34-65280
Sept. 7, 2011
SR-CBOE-2011-083
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees Comments Due: Federal Register version (76 FR 56838)
34-65279
Sept. 7, 2011
SR-C2-2011-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees Comments Due: Federal Register version (76 FR 56824)
34-65266
Sept. 6, 2011
SR-BATS-2011-032
Notice of Filing of Proposed Rule Change by BATS Exchange, Inc. To Adopt Rules Applicable to Auctions Conducted by the Exchange for Exchange-Listed Securities Comments Due: Rel. No. 34-65619 Federal Register version (76 FR 56249)
34-65268
Sept. 6, 2011
SR-CHX-2011-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Cancellation Fee Comments Due: Federal Register version (76 FR 56246)
34-65269
Sept. 6, 2011
SR-CHX-2011-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove its Tiered Schedule of Fees and Rebates and To Lower or Remove Certain Rebates Comments Due: Federal Register version (76 FR 56248)
34-65264
Sept. 6, 2011
SR-NYSE-2011-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 501.00 of the Listed Company Manual To Expand the Waiver Provision To Apply to Foreign Issuers Comments Due: Federal Register version (76 FR 56244)
34-65263
Sept. 6, 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. 34-65749 , Rel. No. 34-66927 , and Rel. No. 34-66918 Federal Register version (76 FR 55989)
34-65253
Sept. 2, 2011
SR-Phlx-2011-121
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Clarifying Amendments to Direct Connectivity Services Comments Due: Federal Register version (76 FR 55995)
34-65257
Sept. 2, 2011
SR-Phlx-2011-123
Notice of Filing of Proposed Rule Change Relating to the Quarterly Trading Requirements Applicable to Registered Options Traders Comments Due: Rel. No. 34-65644 Federal Register version (76 FR 55996)
34-65249
Sept. 2, 2011
SR-NYSEArca-2011-63
Notice of Filing of Proposed Rule Change To List and Trade Shares of the United States Metals Index Fund, the United States Agriculture Index Fund and the United States Copper Index Fund Under NYSE Arca Equities Rule 8.200 Comments Due: Rel. No. 34-65601 Federal Register version (76 FR 55956)
34-65251
Sept. 2, 2011
SR-BX-2011-060
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clarifying Amendment To Direct Connectivity Services Comments Due: Federal Register version (76 FR 55986)
34-65252
Sept. 2, 2011
SR-NASDAQ-2011-119
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clarifying Amendment To Direct Connectivity Services Comments Due: Federal Register version (76 FR 55988)
34-65255
Sept. 2, 2011
SR-MSRB-2011-12
Notice of Filing of Proposed New Rule G-42, on Political Contributions and Prohibitions on Municipal Advisory Activities; Proposed Amendments to Rules G-8, on Books and Records, G-9, on Preservation of Records, and G-37, on Political Contributions and Prohibitions on Municipal Securities Business; Proposed Form G-37/G-42 and Form G-37x/G-42x; and a Proposed Restatement of a Rule G-37 Interpretive Notice Federal Register version (76 FR 55976)
34-65259
Sept. 2, 2011
SR-ICC-2011-01
Notice of Filing of Proposed Rule Change To Add Rules Related to the Clearing of Emerging Markets Sovereigns Comments Due: Rel. No. 34-65588 Federal Register version (76 FR 55984)
34-65250
Sept. 2, 2011
SR-CBOE-2011-084
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Obsolete Language From the CBOE Stock Exchange Fees Schedule Comments Due: Federal Register version (76 FR 55998)
34-65246
Sept. 1, 2011
SR-NASDAQ-2011-120
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center Comments Due: Exhibit 5 Federal Register version (76 FR 55954)
34-65239
Aug. 31, 2011
SR-NYSEAmex-2011-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule for Co-Location Services To Correct Several Typographical Errors Comments Due: Federal Register version (76 FR 55435)
34-65240
Aug. 31, 2011
