34-65820
Nov. 23, 2011
SR-ISE-2011-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102(f) to Exclude From the Pilot Rule All Rights and Warrants Comments Due: Exhibit 5 Federal Register version (76 FR 74095)
34-65819
Nov. 23, 2011
SR-FINRA-2011-068
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Rule 6121.01 (Trading Pauses) To Exclude Rights and Warrants From the Trading Pause Pilot Comments Due: Federal Register version (76 FR 74105)
34-65824
Nov. 23, 2011
SR-CBOE-2011-111
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Individual Stock Trading Pause Pilot Program Comments Due: Federal Register version (76 FR 74111)
34-65825
Nov. 23, 2011
SR-C2-2011-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trading Halts Comments Due: Federal Register version (76 FR 74097)
34-65804
Nov. 22, 2011
SR-NSX-2011-012
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend NSX Rules To Conform with Section 957 of the Dodd-Frank Act Prohibiting Members Voting Uninstructed Shares on Certain Matters Comments Due: Federal Register version (76 FR 73756)
34-65805
Nov. 22, 2011
SR-NYSEAmex-2011-89
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase From 20 to 30 the Number of Short Term Options Series That May Be Opened for Each Option Class That Participates in the Exchange's Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (76 FR 73750)
34-65807
Nov. 22, 2011
SR-OCC-2011-13
Notice of Filing of Amendment No. 2 and Amendment No. 3 to Proposed Rule Relating to Relative Performance Indexes Comments Due: Rel. No. 34-65483 , Rel. No. 34-66070 , Rel. No. 34-65483 , Rel. No. 34-66070 Federal Register version (76 FR 73752)
34-65806
Nov. 22, 2011
SR-NYSEArca-2011-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase From 20 to 30 the Number of Short Term Options Series That May Be Opened for Each Option Class That Participates in the Exchange's Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (76 FR 73753)
34-65797
Nov. 21, 2011
SR-NYSEArca-2011-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Rebates Relating to Executed Qualified Contingent Cross Orders Comments Due: Exhibit 5 Federal Register version (76 FR 72988)
34-65794
Nov. 21, 2011
SR-OPRA-2011-03
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan To Implement New Policies Regarding Reporting and Usage-Based Vendor Fees Comments Due: Federal Register version (76 FR 72989)
34-65795
Nov. 21, 2011
SR-OPRA-2011-04
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan To Implement the Datafeed Policy Comments Due: Federal Register version (76 FR 72986)
34-65796
Nov. 21, 2011
SR-OPRA-2011-05
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan To Adopt a Policy Named "Policy With Respect to Disaster Recovery Facilities" Comments Due: Federal Register version (76 FR 72993)
34-65800
Nov. 21, 2011
SR-C2-2011-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to a Temporary Quote Risk Monitor Mechanism Rule Comments Due: Federal Register version (76 FR 72991)
34-65793
Nov. 18, 2011
SR-NYSEAmex-2011-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Correcting an Error by Renumbering the Subsections of Section 101 of the Company Guide Comments Due: Federal Register version (76 FR 72738)
34-65792
Nov. 18, 2011
SR-CHX-2011-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Trade Processing Fee Comments Due: Federal Register version (76 FR 72739)
34-65790
Nov. 18, 2011
SR-Phlx-2011-150
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reduce Transaction Fees for Members Engaging in Certain Accommodation Transactions Comments Due: Exhibit 5 Federal Register version (76 FR 72744)
34-65788
Nov. 18, 2011
SR-NSCC-2011-10
Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Creation of a Service To Provide Post-Trade Information Comments Due: Rel. No. 34-66068 Federal Register version (76 FR 72741)
34-65787
Nov. 18, 2011
SR-FINRA-2011-044
Notice of Filing of Proposed Rule Change Relating to FINRA's Code of Procedure Comments Due: Rel. No. 34-66096 Federal Register version (76 FR 72463)
34-65777
Nov. 17, 2011
SR-Phlx-2011-151
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Professional Routing Fee to the BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (76 FR 72480)
34-65779
Nov. 17, 2011
SR-Phlx-2011-152
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality Comments Due: Federal Register version (76 FR 72467)
34-65778
Nov. 17, 2011
SR-NYSEArca-2011-80
Notice of Filing of Proposed Rule Change To List and Trade Shares of the Rockledge SectorSAM ETF Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-66112 Federal Register version (76 FR 72474)
34-65769
Nov. 17, 2011
SR-BX-2011-074
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Simplify the $1 Strike Price Interval Program Comments Due: Exhibit 5 Federal Register version (76 FR 72470)
34-65773
Nov. 17, 2011
SR-BX-2011-075
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Rules To Expand the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (76 FR 72490)
34-65780
Nov. 17, 2011
SR-BX-2011-076
