34-65653
Oct. 28, 2011
SR-NASDAQ-2011-122
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Describe Complimentary Services That Are Offered to Certain New Listings on NASDAQ's Global and Global Select Markets Comments Due: View Received Comments Rel. No. 34-65324 , Rel. No. 34-65963 Federal Register version (76 FR 68237)
34-65656
Oct. 28, 2011
SR-FINRA-2011-062
Notice of Filing of Proposed Rule Change To Repeal Incorporated NYSE Rule 2A (Jurisdiction) Comments Due: Exhibit 5 , Rel. No. 34-65944 Federal Register version (76 FR 68240)
34-65641
Oct. 27, 2011
SR-Phlx-2011-137
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange Rule 703 (Financial Responsibility and Reporting) Comments Due: Federal Register version (76 FR 67779)
34-65642
Oct. 27, 2011
SR-BX-2011-072
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Trading Rules To Retire the Additional Expiration Months Pilot Program and To Harmonize the Rules Regarding Listing Expirations With the Existing Rules of Other Exchanges Comments Due: Exhibit 5 Federal Register version (76 FR 67781)
34-65645
Oct. 27, 2011
SR-FINRA-2011-059
Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3230 (Telemarketing) in the FINRA Consolidated Rulebook Comments Due: Rel. No. 34-66279 Federal Register version (76 FR 67787)
34-65634
Oct. 26, 2011
SR-CME-2011-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee Waiver Program Applicable to Its OTC Credit Default Swap Index Clearing Offering Comments Due: Federal Register version (76 FR 67517)
34-65635
Oct. 26, 2011
SR-CME-2011-15
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 (76 FR 67515)
34-65636
Oct. 26, 2011
SR-CME-2011-14
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Performance Bond Regime Applicable to Certain Cleared Only OTC FX Swaps Comments Due: Federal Register version (76 FR 67514)
34-65637
Oct. 26, 2011
SR-CME-2011-12
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Expand Its OTC FX Swaps Clearing Offering Comments Due: Federal Register version (76 FR 67512)
34-65626
Oct. 26, 2011
SR-NYSEAMEX-2011-82
Notice of Filing of Proposed Rule Change Expanding the Scope of Potential "Users" of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Price List To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center Comments Due: Rel. No. 34-65975 Federal Register version (76 FR 67506)
34-65627
Oct. 26, 2011
SR-NYSEAMEX-2011-81
Notice of Filing of Proposed Rule Change Expanding the Scope of Potential "Users" of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Price List To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center Comments Due: Rel. No. 34-65974 Federal Register version (76 FR 67520)
34-65622
Oct. 26, 2011
SR-OCC-2011-15
Notice of Filing of Proposed Rule Change Relating to Management of Liquidity Risk Comments Due: Rel. No. 34-65927 , Rel. No. 34-65927 Federal Register version (76 FR 67523)
34-65624
Oct. 26, 2011
SR-NYSEARCA-2011-75
Notice of Filing of Proposed Rule Change Expanding the Scope of Potential "Users" of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Fee Schedule To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center Comments Due: Rel. No. 34-65971 Federal Register version (76 FR 67526)
34-65625
Oct. 26, 2011
SR-NYSEARCA-2011-74
Notice of Filing of Proposed Rule Change Expanding the Scope of Potential "Users" of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Fee Schedule To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center Comments Due: Rel. No. 34-65970 Federal Register version (76 FR 67522)
34-65629
Oct. 26, 2011
SR-NYSE-2011-53
Notice of Filing of Proposed Rule Change Expanding the Scope of Potential "Users" of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Price List To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center Comments Due: Rel. No. 34-65973 Federal Register version (76 FR 67507)
34-65623
Oct. 26, 2011
SR-NSCC-2011-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise NSCC's Fee Schedule as It Applies to Certain Hedge Fund Products Within NSCC's Alternative Investment Products Service Comments Due: Federal Register version (76 FR 67525)
34-65631
Oct. 26, 2011
SR-MSRB-2011-19
Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-16 on Periodic Compliance Examination and Rule G-9 on Preservation of Records Comments Due: View Received Comments Rel. No. 34-65992 Federal Register version (76 FR 67503)
34-65632
Oct. 26, 2011