SR-NYSEAmex-2011-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Equities Price List for Co-Location Services To Correct Several Typographical Errors Comments Due: Federal Register version (76 FR 55434)
34-65233
Aug. 31, 2011
SR-Phlx-2011-122
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for NASDAQ OMX PSX Comments Due: Exhibit 5 Federal Register version (76 FR 55438)
34-65236
Aug. 31, 2011
SR-NYSEArca-2011-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule for Co-Location Services To Correct Several Typographical Errors Comments Due: Exhibit 5 Federal Register version (76 FR 55437)
34-65238
Aug. 31, 2011
SR-NYSEArca-2011-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Equities Schedule of Fees and Services for Exchange Services ("Fee Schedule") for Co-Location Services To Correct Several Typographical Errors Comments Due: Exhibit 5 Federal Register version (76 FR 55431)
34-65237
Aug. 31, 2011
SR-NYSE-2011-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List for Co-Location Services To Correct Several Typographical Errors Comments Due: Exhibit 5 Federal Register version (76 FR 55432)
34-65234
Aug. 31, 2011
SR-MSRB-2011-10
Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board Consisting of Amendments to MSRB Rule G-20 (Gifts and Gratuities) and Related Amendments to MSRB Rule G-8 (Books and Records) and MSRB Rule G-9 (Preservation of Records), and To Clarify That Certain Interpretations by the Financial Industry Regulatory Authority and the National Association of Securities Dealers Would Be Applicable to Municipal Advisors View Received Comments Federal Register version (76 FR 55449)
34-65241
Aug. 31, 2011
SR-CBOE-2011-080
Notice of Filing and Immediate Effectiveness of Proposal To Retire a Pilot Program and To Harmonize CBOE's Rules Regarding Listing Expirations With the Existing Rules of Other Exchanges Comments Due: Federal Register version (76 FR 55429)
34-65232
Aug. 31, 2011
SR-C2-2011-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trading Halts Comments Due: Federal Register version (76 FR 55440)
34-65228
Aug. 30, 2011
SR-Phlx-2011-119
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reversal and Conversion Strategies Comments Due: Exhibit 5 Federal Register version (76 FR 55453)
34-65226
Aug. 30, 2011
SR-BX-2011-059
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Name of the BX Ouch BBO Feed to the BX MatchView Feed and To Modify Its Contents Comments Due: Federal Register version (76 FR 55445)
34-65221
Aug. 30, 2011
SR-FINRA-2011-042
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee for the Operations Professional Examination Comments Due: Federal Register version (76 FR 58061)
34-65222
Aug. 30, 2011
SR-FINRA-2011-041
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Selection Specifications and Study Outline for the Operations Professional ("Series 99") Examination Program Comments Due: View Received Comments Exhibit 3A , Text of Proposed Rule Change Federal Register version (76 FR 55443)
34-65224
Aug. 30, 2011
SR-CBOE-2011-081
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Compliance Deadline for Qualification Pursuant to Rule 3.6A Comments Due: Federal Register version (76 FR 58074)
34-65209
Aug. 26, 2011
SR-NYSEAmex-2011-61
Notice of Filing of Proposed Rule Change Adding Commentary .01 to Rule 925.1NY To Indicate That Market Makers Will Not Be Obligated To Quote in Adjusted Option Series and To Clarify an Existing Exception to the Quoting Obligations Comments Due: Rel. No. 34-65572 Federal Register version (76 FR 54518)
34-65203
Aug. 26, 2011
SR-Phlx-2011-120
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Change the Name of the PSX Ouch BBO Feed to the PSX MatchView Feed and To Modify Its Contents Comments Due: Federal Register version (76 FR 54514)
34-65206
Aug. 26, 2011
SR-Phlx-2011-124
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols Comments Due: Exhibit 5 Federal Register version (76 FR 54827)
34-65210
Aug. 26, 2011
SR-NYSEArca-2011-59
