34-66244
Jan. 26, 2012
SR-FINRA-2012-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Date of SR-FINRA-2011-019 Comments Due: Federal Register version (77 FR 5069)
34-66254
Jan. 26, 2012
SR-FINRA-2012-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions Comments Due: Federal Register version (77 FR 5084)
34-66308
Jan. 25, 2012
SR-NYSEAmex-2012-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 902NY To Create a Reserve Floor Market Maker Amex Trading Permit Comments Due: Exhibit 5 , Correction Federal Register version (77 FR 6610)
34-66238
Jan. 25, 2012
SR-BX-2012-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (77 FR 4850)
34-66222
Jan. 24, 2012
SR-EDGX-2012-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.13 To Extend the Operation of a Pilot Program Pursuant to the Rule Until July 31, 2012 Comments Due: Exhibit 5 Federal Register version (77 FR 4595)
34-66228
Jan. 24, 2012
SR-EDGX-2012-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.14 To Extend the Operation of the Single Stock Circuit Breaker Pilot Program Until July 31, 2012 Comments Due: Exhibit 5 Federal Register version (77 FR 4606)
34-66223
Jan. 24, 2012
SR-EDGA-2012-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13 To Extend the Operation of a Pilot Program Pursuant to the Rule Until July 31, 2012 Comments Due: Exhibit 5 Federal Register version (77 FR 4600)
34-66227
Jan. 24, 2012
SR-EDGA-2012-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.14 To Extend the Operation of the Single Stock Circuit Breaker Pilot Program Until July 31, 2012 Comments Due: Exhibit 5 Federal Register version (77 FR 4608)
34-66221
Jan. 24, 2012
SR-NSX-2012-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend Pilot Program Regarding Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (77 FR 4597)
34-66229
Jan. 24, 2012
SR-NSX-2012-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Rules To Extend Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility Comments Due: Exhibit 5 Federal Register version (77 FR 4842)
34-66224
Jan. 24, 2012
SR-Phlx-2012-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule Comments Due: Federal Register version (77 FR 4612)
34-66218
Jan. 24, 2012
SR-NYSE-2012-01
Notice of Filing of Proposed Rule Change To Establish an NYBX Immediate-or-Cancel Order Comments Due: Exhibit 5 , Rel. No. 34-66576 Federal Register version (77 FR 4604)
34-66226
Jan. 24, 2012
SR-BX-2012-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule Comments Due: Federal Register version (77 FR 4611)
34-66225
Jan. 24, 2012
SR-NASDAQ-2012-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule Comments Due: Federal Register version (77 FR 4602)
34-66230
Jan. 24, 2012
SR-NASDAQ-2012-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rule 5730 Comments Due: Federal Register version (77 FR 4610)
34-66220
Jan. 24, 2012
SR-FINRA-2012-001
Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 To Amend FINRA Rule 4560 (Short-Interest Reporting) Comments Due: View Received Comments Rel. No. 34-66872 Federal Register version (77 FR 4599)
34-66216
Jan. 23, 2012
SR-Phlx-2012-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for NMS Stocks Other Than Rights and Warrants Comments Due: Federal Register version (77 FR 4385)
34-66215
Jan. 23, 2012
SR-BX-2012-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for NMS Stocks Other Than Rights and Warrants Comments Due: Federal Register version (77 FR 4387)
34-66214
Jan. 23, 2012
SR-NASDAQ-2012-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for NMS Stocks Other Than Rights and Warrants Comments Due: Federal Register version (77 FR 4593)
34-66213
Jan. 23, 2012
SR-CBOE-2012-009
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Appointments in Hybrid 3.0 Classes Comments Due: Federal Register version (77 FR 4591)
34-66208
Jan. 20, 2012
SR-Phlx-2012-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Real-Time Risk Management Fee and Other Clarifying Amendments Comments Due: Exhibit 5 Federal Register version (77 FR 6619)
34-66209
Jan. 20, 2012
SR-Phlx-2012-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reformatting the Fee Schedule Comments Due: Federal Register version (77 FR 4068)
34-66203
Jan. 20, 2012
SR-FINRA-2011-057
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Adopt FINRA Rule 5123 (Private Placements of Securities) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-65585 , Rel. No. 34-67157 Federal Register version (77 FR 4065)
34-66207
Jan. 20, 2012
SR-CBOE-2012-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Automatic Execution and Complex Order Price Check Parameter Features Comments Due: Federal Register version (77 FR 4073)
34-66210
Jan. 20, 2012
SR-C2-2012-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Complex Order Price Check Parameter Features Comments Due: Federal Register version (77 FR 4070)
34-66188
Jan. 19, 2012
