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)
34-65481
Oct. 4, 2011
SR-CBOE-2011-092
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees Comments Due: Federal Register version (76 FR 62881)
34-65482
Oct. 4, 2011
SR-C2-2011-028
Notice of Filing and Immediate Effectiveness of Proposed Rule ChangeRelating to PULSe Fees Comments Due: Federal Register version (76 FR 62879)
34-65473
Oct. 3, 2011
SR-BATS-2011-043
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (76 FR 62884)
34-65472
Oct. 3, 2011
SR-NYSEAmex-2011-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Applicable to Qualified Contingent Cross Orders in the Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 62887)
34-65469
Oct. 3, 2011
SR-Phlx-2011-108
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Functionality on NASDAQ OMX PSX Comments Due: Federal Register version (76 FR 62486)
34-65470
Oct. 3, 2011
SR-BX-2011-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Functionality on the NASDAQ OMX BX Equities Market Comments Due: Federal Register version (76 FR 62489)
34-65467
Oct. 3, 2011
SR-NASDAQ-2011-136
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Options Market Rules Chapter VII, Section 6, Market Maker Quotations Comments Due: Federal Register version (76 FR 62484)
34-65471
Oct. 3, 2011
SR-C2-2011-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the C2 Fees Schedule Comments Due: Federal Register version (76 FR 62491)
34-65449
Sept. 30, 2011
SR-BATS-2011-036
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend BATS Rule 13.3 To Prohibit Members From Voting Uninstructed Shares on Certain Matters and To Align BATS Rule 13.3, Concerning the Forwarding of Proxy and Other Material and Proxy Voting, With the Rules of Other Self-Regulatory Organizations Comments Due: Federal Register version (76 FR 62107)
34-65448
Sept. 30, 2011
SR-BYX-2011-024
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend BYX Rule 13.3 To Prohibit Members From Voting Uninstructed Shares on Certain Matters and To Align BYX Rule 13.3, Concerning the Forwarding of Proxy and Other Material and Proxy Voting, With the Rules of Other Self-Regulatory Organizations Comments Due: Federal Register version (76 FR 62103)
34-65444
Sept. 30, 2011
SR-CHX-2011-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain References to the Exchange Acting as the Designated Examining Authority Comments Due: Federal Register version (76 FR 62126)
34-65447
Sept. 30, 2011
SR-BX-2011-067
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide an Optional Functionality for a BOX Options Participant To Prevent Its Market Maker or Proprietary Broker-Dealer Orders Entered in BOX From Trading With Quotes/Orders Originating From the Same BOX Participant and Were Resting on the BOX Book Comments Due: Exhibit 5 Federal Register version (76 FR 62111)
34-65459
Sept. 30, 2011
SR-FINRA-2011-053
Notice of Filing of Proposed Rule Change to Amend Certain Trade Reporting and Compliance Rules Comments Due: View Received Comments Rel. No. 34-65791 Federal Register version (76 FR 62128)
34-65445
Sept. 30, 2011
SR-CBOE-2011-086
Notice of Proposed Rule To Increase the Number of Series Permitted per Class in the Short Term Option Series Program Comments Due: Rel. No. 34-65772 Federal Register version (76 FR 62102)
34-65454
Sept. 30, 2011
SR-CBOE-2011-090
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Inactivity Fee on the CBOE Stock Exchange Fees Schedule Comments Due: Federal Register version (76 FR 62121)
34-65452
Sept. 30, 2011
SR-C2-2011-023
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend C2 Rule 8.2 Concerning the Market-Maker Registration Cost for SPXPM Comments Due: Federal Register version (76 FR 62123)
34-65442
Sept. 29, 2011
SR-FINRA-2011-055
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks Comments Due: Federal Register version (76 FR 61773)
34-65440
Sept. 28, 2011
SR-EDGX-2011-30
Notice of Filing of Proposed Rule Change To Amend EDGX Rule 11.14 Comments Due: View Received Comments Rel. No. 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 Federal Register version (76 FR 61444)
34-65437
Sept. 28, 2011
SR-BATS-2011-038
Notice of Filing of a Proposed Rule Change To Modify the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility Comments Due: View Received Comments Rel. No. 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 Federal Register version (76 FR 61466)
34-65429
Sept. 28, 2011
SR-BYX-2011-025
Notice of Filing of a Proposed Rule Change To Modify the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 Federal Register version (76 FR 61432)
34-65431
Sept. 28, 2011
SR-EDGA-2011-31
Notice of Filing of Proposed Rule Change by EDGA Exchange, Inc. To Amend EDGA Rule 11.14 To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility Comments Due: View Received Comments Federal Register version (76 FR 61425)
34-65436
Sept. 28, 2011
SR-NSX-2011-11
Notice of Filing of Proposed Rule Change To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility Comments Due: View Received Comments Federal Register version (76 FR 61450)
34-65421
Sept. 28, 2011
SR-NYSEAmex-2011-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Rule 903 in Order To Simplify the $1 Strike Price Program Comments Due: Exhibit 5 Federal Register version (76 FR 61469)