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality Comments Due: Federal Register version (76 FR 72486)
34-65768
Nov. 17, 2011
SR-NASDAQ-2011-151
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to BATS Exchange, Inc. Comments Due: Federal Register version (76 FR 72484)
34-65774
Nov. 17, 2011
SR-CBOE-2011-108
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Weeklys Program Comments Due: Federal Register version (76 FR 72488)
34-65781
Nov. 17, 2011
SR-CBOE-2011-101
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify That CBSX Will Process Only Round-Lot Orders of HOLDRS Comments Due: Federal Register version (76 FR 72469)
34-65770
Nov. 17, 2011
SR-ISE-2011-61
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-CBOE-2011-087
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-BATS-2011-038
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-EDGA-2011-31
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-NYSEAmex-2011-73
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-Phlx-2011-129
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-NYSE-2011-48
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-NASDAQ-2011-131
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-FINRA-2011-054
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-C2-2011-024
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-EDGX-2011-30
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-BYX-2011-025
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-NSX-2011-11
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-CHX-2011-30
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-NYSEArca-2011-68
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65770
Nov. 17, 2011
SR-BX-2011-068
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility File Nos.: Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65433 , Rel. No. 34-65425 , Rel. No. 34-65440 , Rel. No. 34-65438 , Rel. No. 34-65430 , Rel. No. 34-65435 , Rel. No. 34-65427 , Rel. No. 34-65439 , Rel. No. 34-65434 , Rel. No. 34-65426 , Rel. No. 34-65432 , Rel. No. 34-65436 , Rel. No. 34-65431 , Rel. No. 34-65429 , Rel. No. 34-65428 , Rel. No. 34-65437 Federal Register version (76 FR 72492)
34-65764
Nov. 16, 2011
SR-Phlx-2011-153
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Good-till-Cancelled and Discretionary Orders Comments Due: Federal Register version (76 FR 72233)
34-65763
Nov. 16, 2011
SR-BX-2011-077
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Good-Till-Cancelled and Discretionary Orders Comments Due: Federal Register version (76 FR 72231)
34-65761
Nov. 16, 2011
SR-NASDAQ-2011-152
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a "Post-Only" Order Type Comments Due: Federal Register version (76 FR 72230)
34-65749
Nov. 15, 2011
SR-MSRB-2011-09
Notice Concerning the Application of MSRB Rule G-17, on Conduct of Municipal Securities and Municipal Advisory Activities, to Underwriters of Municipal Securities Comments Due: View Received Comments Rel. No. 34-65263 , Rel. No. 34-66927 , and Rel. No. 34-66918 Federal Register version (76 FR 72013)
34-65745
Nov. 14, 2011
SR-Phlx-2011-149
Notice of Filing of Proposed Rule Change Relating to the Exchange Rule 795, Member Officer or Director Comments Due: Exhibit 5 , Rel. No. 34-66097 Federal Register version (76 FR 72018)
34-65743
Nov. 14, 2011
SR-ICC-2011-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules To Provide for Clearing of Additional Single Name Investment Grade CDS Contracts Comments Due: Federal Register version (76 FR 72015)
34-65741
Nov. 14, 2011
SR-CBOE-2011-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Renew Existing Pilot Program for an Additional Fourteen Months Comments Due: View Received Comments Federal Register version (76 FR 72016)
34-65744
Nov. 14, 2011
SR-C2-2011-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Quote Risk Monitor Mechanism Comments Due: Federal Register version (76 FR 72011)
34-65735
Nov. 10, 2011
SR-NYSEAmex-2011-86
Notice of Filing of Proposed Rule Change To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers Comments Due: Exhibit 5 , Rel. No. 34-66981 , Rel. No. 34-66397 , Rel. No. 34-66036 Federal Register version (76 FR 71405)
34-65727
Nov. 10, 2011
SR-Phlx-2011-146
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Routing Fees to C2 Comments Due: Exhibit 5 Federal Register version (76 FR 71395)
34-65730
Nov. 10, 2011
SR-NYSEArca-2011-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Modify the Fees Relating to Qualified Contingent Cross Orders Comments Due: Exhibit 5 Federal Register version (76 FR 71410)
34-65736
Nov. 10, 2011
SR-NYSE-2011-56
Notice of Filing of Proposed Rule Change To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers ("DMMs") Comments Due: Exhibit 5 , Rel. No. 34-67437 , Rel. No. 34-66981 , Rel. No. 34-66397 , Rel. No. 34-66036 Federal Register version (76 FR 71399)
34-65723
Nov. 10, 2011
SR-ISE-2011-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Orders Executed on the Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 71416)
34-65724
Nov. 10, 2011
