34-66067
Dec. 29, 2011
SR-CBOE-2011-127
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule Comments Due: Federal Register version (77 FR 518)
34-66061
Dec. 28, 2011
SR-CHX-2011-34
Notice of Filing of Proposed Rule Change Regarding Suspension of a Participant's Trading Privileges on the Exchange Comments Due: Federal Register version (77 FR 312)
34-66062
Dec. 28, 2011
SR-NYSEArca-2011-98
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Arca Equities Rule 7.31(w)(1) To Remove the PNP Plus Order Type Comments Due: Federal Register version (77 FR 3026)
34-66063
Dec. 28, 2011
SR-DTC-2011-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fees for Equity and Debt Derivatives Comments Due: Federal Register version (77 FR 315)
34-66059
Dec. 27, 2011
SR-NYSE-2011-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending for an Additional 12 Months the Pilot Program That Provides an Exception to NYSE Rule 2B by Permitting the Exchange's Equity Ownership Interest in BIDS Holdings L.P. Comments Due: Federal Register version (77 FR 145)
34-66040
Dec. 23, 2011
SR-NYSEAmex-2011-104
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 500 To Extend the Operation of the Pilot Program That Allows Nasdaq Stock Market Securities To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2012 Comments Due: Federal Register version (76 FR 82324)
34-66041
Dec. 23, 2011
SR-NYSEAmex-2011-103
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Under Rule 107B Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2012 Comments Due: Federal Register version (76 FR 82328)
34-66042
Dec. 23, 2011
SR-NYSEAmex-2011-102
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2012 Comments Due: Federal Register version (76 FR 82326)
34-66043
Dec. 23, 2011
SR-NYSEAmex-2011-101
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rules 504 and 509 To Modify the Quoting Requirements Applicable to Designated Market Maker Units Registered in Nasdaq Stock Market Securities Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Comments Due: Federal Register version (76 FR 82329)
34-66044
Dec. 23, 2011
SR-NYSEAmex-2011-100
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 103B, Which Governs the Allocation of Securities to DMMs Comments Due: Federal Register version (76 FR 82344)
34-66045
Dec. 23, 2011
SR-NYSE-2011-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Under Rule 107B Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2012 Comments Due: Federal Register version (76 FR 82342)
34-66046
Dec. 23, 2011
SR-NYSE-2011-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2012 Comments Due: Federal Register version (76 FR 82340)
34-66047
Dec. 23, 2011
SR-NYSE-2011-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 103B, Which Governs the Allocation of Securities to DMMs Comments Due: Exhibit 5 Federal Register version (76 FR 82339)
34-66049
Dec. 23, 2011
SR-FINRA-2011-035
Notice of Filing of Amendment No. 2 to Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2210 (Communications With the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications With the Public Regarding Security Futures), and 2216 (Communications With the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-66681 , Rel. No. 34-65663 , Rel. No. 34-64984 Federal Register version (76 FR 82014)
34-66050
Dec. 23, 2011
SR-FINRA-2011-071
Notice of Filing of Proposed Rule Change To Increase the Trading Activity Fee Rate for Transactions in Covered Equity Securities Comments Due: Rel. No. 34-66276 Federal Register version (76 FR 82334)
34-66048
Dec. 23, 2011
SR-CBOE-2011-116
Notice of Filing of a Proposed Rule Change Relating to Its Automated Improvement Mechanism Comments Due: Federal Register version (76 FR 82336)
34-66052
Dec. 23, 2011
SR-CBOE-2011-123
Notice of Filing of a Proposed Rule Change Related to FLEX Options Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-66702 Federal Register version (77 FR 306)
34-66054
Dec. 23, 2011
SR-CBOE-2011-120
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule Comments Due: Federal Register version (76 FR 82332)
34-66034
Dec. 22, 2011
SR-BATS-2011-051
