
34-65872
Dec. 2, 2011
SR-CBOE-2011-113
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trades for Less Than $1 Comments Due: Federal Register version (76 FR 76788)
34-65874
Dec. 2, 2011
SR-C2-2011-037
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (76 FR 76785)
34-65859
Dec. 1, 2011
SR-NYSEArca-2011-84
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Russell Global Opportunity ETF; Russell Bond ETF; and Russell Real Return ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-66345 Federal Register version (76 FR 76205)
34-65860
Dec. 1, 2011
SR-NYSEArca-2011-85
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of SPDR SSgA Real Assets ETF; SPDR SSgA Income Allocation ETF; SPDR SSgA Conservative Global Allocation ETF; SPDR SSgA Global Allocation ETF; and SPDR SSgA Aggressive Global Allocation ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-66343 Federal Register version (76 FR 76464)
34-65862
Dec. 1, 2011
SR-NYSEArca-2011-86
Notice of Filing of Proposed Rule Change To List and Trade the Accuvest Global Opportunities ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-66201 Federal Register version (76 FR 76457)
34-65858
Dec. 1, 2011
SR-NASDAQ-2011-162
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate To Add Liquidity Comments Due: Federal Register version (76 FR 76472)
34-65861
Dec. 1, 2011
SR-ISE-2011-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Network and Gateway Fees Comments Due: Exhibit 5 Federal Register version (76 FR 76463)
34-65852
Nov. 30, 2011
SR-Phlx-2011-156
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period To Allow Cabinet Trading To Take Place Below $1 per Option Contract Comments Due: Federal Register version (76 FR 76212)
34-65853
Nov. 30, 2011
SR-Phlx-2011-157
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Active Specialized Quote Feed Port Fee Comments Due: Exhibit 5 Federal Register version (76 FR 76213)
34-65851
Nov. 30, 2011
SR-NASDAQ-2011-157
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the QView Service Comments Due: Federal Register version (76 FR 75924)
34-65854
Nov. 30, 2011
SR-NASDAQ-2011-159
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Exchange Direct Orders Comments Due: Federal Register version (76 FR 76204)
34-65846
Nov. 29, 2011
SR-NYSEArca-2011-82
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Emerging Markets Inflation Protection Bond Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-66342 Federal Register version (76 FR 75932)
34-65847
Nov. 29, 2011
SR-NYSEArca-2011-81
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Guggenheim Enhanced Short Duration High Yield Bond ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-66507 Federal Register version (76 FR 75926)
34-65842
Nov. 28, 2011
SR-NSX-2011-14
Notice of Filing of Proposed Rule Change Relating to the Proposed Rule Change in Connection With the Proposed Purchase and Sale of the National Stock Exchange, Inc. to CBOE Stock Exchange, Inc. Comments Due: Exhibit 5 , Rel. No. 34-66071 Federal Register version (76 FR 75586)
34-65832
Nov. 28, 2011
SR-Phlx-2011-159
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of a Recently Effective Modification to the Operation of the Minimum Quantity Order on the NASDAQ OMX PSX Comments Due: Federal Register version (76 FR 75572)
34-65845
Nov. 28, 2011
SR-NYSE-2011-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Listed Company Manual To Apply Listing and Annual Fees to Foreign Private Issuers of Certain Debt Securities Comments Due: Federal Register version (76 FR 75573)
34-65836
Nov. 28, 2011
SR-NASDAQ-2011-153
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for a Direct Market Data Product, NASDAQ Options Trade Outline ("NOTO") Comments Due: View Received Comments Federal Register version (76 FR 75593)
34-65831
Nov. 28, 2011
SR-DTC-2011-08
Notice of Filing of Proposed Rule Change To Enhance Risk Management Controls Associated With the Receiver Authorized Delivery Function Comments Due: Rel. No. 34-66179 Federal Register version (76 FR 75570)
34-65833
Nov. 28, 2011
SR-CBOE-2011-109
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (76 FR 75584)
34-65835
Nov. 28, 2011
SR-CBOE-2011-105
