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-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)
34-65660
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)
34-65659
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)
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)