Notice of Filing of Proposed Rule Change To Implement a Competitive Liquidity Provider Program Comments Due: Exhibit 5 , Rel. No. 34-66307 Federal Register version (76 FR 82011)
34-66029
Dec. 22, 2011
SR-CME-2011-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee Schedule Applicable to Its OTC Interest Rate Swap Clearing Offering Comments Due: Federal Register version (76 FR 82005)
34-66030
Dec. 22, 2011
SR-CME-2011-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee Schedule Applicable to Its OTC Credit Default Swap North American Index Clearing Offering Comments Due: Federal Register version (76 FR 82006)
34-66032
Dec. 22, 2011
SR-NYSEAmex-2011-99
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Amex Equities Rule 70 Comments Due: Exhibit 5 Federal Register version (76 FR 82009)
34-66037
Dec. 22, 2011
SR-Phlx-2011-177
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 (76 FR 82008)
34-66031
Dec. 22, 2011
SR-NYSE-2011-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Rule 70 Comments Due: Exhibit 5 Federal Register version (76 FR 82024)
34-66036
Dec. 22, 2011
SR-NYSE-2011-56
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers File Nos.: Comments Due: Rel. No. 34-67437 , Rel. No. 34-66981 , Rel. No. 34-66397 , Rel. No. 34-65736 , Rel. No. 34-65735 Federal Register version (76 FR 82011)
34-66036
Dec. 22, 2011
SR-NYSEAmex-2011-86
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers File Nos.: Comments Due: Rel. No. 34-67437 , Rel. No. 34-66981 , Rel. No. 34-66397 , Rel. No. 34-65736 , Rel. No. 34-65735 Federal Register version (76 FR 82011)
34-66033
Dec. 22, 2011
SR-FINRA-2011-074
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities Comments Due: Federal Register version (76 FR 82022)
34-66035
Dec. 22, 2011
SR-CBOE-2011-122
Notice of Filing of a Proposed Rule Change Related to FLEX Options Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-66348 Federal Register version (76 FR 82017)
34-66038
Dec. 22, 2011
SR-CBOE-2011-117
Notice of Filing of a Proposed Rule Change Relating to Its Automated Improvement Mechanism Comments Due: Rel. No. 34-66375 Federal Register version (76 FR 82016)
34-66018
Dec. 21, 2011
SR-FINRA-2011-072
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program Comments Due: Federal Register version (76 FR 81549)
34-66007
Dec. 20, 2011
SR-NSX-2011-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule Comments Due: Federal Register version (76 FR 81000)
34-66006
Dec. 20, 2011
SR-NYSEAmex-2011-97
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Amendment to NYSE Amex Rule 452 and Corresponding Section 723 of the Company Guide and Amex Rule 577 Relating to Discretionary Proxy Voting on Executive Compensation Matters Comments Due: Exhibit 5 Federal Register version (76 FR 80989)
34-66016
Dec. 20, 2011
SR-Phlx-2011-164
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fee Schedule for Co-Location Services Comments Due: Exhibit 5 Federal Register version (76 FR 80995)
34-66015
Dec. 20, 2011
SR-BX-2011-081
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Co-Location Services Comments Due: Exhibit 5 Federal Register version (76 FR 80996)
34-66010
Dec. 20, 2011
SR-NASDAQ-2011-160
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Co-Location Services Comments Due: Exhibit 5 Federal Register version (76 FR 80993)
34-66008
Dec. 20, 2011
SR-C2-2011-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program Comments Due: Federal Register version (76 FR 81002)
34-66004
Dec. 19, 2011
SR-Phlx-2011-155
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Stock Execution Clerks and the Trading Floor Personnel Registration Fee Comments Due: Exhibit 5 Federal Register version (76 FR 80442)
34-66005
Dec. 19, 2011
SR-Phlx-2011-174
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategy Executions and the Monthly Cap Comments Due: Exhibit 5 Federal Register version (76 FR 80444)
34-66002
Dec. 19, 2011
SR-NYSEARCA-2011-94
Notice of Filing of Proposed Rule Change To List and Trade Shares of the ProShares Managed Futures Strategy Fund, ProShares Commodity Managed Futures Strategy Fund and ProShares Financial Managed Futures Strategy Fund Under NYSE Arca Equities Rule 8.200 Comments Due: Rel. No. 34-66334 Federal Register version (76 FR 80433)
34-66003