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market-Makers' Continuous Electronic Quoting Obligations and Adjusted Option Series Comments Due: Federal Register version (76 FR 75575)
34-65843
Nov. 28, 2011
SR-CBOE-2011-107
Notice of Filing of Proposed Rule Change Amending and Restating the CBSX Operating Agreement and Adopting Rule 2.50 Comments Due: Exhibit 5 , Rel. No. 34-66071 Federal Register version (76 FR 75577)
34-65834
Nov. 28, 2011
SR-C2-2011-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market-Makers' Continuous Quoting Obligations and Adjusted Option Series Comments Due: Federal Register version (76 FR 75582)
34-65828
Nov. 25, 2011
SR-CBOE-2011-110
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Limited Extension to the Compliance Deadline for Registration and Qualification Pursuant to Rule 3.6A Comments Due: Federal Register version (76 FR 74835)
34-65823
Nov. 23, 2011
SR-EDGX-2011-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.14 to Exclude from the Pilot Rule All Rights and Warrants Comments Due: Exhibit 5 Federal Register version (76 FR 74093)
34-65827
Nov. 23, 2011
SR-EDGX-2011-35
Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGX Rule 11.9 Comments Due: Exhibit 5 Federal Register version (76 FR 74090)
34-65809
Nov. 23, 2011
SR-BATS-2011-047
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 14.1, entitled "The Qualification, Listing, and Delisting of Companies-Definitions" Comments Due: Federal Register version (76 FR 74079)
34-65816
Nov. 23, 2011
SR-BATS-2011-048
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.18 Relating to Trading Pauses Due to Extraordinary Market Volatility Comments Due: Federal Register version (76 FR 74086)
34-65817
Nov. 23, 2011
SR-BYX-2011-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.18 Relating to Trading Pauses Due to Extraordinary Market Volatility Comments Due: Federal Register version (76 FR 74107)
34-65822
Nov. 23, 2011
SR-EDGA-2011-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.14 to Exclude From the Pilot Rule All Rights and Warrants Comments Due: Exhibit 5 Federal Register version (76 FR 74101)
34-65826
Nov. 23, 2011
SR-EDGA-2011-37
Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGA Rule 11.9 Comments Due: Exhibit 5 Federal Register version (76 FR 74092)
34-65821
Nov. 23, 2011
SR-NSX-2011-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exclude All Rights and Warrants From the Definition of "Circuit Breaker Securities" and Providing the Appropriate Provisions for an Early Scheduled Close Comments Due: Exhibit 5 Federal Register version (76 FR 74103)
34-65811
Nov. 23, 2011
SR-NYSEAmex-2011-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 80C to Exclude All Rights and Warrants From the Single Stock Circuit Breaker Under the Rule Comments Due: Exhibit 5 Federal Register version (76 FR 74082)
34-65818
Nov. 23, 2011
SR-CHX-2011-32
Notice of Filing Proposed Rule Change To Exclude Rights and Warrants From the Individual Securities Circuit Breaker Rule Comments Due: Federal Register version (76 FR 74088)
34-65813
Nov. 23, 2011
SR-Phlx-2011-158
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exclude All Rights and Warrants From the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility Comments Due: Federal Register version (76 FR 74113)
34-65812
Nov. 23, 2011
SR-NYSEArca-2011-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11 to Exclude All Rights and Warrants From the Single Stock Circuit Breaker Under the Rule Comments Due: Exhibit 5 Federal Register version (76 FR 74099)
34-65810
Nov. 23, 2011
SR-NYSE-2011-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C to Exclude All Rights and Warrants From the Single Stock Circuit Breaker Under the Rule Comments Due: Exhibit 5 Federal Register version (76 FR 74080)
34-65815
Nov. 23, 2011
SR-BX-2011-079
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exclude All Rights and Warrants From the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility Comments Due: Federal Register version (76 FR 74109)
34-65814
Nov. 23, 2011
SR-NASDAQ-2011-154
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude All Rights and Warrants from the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (76 FR 74084)