Notice of Filing of Proposed Rule Change Adding Commentary .01 to Rule 6.37B To Indicate That Market Makers Will Not Be Obligated To Quote in Adjusted Option Series and To Clarify an Existing Exception to the Quoting Obligations Comments Due: Rel. No. 34-65573 Federal Register version (76 FR 54516)
34-65197
Aug. 25, 2011
SR-EDGX-2011-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 1.5(q) Comments Due: Exhibit 5 Federal Register version (76 FR 54281)
34-65200
Aug. 25, 2011
SR-CME-2011-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect Differences in Proprietary Trading Exchange Fees Based on Ownership of CME Group Shares Comments Due: Federal Register version (76 FR 54275)
34-65202
Aug. 25, 2011
SR-CME-2011-05
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Certain Rules To Facilitate Clearing of Additional Interest Rate Swap Products Comments Due: Federal Register version (76 FR 54270)
34-65196
Aug. 25, 2011
SR-EDGA-2011-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 1.5(q) Comments Due: Exhibit 5 Federal Register version (76 FR 54267)
34-65195
Aug. 25, 2011
SR-Phlx-2011-117
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Active SQF Port Fee and the Order Entry Port Fee Comments Due: Exhibit 5 Federal Register version (76 FR 54279)
34-65198
Aug. 25, 2011
SR-FICC-2011-06
Notice of Filing of Proposed Rule Change To Eliminate Two Rules of the Mortgage-Backed Securities Division That FICC Believes Are No Longer Utilized or Necessary Comments Due: Rel. No. 34-65479 Federal Register version (76 FR 54268)
34-65189
Aug. 24, 2011
SR-EDGX-2011-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the EDGX Fee Schedule To Establish an Annual Membership Fee, Monthly Trading Rights Fee, and a Monthly MPID Fee Comments Due: Federal Register version (76 FR 53990)
34-65188
Aug. 24, 2011
SR-EDGA-2011-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the EDGA Fee Schedule To Establish an Annual Membership Fee, Monthly Trading Rights Fee, and a Monthly MPID Fee Comments Due: Federal Register version (76 FR 53988)
34-65192
Aug. 24, 2011
SR-NYSEAmex-2011-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding New Commentary .02 to NYSE Amex Options Rule 965NY To Provide for the Nullification of Reported Trades by Mutual Agreement of the Parties Thereto Comments Due: Exhibit 5 Federal Register version (76 FR 54272)
34-65191
Aug. 24, 2011
SR-NYSEArca-2011-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding New Commentary .02 to NYSE Arca Options Rule 6.77 To Provide for the Nullification of Reported Trades by Mutual Agreement of the Parties Thereto Comments Due: Exhibit 5 Federal Register version (76 FR 54274)
34-65181
Aug. 22, 2011
SR-NYSEAmex-2011-64
Notice of Filing of Proposed Rule Change Amending NYSE Amex Options Rule 993NY(b)(2) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the Text of NYSE Amex Options Rule 993NY(b)(1)(B) To More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority Comments Due: Exhibit 5 Federal Register version (76 FR 53516)
34-65184
Aug. 22, 2011
SR-NYSEAmex-2011-63
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 17(c)(2)(B) To Make Permanent the Pilot Program that Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the NYSE Amex Equities Rule 17(c)(2)(A)(ii) To More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority Comments Due: Exhibit 5 Federal Register version (76 FR 53511)
34-65182
Aug. 22, 2011
SR-NYSEArca-2011-62
Notice of Filing of Proposed Rule Change Amending NYSE Arca Options Rule 6.96(b)(2) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in its Capacity as a Facility of Affiliated Exchanges and To Clarify the Text of NYSE Arca Options Rule 6.96(b)(1)(B) To More Accurately Reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority Comments Due: Exhibit 5 Federal Register version (76 FR 53515)
34-65185
Aug. 22, 2011
SR-NYSEArca-2011-61
Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.45(c)(2) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the Text of NYSE Arca Equities Rule 7.45(c)(1)(B) to More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority Comments Due: Exhibit 5 Federal Register version (76 FR 53509)
34-65183
Aug. 22, 2011
SR-NYSE-2011-45
Notice of Filing of Proposed Rule Change Amending NYSE Rule 17(c)(2)(B) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the Text of NYSE Rule 17(c)(2)(A)(ii) To More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority Comments Due: Exhibit 5 , Rel. No. 34-65453 Federal Register version (76 FR 53513)
34-65176
Aug. 22, 2011
SR-NASDAQ-2011-117
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Rule 4753(c) Comments Due: Federal Register version (76 FR 53518)
34-65180
Aug. 22, 2011
SR-NASDAQ-2011-111
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Access Services Fees Comments Due: Federal Register version (76 FR 53521)
34-65174
Aug. 19, 2011
SR-Phlx-2011-115
Notice of Filing and Immediate Effectiveness To Establish and Adopt Fees for the New PSX Pre-Trade Risk Management Service Comments Due: Exhibit 5 Federal Register version (76 FR 53506)
34-65175
Aug. 19, 2011
SR-BX-2011-057
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish and Adopt Fees for the New BX Pre-Trade Risk Management Service Comments Due: Federal Register version (76 FR 53503)
34-65177
Aug. 19, 2011
SR-BX-2011-058
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Pilot Period for BOX To Receive Inbound Routes of Orders From NOS Comments Due: Federal Register version (76 FR 53507)
34-65165
Aug. 18, 2011
SR-NYSEAmex-2011-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of NYSE Amex Equities Rules 92, 513, 514 and Adopting New NYSE Amex Equities Rule 5320 That Is Substantially the Same as Financial Industry Regulatory Authority Rule 5320 To Prohibit Trading Ahead of Customer Orders With Certain Exceptions (Commonly Known as the Manning Rule) Comments Due: Exhibit 2a , Exhibit 2b , Exhibit 2c , Exhibit 5 Federal Register version (76 FR 53009)
34-65160
Aug. 18, 2011
SR-NYSEArca-2011-54
Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Relating to Listing and Trading of the WisdomTree Dreyfus Australia & New Zealand Debt Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Federal Register version (76 FR 52998)
34-65161
Aug. 18, 2011
SR-NYSEArca-2011-53
Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. To Reflect a Change to the Benchmark Index Applicable to the Russell Equity ETF Comments Due: Rel. No. 34-65400 Federal Register version (76 FR 53004)
34-65166
Aug. 18, 2011
SR-NYSEArca-2011-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of NYSE Arca Equities Rules 6.16 and 6.16A, and Adopting New NYSE Arca Equities Rule 5320 That Is Substantially the Same as Financial Industry Regulatory Authority Rule 5320 To Prohibit Trading Ahead of Customer Orders With Certain Exceptions (Commonly Known as the Manning Rule) Comments Due: Exhibit 5 Federal Register version (76 FR 53012)
34-65164
Aug. 18, 2011
SR-NYSE-2011-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of NYSE Rule 92 and Adopting a New NYSE Rule 5320 That Is Substantially the Same as Financial Industry Regulatory Authority Rule 5320 To Prohibit Trading Ahead of Customer Orders With Certain Exceptions (Commonly Known as the Manning Rule) Comments Due: View Received Comments Exhibit 2a , Exhibit 2b , Exhibit 2c , Exhibit 5 Federal Register version (76 FR 53015)
34-65159
Aug. 18, 2011
SR-NASDAQ-2011-118
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Name and Modify the Contents of the NASDAQ Ouch BBO Feed Comments Due: Federal Register version (76 FR 53007)
34-65158
Aug. 18, 2011
SR-MSRB-2011-11
Notice of Filing of Amendments to Rule A-3, on Membership on the Board Comments Due: View Received Comments Federal Register version (76 FR 52724)
34-65150
Aug. 17, 2011
SR-NASDAQ-2011-113