SR-FICC-2011-08
Notice of Filing of Proposed Rule Change To Expand the Applicability of the Fails Charge to Agency Debt Securities Transactions Comments Due: Rel. No. 34-65910 Federal Register version (76 FR 67519)
34-65630
Oct. 26, 2011
SR-C2-2011-030
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Close Trading at 3 p.m. Chicago Time on the Last Day of Trading of Expiring P.M.-Settled S&P 500 Options Comments Due: Federal Register version (76 FR 67510)
34-65617
Oct. 25, 2011
SR-NASDAQ-2011-145
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Description of the Nasdaq Daily Share Volume Service Comments Due: View Received Comments Federal Register version (76 FR 67234)
34-65618
Oct. 25, 2011
SR-FINRA-2011-061
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection With Certain Corporate Control Transactions Comments Due: Exhibit 5 Federal Register version (76 FR 67236)
34-65614
Oct. 24, 2011
SR-SCCP-2011-03
Notice of Filing of Proposed Rule Change With Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Rel. No. 34-65884 Federal Register version (76 FR 67009)
34-65613
Oct. 24, 2011
SR-BSECC-2011-003
Notice of Filing of Proposed Rule Change With Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Rel. No. 34-65885 Federal Register version (76 FR 67007)
34-65612
Oct. 24, 2011
SR-CME-2011-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules To Reflect the Change in Regulatory Status of Eris Exchange, LLC From an EBOT to a DCM Comments Due: Federal Register version (76 FR 67011)
34-65615
Oct. 24, 2011
SR-CHX-2011-17
Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Submission of Clearing-Related Information for Trades Executed Otherwise Than on the Exchange Comments Due: View Received Comments Rel. No. 34-65300 , Rel. No. 34-64937 Federal Register version (76 FR 67239)
34-65610
Oct. 24, 2011
SR-Phlx-2011-141
Notice of Filing of Proposed Rule Change To Introduce the Minimum Life Order as a New Order Type Comments Due: View Received Comments Rel. No. 34-65926 Federal Register version (76 FR 67012)
34-65605
Oct. 21, 2011
SR-PHLX-2011-140
Notice of Filing of Proposed Rule Change To Amend the By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Exhibit 5 , Rel. No. 34-65841 Federal Register version (76 FR 67015)
34-65603
Oct. 21, 2011
SR-BX-2011-071
Notice of Filing of Proposed Rule Change With Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Exhibit 5 , Rel. No. 34-65840 Federal Register version (76 FR 67013)
34-65604
Oct. 21, 2011
SR-NASDAQ-2011-143
Notice of Filing of Proposed Rule Change Relating to Amending the By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Exhibit 5 , Rel. No. 34-65844 Federal Register version (76 FR 67006)
34-65590
Oct. 19, 2011
SR-NYSEAmex-2011-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retire a Pilot Program and Harmonize the Exchange's rules Regarding Listing Expirations with the Existing Rules of Other Exchanges Comments Due: Exhibit 5 Federal Register version (76 FR 66105)
34-65591
Oct. 19, 2011
SR-NYSEArca-2011-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retire a Pilot Program and Harmonize the Exchange's Rules Regarding Listing Expirations With the Existing Rules of Other Exchanges Comments Due: Exhibit 5 Federal Register version (76 FR 66107)
34-65586
Oct. 18, 2011
SR-Phlx-2011-135
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Tether Monthly Service Fee Comments Due: Exhibit 5 Federal Register version (76 FR 65767)
34-65587
Oct. 18, 2011
SR-NASDAQ-2011-144
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Establishment of a Direct Market Data Product, NASDAQ Options Trade Outline ("NOTO") Comments Due: Federal Register version (76 FR 65765)
34-65583
Oct. 18, 2011
SR-ISE-2011-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Volume Threshold 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 65555)
34-65585
Oct. 18, 2011
SR-FINRA-2011-057
Notice of Filing of Proposed Rule Change To Adopt New FINRA Rule 5123 (Private Placements of Securities) Comments Due: View Received Comments Rel. No. 34-66203 , Rel. No. 34-67157 Federal Register version (76 FR 65758)
34-65579
Oct. 17, 2011
SR-FINRA-2011-052
Notice of Filing of Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and Interpretive Material ("IM") 2320 as FINRA Rule 5310 in the Consolidated Rulebook Comments Due: View Received Comments Exhibit 2A , Exhibit 2B , Exhibit 2C , Exhibit 5 , Rel. No. 34-65895 Federal Register version (76 FR 65549)