SR-ISE-2011-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees and Rebates for Certain Complex Orders Executed on the Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 71413)
34-65731
Nov. 10, 2011
SR-ISE-2011-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove the Requirement That its Members Pass the DTR Examination Prior To Registering Comments Due: Federal Register version (76 FR 71398)
34-65722
Nov. 10, 2011
SR-FINRA-2011-065
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References Within Certain FINRA Rules Comments Due: Exhibit 5 Federal Register version (76 FR 71612)
34-65737
Nov. 10, 2011
SR-FINRA-2011-066
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade Comments Due: Federal Register version (76 FR 71404)
34-65725
Nov. 10, 2011
SR-CBOE-2011-007
Notice of Filing of Proposed Rule Change to Adopt Rules in Connection With S&P 500 Option Variance Basket Trades Comments Due: View Received Comments Rel. No. 34-66265 Federal Register version (76 FR 71092)
34-65732
Nov. 10, 2011
SR-CBOE-2011-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide a Limited Extension to the Compliance Deadline for Registration and Qualification Pursuant to Rule 3.6A Comments Due: Federal Register version (76 FR 71614)
34-65719
Nov. 9, 2011
SR-Phlx-2011-148
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 71102)
34-65720
Nov. 9, 2011
SR-Phlx-2011-147
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Complex Order Rebates and Fees for Adding and Removing Liquidity Comments Due: Exhibit 5 Federal Register version (76 FR 71089)
34-65717
Nov. 9, 2011
SR-NASDAQ-2011-150
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Investor Support Program, Offer an Additional Liquidity Provider Credit Through a Pre-Market Investor Program, and Make Other Changes to Pricing for Members Using the NASDAQ Market Center Comments Due: Federal Register version (76 FR 70784)
34-65718
Nov. 9, 2011
SR-NASDAQ-2011-147
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Option Fee Disputes Comments Due: Federal Register version (76 FR 71088)
34-65710
Nov. 8, 2011
SR-NYSEAmex-2011-55
Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 2, Amending Section 101 of the NYSE Amex Company Guide To Adopt Additional Listing Requirements for Companies Applying To List After Consummation of a "Reverse Merger" With a Shell Company, November 8, 2011 Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (76 FR 70790)
34-65706
Nov. 8, 2011
SR-Phlx-2011-143
Notice of Filing 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 Exhibit 5 , Rel. No. 34-65917 Federal Register version (76 FR 70520)
34-65709
Nov. 8, 2011
SR-NYSE-2011-38
Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 2, Amending Sections 102.01 and 103.01 of the Exchange's Listed Company Manual Adopting Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" With a Shell Company Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (76 FR 70795)
34-65708
Nov. 8, 2011
SR-NASDAQ-2011-073
Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, Adopting Additional Listing Requirements for Companies Applying To List After Consummation of a "Reverse Merger" With a Shell Company Comments Due: View Received Comments Exhibit 4 , Exhibit 5 Federal Register version (76 FR 70799)
34-65711
Nov. 8, 2011
SR-NASDAQ-2011-148
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C2 Comments Due: Federal Register version (76 FR 70782)
34-65705
Nov. 8, 2011
SR-ISE-2011-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Another Tier to an Existing Rebate Program for Qualified Contingent Cross Orders and Solicitation Orders Executed on the Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 70789)
34-65699
Nov. 7, 2011
SR-ICC-2011-03
Notice of Filing of Proposed Rule Change to Adopt ICC's Enhanced Margin Methodology (the "Decomp Model") Comments Due: View Received Comments Rel. No. 34-66001 Federal Register version (76 FR 70206)
34-65700
Nov. 7, 2011
SR-FINRA-2011-064
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports Comments Due: View Received Comments Rel. No. 34-66364 Federal Register version (76 FR 70523)
34-65683
Nov. 4, 2011
SR-EDGX-2011-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule Comments Due: Federal Register version (76 FR 70204)
34-65694
Nov. 4, 2011
SR-BATS-2011-046
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Federal Register version (76 FR 70192)
34-65684
Nov. 4, 2011
SR-EDGA-2011-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule Comments Due: Federal Register version (76 FR 70183)
34-65685
Nov. 4, 2011
SR-EDGA-2011-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule Comments Due: Federal Register version (76 FR 70202)
34-65689
Nov. 4, 2011
SR-Phlx-2011-142
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify its Co-Location Fee Schedule Regarding Low Latency Network Connections Comments Due: Exhibit 5 , Rel. No. 34-65689A , Rel. No. 34-66011 Federal Register version (76 FR 70187)
34-65687
Nov. 4, 2011
SR-BX-2011-073
Notice of Filing of Proposed Rule Change To Modify Rule 7034 Regarding Low Latency Network Connections Comments Due: Exhibit 5 , Rel. No. 34-66012 Federal Register version (76 FR 70184)