SR-BATS-2012-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to Clearly Erroneous Execution Reviews Comments Due: Federal Register version (77 FR 3825)
34-66190
Jan. 19, 2012
SR-BATS-2012-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility Comments Due: Federal Register version (77 FR 3834)
34-66187
Jan. 19, 2012
SR-BYX-2012-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to Clearly Erroneous Execution Reviews Comments Due: Federal Register version (77 FR 3824)
34-66189
Jan. 19, 2012
SR-BYX-2012-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Pilot Program Related To Trading Pauses Due to Extraordinary Market Volatility Comments Due: Federal Register version (77 FR 3827)
34-66192
Jan. 19, 2012
SR-NYSEArca-2012-02
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Amendments to NYSE Arca Rule 9.4 and NYSE Equities Inc. Rules 5.3(d) and 9.4 Relating to Discretionary Proxy Voting on Executive Compensation Matters and Election of Directors To Comply With the Dodd-Frank Act Comments Due: Exhibit 5 Federal Register version (77 FR 3829)
34-66176
Jan. 18, 2012
SR-EDGX-2012-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGX Rule 1.5(q) Comments Due: Exhibit 5 Federal Register version (77 FR 3541)
34-66177
Jan. 18, 2012
SR-CHX-2012-02
Notice of Filing of Proposed Rule Change To Add to and Amend Its Rules Regarding the Obligations of Institutional Brokers Registered With the Exchange Comments Due: Exhibit 5 , Rel. No. 34-66503 Federal Register version (77 FR 3527)
34-66180
Jan. 18, 2012
SR-NYSEArca-2012-04
Notice of Filing of Proposed Rule Change Relating To Listing and Trading of Shares of Twenty-Six Series of ProShares Trust II Under NYSE Arca Equities Rule 8.200 Comments Due: Federal Register version (77 FR 3532)
34-66175
Jan. 18, 2012
SR-NASDAQ-2012-004
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Emerging Markets Corporate Bond Fund of the WisdomTree Trust Comments Due: Rel. No. 34-66489 Federal Register version (77 FR 3520)
34-66172
Jan. 18, 2012
SR-ISE-2012-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity Comments Due: Exhibit 5 Federal Register version (77 FR 3308)
34-66174
Jan. 18, 2012
SR-CBOE-2012-003
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Comments Due: Federal Register version (77 FR 3543)
34-66165
Jan. 17, 2012
SR-NASDAQ-2012-005
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Enhanced Display Distributor Fee Comments Due: View Received Comments Federal Register version (77 FR 3313)
34-66169
Jan. 17, 2012
SR-ISE-2012-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates Comments Due: Exhibit 5 Federal Register version (77 FR 3295)
34-66170
Jan. 17, 2012
SR-ISE-2012-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity Comments Due: Exhibit 5 Federal Register version (77 FR 3307)
34-66163
Jan. 17, 2012
SR-CBOE-2012-007
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Decouple and Extend CBOE's Credit Option Margin Pilot Program to January 17, 2013 Comments Due: Federal Register version (77 FR 3318)
34-66166
Jan. 17, 2012
SR-CBOE-2012-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Extension of the CBSX Individual Stock Trading Pause Pilot Program Comments Due: Federal Register version (77 FR 3311)
34-66167
Jan. 17, 2012
SR-CBOE-2012-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Extension of a CBSX Clearly Erroneous Policy Pilot Program Comments Due: Federal Register version (77 FR 3310)
34-66155
Jan. 13, 2012
SR-Phlx-2012-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (77 FR 3026)
34-66153
Jan. 13, 2012
SR-NASDAQ-2012-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 4613(a)(2)(F) and (G) To Allow Exchange Market Makers To Opt Out of the Automated Quote Management Service Comments Due: Federal Register version (77 FR 3019)
34-66158
Jan. 13, 2012
SR-NASDAQ-2012-006
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fees Comments Due: Exhibit 5 Federal Register version (77 FR 3024)
34-66159
Jan. 13, 2012
SR-NASDAQ-2012-002
Notice of Filing of 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 Exhibit 5 , Rel. No. 34-66830 , Rel. No. 34-66499 Federal Register version (77 FR 3021)
34-66149
Jan. 13, 2012
SR-FINRA-2011-069
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA View Received Comments Rel. No. 34-65877 Federal Register version (77 FR 3019)
34-66156
Jan. 13, 2012
SR-FINRA-2012-004
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend to January 17, 2013 the Implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) Comments Due: View Received Comments Federal Register version (77 FR 3027)
34-66148
Jan. 13, 2012
SR-C2-2012-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Comments Due: Exhibit 5 Federal Register version (77 FR 3017)
34-66129
Jan. 11, 2012
SR-EDGX-2011-39
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 2597)
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)