34-65580
Oct. 17, 2011
SR-FINRA-2011-060
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional) Comments Due: View Received Comments Text of Proposed Rule Change Federal Register version (76 FR 65546)
34-65565
Oct. 14, 2011
SR-EDGX-2011-33
Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, Deutsche Brse AG, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. Comments Due: Exhibit 5 , Rel. No. 34-66171 Federal Register version (76 FR 65255)
34-65577
Oct. 14, 2011
SR-CME-2011-10
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 (76 FR 65224)
34-65564
Oct. 14, 2011
SR-EDGA-2011-34
Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, Deutsche Brse AG, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. Comments Due: Exhibit 5 , Rel. No. 34-66171 Federal Register version (76 FR 65264)
34-65563
Oct. 14, 2011
SR-NYSEAmex-2011-78
Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. Comments Due: View Received Comments Exhibit 5A , Exhibit 5B , Exhibit 5C , Exhibit 5D , Exhibit 5E , Exhibit 5F , Exhibit 5G , Exhibit 5H , Exhibit 5I , Exhibit 5J , Exhibit 5K , Exhibit 5L , Exhibit 5M , Exhibit 5N , Exhibit 5O , Exhibit 5P , Exhibit 5Q , Rel. No. 34-66171 Federal Register version (76 FR 65272)
34-65574
Oct. 14, 2011
SR-Phlx-2011-134
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To the Permit Fee and the Inactive Nominee Fee Comments Due: Exhibit 5 Federal Register version (76 FR 65228)
34-65576
Oct. 14, 2011
SR-Phlx-2011-133
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To the RSQT Fee Comments Due: Exhibit 5 Federal Register version (76 FR 65225)
34-65567
Oct. 14, 2011
SR-NYSEArca-2011-72
Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. Comments Due: View Received Comments Exhibit 5A , Exhibit 5B , Exhibit 5C , Exhibit 5D , Exhibit 5E , Exhibit 5F , Exhibit 5G , Exhibit 5H , Exhibit 5I , Exhibit 5J , Exhibit 5K , Exhibit 5L , Exhibit 5M , Exhibit 5N , Exhibit 5O , Exhibit 5P , Exhibit 5Q , Rel. No. 34-66171 Federal Register version (76 FR 65230)
34-65562
Oct. 14, 2011
SR-NYSE-2011-51
Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. Comments Due: View Received Comments Exhibit 5A , Exhibit 5B , Exhibit 5C , Exhibit 5D , Exhibit 5E , Exhibit 5F , Exhibit 5G , Exhibit 5H , Exhibit 5I , Exhibit 5J , Exhibit 5K , Exhibit 5L , Exhibit 5M , Exhibit 5N , Exhibit 5O , Exhibit 5P , Exhibit 5Q , Rel. No. 34-66171 Federal Register version (76 FR 65288)
34-65575
Oct. 14, 2011
SR-NASDAQ-2011-141
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Interpretation of Rule 4120(a)(11) Comments Due: Federal Register version (76 FR 65306)
34-65566
Oct. 14, 2011
SR-ISE-2011-69
Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, Deutsche Brse AG, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. Comments Due: Exhibit 5 , Rel. No. 34-66171 Federal Register version (76 FR 65247)
34-65568
Oct. 14, 2011
SR-FINRA-2011-058
Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) Comments Due: View Received Comments Exhibit 5 , Rel No. 34-67208 , Rel. No. 34-66819 , and Federal Register version (76 FR 65307)
34-65549
Oct. 13, 2011
SR-NYSEAmex-2011-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Amendments to the NYSE Amex Options Fee Schedule Relating to Electronic Complex Orders Comments Due: Exhibit 5 Federal Register version (76 FR 64983)
34-65552
Oct. 13, 2011
SR-Phlx-2011-139
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Period for Receiving Orders Routed From The NASDAQ Stock Market LLC Into NASDAQ OMX PSX Comments Due: Federal Register version (76 FR 64989)
34-65553
Oct. 13, 2011
SR-Phlx-2011-138
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the NASDAQ OMX PSX Facility To Accept Inbound Orders Routed From the NASDAQ OMX BX Equities Market of NASDAQ OMX BX, Inc. Comments Due: Federal Register version (76 FR 64987)
34-65554
Oct. 13, 2011
SR-NASDAQ-2011-142
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Accept Inbound Orders Routed From Its Affiliates Comments Due: Federal Register version (76 FR 65311)
34-65550
Oct. 13, 2011
SR-ISE-2011-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Certain Orders Executed on the Exchange Comments Due: Federal Register version (76 FR 64984)
34-65551
Oct. 13, 2011
SR-FINRA-2011-056
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded "To Be Announced" Comments Due: Federal Register version (76 FR 65313)