34-65688
Nov. 4, 2011
SR-NASDAQ-2011-146
Notice of Filing of Proposed Rule Change To Modify Rule 7034 Regarding Low Latency Network Connections Comments Due: Exhibit 5 , Rel. No. 34-66013 Federal Register version (76 FR 70199)
34-65692
Nov. 4, 2011
SR-FINRA-2011-063
Notice of Filing of Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules Comments Due: Rel. No. 34-66021 Federal Register version (76 FR 70195)
34-65690
Nov. 4, 2011
SR-CBOE-2011-103
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Process for the Qualification of the Customer Large Trade Discount Comments Due: Federal Register version (76 FR 70198)
34-65676
Nov. 3, 2011
SR-BATS-2011-045
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Market Opening Procedures of BATS Options Comments Due: View Received Comments Federal Register version (76 FR 69779)
34-65678
Nov. 3, 2011
SR-ISE-2011-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Data Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (76 FR 70178)
34-65677
Nov. 3, 2011
SR-CBOE-2011-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Compliance Deadline for Registration and Qualification Pursuant to Rule 3.6A Comments Due: Federal Register version (76 FR 69786)
34-65682
Nov. 3, 2011
SR-CBOE-2011-099
Notice of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Concerning Industry Directors and the Nomination of Representative Directors Comments Due: Rel. No. 34-65980 Federal Register version (76 FR 69780)
34-65681
Nov. 3, 2011
SR-C2-2011-031
Notice of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Concerning Industry Directors and the Nomination of Representative Directors Comments Due: Rel. No. 34-65979 Federal Register version (76 FR 69783)
34-65671
Nov. 2, 2011
SR-NYSEAmex-2011-84
Notice of Filing of Rule Change Proposing a One-Year Pilot Program Adding New Rule 107C To Establish a Retail Liquidity Program To Attract Additional Retail Order Flow to the Exchange for NYSE Amex Equities Traded Securities Comments Due: View Received Comments Exhibit 5 , 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. 34-66003 , Application for Exemptive Relief Federal Register version (76 FR 69774)
34-65666
Nov. 2, 2011
SR-Phlx-2011-118
Notice of Filing of Proposed Rule Change Relating to Transfer of Positions Off the Floor Comments Due: Exhibit 5 , Rel. No. 34-66023 Federal Register version (76 FR 69314)
34-65667
Nov. 2, 2011
SR-Phlx-2011-136
Notice of Filing of Proposed Rule Change Relating to Transfer of Exchange House Accounts Comments Due: Exhibit 5 , Rel. No. 34-66022 Federal Register version (76 FR 69316)
34-65670
Nov. 2, 2011
SR-Phlx-2011-144
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations Comments Due: Exhibit 5 Federal Register version (76 FR 69308)
34-65669
Nov. 2, 2011
SR-NYSEArca-2011-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Offering a Market Data Product to Vendors and Subscribers That Combines Three Existing Market Data Feeds as Well as Additional Market Data From the Exchange Into One Integrated Product, the NYSE Arca Integrated Data Feed Comments Due: View Received Comments Federal Register version (76 FR 69311)
34-65672
Nov. 2, 2011
SR-NYSE-2011-55
Notice of Filing of Rule Change Proposing a One-Year Pilot Program Adding New Rule 107C To Establish a Retail Liquidity Program To Attract Additional Retail Order Flow to the Exchange for NYSE-Listed Securities Comments Due: View Received Comments Exhibit 5 , 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. 34-66003 , Application for Exemptive Relief Federal Register version (76 FR 69788)
34-65668
Nov. 2, 2011
SR-C2-2011-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Transaction Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (76 FR 69313)
34-65663
Nov. 1, 2011
SR-FINRA-2011-035
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, etc. Comments Due: View Received Comments Rel. No. 34-66681 , Rel. No. 34-64984 , Rel. No. 34-66049 Federal Register version (76 FR 71612)
34-65662
Nov. 1, 2011
SR-CBOE-2011-102
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market-Maker Trade Prevention Order on CBOE Stock Exchange Comments Due: Federal Register version (76 FR 71612)
34-65660
Oct. 31, 2011
SR-EDGA-2011-29
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Amendments to EDGA and EDGX Rules Regarding the Registration and Obligations of Market Makers File Nos.: Comments Due: Rel. No. 34-65316 , Rel. No. 34-65964 , Rel. No. 34-65315 Federal Register version (76 FR 68520)
34-65660
Oct. 31, 2011
SR-EDGX-2011-28
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Amendments to EDGA and EDGX Rules Regarding the Registration and Obligations of Market Makers File Nos.: Comments Due: View Received Comments Rel. No. 34-65316 , Rel. No. 34-65964 , Rel. No. 34-65315 Federal Register version (76 FR 68520)
34-65659
Oct. 31, 2011
SR-CBOE-2011-098
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to FLEX Options Comments Due: Federal Register version (76 FR 68239)