Dec. 19, 2011
SR-NYSE-2011-55
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Adopting New NYSE Rule 107C To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchange for NYSE-listed Securities and New NYSE Amex Equities Rule 107C To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchange for NYSE Amex Equities Traded Securities File Nos.: Comments Due: View Received Comments 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. 34-65672 , Rel. No. 34-65671 Federal Register version (76 FR 80445)
34-66003
Dec. 19, 2011
SR-NYSEAmex-2011-84
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Adopting New NYSE Rule 107C To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchange for NYSE-listed Securities and New NYSE Amex Equities Rule 107C To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchange for NYSE Amex Equities Traded Securities File Nos.: Comments Due: View Received Comments 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. 34-65672 , Rel. No. 34-65671 Federal Register version (76 FR 80445)
34-65986
Dec. 16, 2011
SR-Phlx-2011-175
Notice of Filing of Proposed Rule Change Regarding Strike Price Intervals for SLV and USO Options Comments Due: Exhibit 5 , Rel. No. 34-66285 Federal Register version (76 FR 79748)
34-65990
Dec. 16, 2011
SR-OCC-2011-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Novation of Trades at OCC Comments Due: Federal Register version (76 FR 79731)
34-65988
Dec. 16, 2011
SR-NYSEARCA-2011-95
Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the PIMCO Total Return Exchange Traded Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-66321 Federal Register version (76 FR 79741)
34-65995
Dec. 16, 2011
SR-NYSE-2011-63
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Bond Trading License and the Bond Liquidity Provider Pilot Program Until the Earlier of the Approval of the Securities and Exchange Commission to Make Such Pilot Permanent or January 19, 2013 Comments Due: Federal Register version (76 FR 79726)
34-65987
Dec. 16, 2011
SR-BX-2011-084
Notice of Filing of Proposed Rule Change Relating to Amending the BOX Trading Rules To Reduce the PIP From One Second to 100 Milliseconds Comments Due: Rel. No. 34-66306 Federal Register version (76 FR 79734)
34-65989
Dec. 16, 2011
SR-BX-2011-085
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Fee Schedule With Respect to the Delisting of the Russell 2000 Index Options (RUT) Comments Due: Exhibit 5 Federal Register version (76 FR 79737)
34-65992
Dec. 16, 2011
SR-MSRB-2011-19
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Consisting of Amendments to Rule G-16, on Periodic Compliance Examination, and Rule G-9, on Preservation of Record Comments Due: View Received Comments Rel. No. 34-65631 Federal Register version (76 FR 79738)
34-65993
Dec. 16, 2011
SR-DTC-2011-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating To Update DTC's Custody Service Guide Comments Due: Federal Register version (76 FR 79732)
34-65994
Dec. 16, 2011
SR-DTC-2011-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to DTC's Deposits Service Guide Comments Due: Federal Register version (76 FR 79725)
34-65991
Dec. 16, 2011
4-566
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among 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., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules Comments Due: Federal Register version (76 FR 79714)
34-65965
Dec. 15, 2011
SR-BATS-2011-050
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Federal Register version (76 FR 79244)
34-65959
Dec. 15, 2011
SR-CME-2011-17
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 79258)
34-65978
Dec. 15, 2011
SR-NYSEAmex-2011-98
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 79246)
34-65976
Dec. 15, 2011
SR-Phlx-2011-172
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 79247)
34-65977
Dec. 15, 2011
SR-NYSEArca-2011-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Arca Options Rule 6.72 in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 79234)
34-65966
Dec. 15, 2011
SR-BX-2011-083
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Exhibit 5 Federal Register version (76 FR 79231)
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)