34-65541
Oct. 12, 2011
SR-EDGX-2011-31
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 (76 FR 64409)
34-65542
Oct. 12, 2011
SR-EDGA-2011-32
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 (76 FR 64404)
34-65537
Oct. 12, 2011
SR-Phlx-2011-132
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Minimum Quantity Order Comments Due: Federal Register version (76 FR 64401)
34-65544
Oct. 12, 2011
SR-NYSEARCA-2011-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System ("OATS") Rules, and Making Certain Conforming Changes Comments Due: Federal Register version (76 FR 64406)
34-65535
Oct. 12, 2011
SR-BX-2011-069
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Minimum Quantity Order Comments Due: Federal Register version (76 FR 64416)
34-65538
Oct. 12, 2011
SR-BX-2011-070
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Fee Schedule Comments Due: Federal Register version (76 FR 64413)
34-65536
Oct. 12, 2011
SR-NASDAQ-2011-140
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Minimum Quantity Order Comments Due: Federal Register version (76 FR 64411)
34-65534
Oct. 12, 2011
SR-ISE-2011-58
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Competitive Market Maker Trading Rights Comments Due: Federal Register version (76 FR 64417)
34-65539
Oct. 12, 2011
SR-FICC-2011-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical Corrections to the Schedule of Timeframes, GCF Schedule of Timeframes, and Fee Structure in the GSD Rules Comments Due: Federal Register version (76 FR 64403)
34-65529
Oct. 11, 2011
SR-Phlx-2011-131
Notice of Filing of Proposed Rule Change To Expand the Short Term Option Program Comments Due: Exhibit 5 , Rel. No. 34-65776 Federal Register version (76 FR 64144)
34-65525
Oct. 11, 2011
SR-NASDAQ-2011-139
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee for the NASDAQ MatchView Feed Comments Due: Federal Register version (76 FR 64158)
34-65526
Oct. 11, 2011
SR-NASDAQ-2011-130
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Re-Institute Fees for NASDAQ Basic and To Offer an Optional Nasdaq Basic Non-Professional Enterprise License Fee Comments Due: View Received Comments Federal Register version (76 FR 64137)
34-65527
Oct. 11, 2011
SR-NASDAQ-2011-129
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent the Pilot for NASDAQ Basic Comments Due: Federal Register version (76 FR 64147)
34-65528
Oct. 11, 2011
SR-NASDAQ-2011-138
Notice of Filing of Proposed Rule Change Regarding Expansion of the Short Term Option Series Program Comments Due: Exhibit 5 , Rel. No. 34-65775 Federal Register version (76 FR 64142)
34-65530
Oct. 11, 2011
SR-ISE-2011-66
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 (76 FR 64136)
34-65516
Oct. 7, 2011
SR-BATS-2011-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Inbound Router, as Described in Rule 2.12 Comments Due: Federal Register version (76 FR 63977)
34-65515
Oct. 7, 2011
SR-BYX-2011-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Inbound Router, as described in Rule 2.12 Comments Due: Federal Register version (76 FR 63979)
34-65524
Oct. 7, 2011
SR-NYSEAMEX-2011-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Amex Equities Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System ("OATS") Rules, and Making Certain Conforming Change Comments Due: Federal Register version (76 FR 64151)
34-65523
Oct. 7, 2011
SR-NYSE-2011-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System ("OATS") Rules, and Making Certain Conforming Changes Comments Due: Federal Register version (76 FR 64154)
34-65514
Oct. 7, 2011
SR-BX-2011-066
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing from an Affiliated Exchange Comments Due: Federal Register version (76 FR 63969)
34-65522
Oct. 7, 2011
SR-ISE-2011-56
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Certain Orders Executed on the Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 63964)
34-64969A
Oct. 7, 2011
SR-FINRA-2009-028
Notice of Filing of Amendment No. 1 to Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook; Correction Rel. No. 34-67588 , Rel. No. 34-64969 , Rel. No. 34-59921 Federal Register version (76 FR 63969)
34-65517
Oct. 7, 2011
SR-CBOE-2011-097
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (76 FR 63976)
34-65518
Oct. 7, 2011
SR-CBOE-2011-096
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (76 FR 63971)
34-65519
Oct. 7, 2011
SR-CBOE-2011-094