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Clerical Changes to Its Rules Comments Due: Federal Register version (76 FR 52727)
34-65147
Aug. 17, 2011
SR-CBOE-2011-075
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Registration and Qualification Requirements Comments Due: Federal Register version (76 FR 52722)
34-65143
Aug. 16, 2011
SR-BYX-2011-016
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 52375)
34-65141
Aug. 16, 2011
SR-CME-2011-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Regarding Liens on Collateral That Relates Solely to Its Futures Clearing Operations Comments Due: Federal Register version (76 FR 52373)
34-65140
Aug. 16, 2011
SR-Phlx-2011-116
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Orders From NASDAQ Options Services Comments Due: Federal Register version (76 FR 52374)
34-65142
Aug. 16, 2011
SR-Phlx-2011-112
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Clarifying Amendments to the Rule Book Comments Due: Exhibit 5 Federal Register version (76 FR 52371)
34-65133
Aug. 15, 2011
SR-BATS-2011-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a Bulk-Quoting Interface Comments Due: Federal Register version (76 FR 52032)
34-65135
Aug. 15, 2011
SR-Phlx-2011-111
Notice of Filing of Proposed Rule Change Requesting Permanent Approval of Pilot Program to Permit NASDAQ OMX PHLX to Receive Inbound Routes by Nasdaq Options Services Comments Due: Rel. No. 34-65399 Federal Register version (76 FR 52030)
34-65138
Aug. 15, 2011
SR-NASDAQ-2011-112
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates in Penny Pilot Options Comments Due: Federal Register version (76 FR 52369)
34-65119
Aug. 12, 2011
SR-OCC-2011-10
Notice of Filing of Proposed Rule Change To Revise Its By-Laws and Rules To Establish a Clearing Fund Amount Intended To Support Losses Under a Defined Set of Default Scenarios Comments Due: Federal Register version (76 FR 51087)
34-65126
Aug. 12, 2011
SR-NYSEArca-2011-51
Notice of Filing of Proposed Rule Change To List and Trade Managed Fund Shares of TrimTabs Float Shrink ETF Under NYSE Arca Equities Rule 8.600 Comments Due: 34-65468A , Rel. No. 34-65468 Federal Register version (76 FR 51442)
34-65125
Aug. 12, 2011
SR-NASDAQ-2011-105
Notice of Filing of Proposed Rule Change To Establish an Acceptable Trade Range for Quotes and Orders Entered on the NASDAQ Options Market Comments Due: Rel. No. 34-65405 Federal Register version (76 FR 51453)
34-65109
Aug. 11, 2011
SR-EDGX-2011-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.13 Comments Due: Exhibit 5 Federal Register version (76 FR 51103)
34-65113
Aug. 11, 2011
SR-BATS-2011-028
Notice of Filing of Proposed Rule Change To Amend BATS Rule 11.17, Entitled "Clearly Erroneous Executions" Comments Due: Federal Register version (76 FR 51089)
34-65112
Aug. 11, 2011
SR-BYX-2011-019
Notice of Filing of Proposed Rule Change To Amend BYX Rule 11.17, Entitled "Clearly Erroneous Executions" Comments Due: Federal Register version (76 FR 51092)
34-65110
Aug. 11, 2011
SR-EDGA-2011-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13 Comments Due: Exhibit 5 Federal Register version (76 FR 51084)
34-65114
Aug. 11, 2011
SR-NSX-2011-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11.19(c) Relating to Clearly Erroneous Transactions Comments Due: Exhibit 5 Federal Register version (76 FR 51439)
34-65102
Aug. 11, 2011
SR-NYSE-Amex-2011-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 128 so That Clearly Erroneous Executions Involving Securities Recently Added to the Individual Security Trading Pause Pilot Under NYSE Amex Equities Rule 80C Continue To Be Resolved in the Same Manner Before Being Added to the Pilot Comments Due: Exhibit 5 Federal Register version (76 FR 51111)
34-65115
Aug. 11, 2011
SR-CHX-2011-22
Notice of Filing of Proposed Rule Change To Amend Article 20, Rule 10, Governing Clearly Erroneous Executions Comments Due: Federal Register version (76 FR 51447)
34-65098
Aug. 11, 2011
SR-Phlx-2011-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on ETFS Gold Trust Comments Due: Exhibit 5 Federal Register version (76 FR 51116)
34-65106
Aug. 11, 2011
SR-Phlx-2011-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearly Erroneous Rule in Light of Changes to the Single Stock Trading Pause Process Comments Due: Exhibit 5 Federal Register version (76 FR 51079)
34-65107
Aug. 11, 2011
SR-NYSEArca-2011-58
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.10 So That Clearly Erroneous Executions Involving Securities Recently Added to the Individual Security Trading Pause Pilot Under NYSE Arca Equities Rule 7.11 Continue To Be Resolved in the Same Manner Before Being Added to the Pilot Comments Due: Exhibit 5 Federal Register version (76 FR 51105)
34-65111
Aug. 11, 2011
SR-NYSE-2011-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128 So That Clearly Erroneous Executions Involving Securities Recently Added to the Individual Security Trading Pause Pilot Under NYSE Rule 80C Continue To Be Resolved in the Same Manner Before Being Added to the Pilot Comments Due: Exhibit 5 Federal Register version (76 FR 52028)
34-65105
Aug. 11, 2011
SR-BX-2011-056
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearly Erroneous Rule in Light of Changes to the Single Stock Trading Pause Process Comments Due: Exhibit 5 Federal Register version (76 FR 51108)
34-65099
Aug. 11, 2011
SR-NASDAQ-2011-109
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on ETFS Gold Trust Comments Due: Exhibit 5 Federal Register version (76 FR 51114)
34-65104
Aug. 11, 2011
SR-NASDAQ-2011-116
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearly Erroneous Rule in Light of Changes to the Single Stock Trading Pause Process Comments Due: Exhibit 5 Federal Register version (76 FR 51076)
34-65108
Aug. 11, 2011
SR-ISE-2011-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 Comments Due: Exhibit 5 Federal Register version (76 FR 51082)
34-65101
Aug. 11, 2011
SR-FINRA-2011-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) Comments Due: Federal Register version (76 FR 51097)
34-65137
Aug. 11, 2011
SR-FINRA-2011-040
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Supplementary Material to FINRA Rule 1230(b)(6) (Operations Professional) Comments Due: Federal Register version (76 FR 52040)
34-65103
Aug. 11, 2011
SR-CBOE-2011-078
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the CBSX Clearly Erroneous Policy Pilot Program Comments Due: Federal Register version (76 FR 51094)
34-65092
Aug. 10, 2011
SR-EDGX-2011-23
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 January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 50786)
34-65085
Aug. 10, 2011
SR-BATS-2011-025
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 50803)
34-65091
Aug. 10, 2011
SR-EDGA-2011-24
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 January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 50788)
34-65095
Aug. 10, 2011
SR-NSX-2011-08
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 (76 FR 50777)
34-65089
Aug. 10, 2011
SR-NYSEAmex-2011-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, To Extend the Pilot Until January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 50791)
34-65083
Aug. 10, 2011
SR-Phlx-2011-113
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for NMS Stocks Comments Due: Federal Register version (76 FR 50801)
34-65088
Aug. 10, 2011
SR-NYSEArca-2011-55
Notice of Filing and Immediate Effectiveness of 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 Pilot Until January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 50793)
34-65090
Aug. 10, 2011
SR-NYSE-2011-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, To Extend the Pilot Until January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 50790)
34-65093
Aug. 10, 2011
SR-BX-2011-055
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for NMS Stocks Federal Register version (76 FR 50781)