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule Comments Due: Federal Register version (76 FR 63974)
34-65521
Oct. 7, 2011
SR-C2-2011-029
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Insert the Specific Conclusion Date of a Newly Approved Pilot Program Comments Due: Federal Register version (76 FR 63973)
34-65494
Oct. 6, 2011
SR-BATS-2011-044
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 63696)
34-65497
Oct. 6, 2011
SR-BATS-2011-042
Notice of Filing and Immediate Effectiveness of a Revenue Sharing Program With Correlix and a Free Trial Period for New Users of the Correlix Service Comments Due: Federal Register version (76 FR 63685)
34-65500
Oct. 6, 2011
SR-BATS-2011-041
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Definition of Professional and Require That All Professional Orders Be Appropriately Marked Comments Due: Federal Register version (76 FR 63686)
34-65496
Oct. 6, 2011
SR-BYX-2011-027
Notice of Filing and Immediate Effectiveness of a Revenue Sharing Program With Correlix and a Free Trial Period for New Users of the Correlix Service Comments Due: Federal Register version (76 FR 63695)
34-65493
Oct. 6, 2011
SR-BYX-2011-028
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. Comments Due: Federal Register version (76 FR 63683)
34-65505
Oct. 6, 2011
SR-NYSEAmex-2011-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 975NY (Obvious and Catastrophic Errors) Comments Due: Exhibit 5 Federal Register version (76 FR 63966)
34-65504
Oct. 6, 2011
SR-NYSE-Arca-2011-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.87 (Obvious and Catastrophic Errors) Comments Due: Exhibit 5 Federal Register version (76 FR 63980)
34-65495
Oct. 6, 2011
SR-MSRB-2011-18
Notice of Filing and Immediate Effectiveness of Amended and Restated Articles of Incorporation of Municipal Securities Rulemaking Board Comments Due: Federal Register version (76 FR 63682)
34-65499
Oct. 6, 2011
SR-ISE-2011-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professional Customer Fees Comments Due: Federal Register version (76 FR 63693)
34-65502
Oct. 6, 2011
SR-ISE-2011-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retire a Pilot Program and To Harmonize ISE's Rules Regarding Listing Expirations With the Existing Rules of Other Exchanges Comments Due: Federal Register version (76 FR 63689)
34-65503
Oct. 6, 2011
SR-ISE-2011-60
Notice of Filing of Proposed Rule Change by International Securities Exchange, LLC to Expand the Short Term Options Series Program Comments Due: Exhibit 5 , Rel. No. 34-65771 Federal Register version (76 FR 63691)
34-65491
Oct. 6, 2011
SR-CBOE-2011-093
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Customer Large Trade Discount Comments Due: Federal Register version (76 FR 63680)
34-65492
Oct. 6, 2011
SR-CBOE-2011-095
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule To Delete Erroneous Language With Respect to the SPX Tier Appointment Comments Due: Federal Register version (76 FR 63698)
34-65489
Oct. 5, 2011
SR-CME-2011-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment To Add One Additional Series of Credit Default Index Swaps Available for Clearing Comments Due: Federal Register version (76 FR 63339)
34-65488
Oct. 5, 2011
SR-NASDAQ-2011-132
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Fee Pilot Program for NASDAQ Last Sale Comments Due: View Received Comments Federal Register version (76 FR 63334)
34-65478
Oct. 4, 2011
SR-Phlx-2011-130
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the SQT Fees Comments Due: Federal Register version (76 FR 62872)
34-65483
Oct. 4, 2011
SR-OCC-2011-13
Notice of Filing of Proposed Rule Relating to Relative Performance Indexes Comments Due: Rel. No. 34-65807 , Rel. No. 34-66070 , Rel. No. 34-65807 , Rel. No. 34-66070 Federal Register version (76 FR 62891)
34-65484
Oct. 4, 2011
SR-OCC-2011-14
Notice of Filing of Proposed Rule Relating to Clearing Options on the CBOE Silver Volatility Index Comments Due: Rel. No. 34-65789 , Rel. No. 34-65789 Federal Register version (76 FR 62883)
34-65477
Oct. 4, 2011
SR-FINRA-2011-028
Notice of Withdrawal of Proposed Rule Change To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook Rel. No. 34-64736 Federal Register version (76 FR 62890)
34-65480
Oct. 4, 2011
SR-CBOE-2011-091
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CBOE Stock Exchange Transaction Fees Comments Due: Federal Register version (76 FR 62877)