34-65432
Sept. 28, 2011
SR-NYSEAmex-2011-73
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 80B To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility Comments Due: View Received Comments Federal Register version (76 FR 61422)
34-65426
Sept. 28, 2011
SR-CHX-2011-30
Notice of Filing Proposed Rule Change To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due To Extraordinary Market Volatility Comments Due: View Received Comments Federal Register version (76 FR 61460)
34-65420
Sept. 28, 2011
SR-Phlx-2011-128
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Regarding Simplification of the Exchange's $1 Strike Price Program Comments Due: Exhibit 5 Federal Register version (76 FR 61413)
34-65434
Sept. 28, 2011
SR-Phlx-2011-129
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Trading Halts Due to Extraordinary Market Volatility Comments Due: View Received Comments Exhibit 5 Federal Register version (76 FR 61419)
34-65418
Sept. 28, 2011
SR-NYSEArca-2011-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .04 to Rule 6.4 in Order To Simplify the $1 Strike Price Program Comments Due: Exhibit 5 Federal Register version (76 FR 61411)
34-65439
Sept. 28, 2011
SR-NYSEArca-2011-68
Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.12 To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility Comments Due: View Received Comments Federal Register version (76 FR 61463)
34-65427
Sept. 28, 2011
SR-NYSE-2011-48
Notice of Filing of Proposed Rule Change Amending Exchange Rule 80B To Revise the Current Methodology For Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility Comments Due: View Received Comments Exhibit 5 Federal Register version (76 FR 61457)
34-65428
Sept. 28, 2011
SR-BX-2011-068
Notice of Filing of Proposed Rule Change To Revise the Methodology for Determining When to Halt Trading Due to Extraordinary Market Volatility Comments Due: View Received Comments Federal Register version (76 FR 61435)
34-65419
Sept. 28, 2011
SR-Nasdaq-2011-133
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Regarding Simplification of the Exchange's $1 Strike Price Program Comments Due: Exhibit 5 Federal Register version (76 FR 61441)
34-65435
Sept. 28, 2011
SR-NASDAQ-2011-131
Notice of Filing of Proposed Rule Change To Revise the Methodology for Determining When to Halt Trading Due to Extraordinary Market Volatility Comments Due: View Received Comments Federal Register version (76 FR 61416)
34-65425
Sept. 28, 2011
SR-ISE-2011-61
Notice of Proposed Rule Change Related to Trading Halts Due to Extraordinary Market Volatility Comments Due: View Received Comments Exhibit 5 Federal Register version (76 FR 61438)
34-65430
Sept. 28, 2011
SR-FINRA-2011-054
Notice of Filing of Proposed Rule Change To Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) Comments Due: View Received Comments Federal Register version (76 FR 61429)
34-65417
Sept. 28, 2011
SR-CBOE-2011-089
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Two-Day Settlement on CBOE Stock Exchange Comments Due: Federal Register version (76 FR 61772)
34-65438
Sept. 28, 2011
SR-CBOE-2011-087
Notice of Proposed Rule Change Related to Market-Wide Circuit Breakers Comments Due: View Received Comments Federal Register version (76 FR 61447)
34-65433
Sept. 28, 2011
SR-C2-2011-024
Notice of Proposed Rule Change Related to Market-Wide Circuit Breakers Comments Due: View Received Comments Rel. No. 34-67090 , Rel. No 34-66680 , Rel. No. 34-66065 , Rel. No. 34-65770 Federal Register version (76 FR 61453)
34-65407
Sept. 27, 2011
SR-BATS-2011-037
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 61127)
34-65406
Sept. 27, 2011
SR-BYX-2011-023
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 61125)
34-65410
Sept. 27, 2011
4-631
Notice of Designation of a Longer Period for Commission Action on the National Market System Plan To Address Extraordinary Market Volatility by 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. Comments Due: View Received Comments Release No. 34-64547 Federal Register version (76 FR 61121)
34-65393
Sept. 27, 2011
SR-MSRB-2011-17
Notice of Filing of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons Comments Due: View Received Comments Federal Register version (76 FR 60953)
34-65408
Sept. 27, 2011
SR-FINRA-2011-049
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits Comments Due: Federal Register version (76 FR 61124)
34-65401
Sept. 26, 2011
SR-NSCC-2011-07
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Rules Relating to the Settlement Timing of Partial Transfers Which Include Mutual Fund Assets Through NSCC's Automated Customer Account Transfer Service Comments Due: Federal Register version (76 FR 60950)
34-65394
Sept. 26, 2011
SR-MSRB-2011-10
Notice of Withdrawal of Proposed Rule Change 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 Rel. No. 34-65234 Federal Register version (76 FR 60952)
34-65395
Sept. 26, 2011
SR-MSRB-2011-12
Notice of Withdrawal 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 Rel. No. 34-65255 Federal Register version (76 FR 60954)
34-65396
Sept. 26, 2011
SR-MSRB-2011-08
Notice of Withdrawal of Proposed New Rule A-11, on Municipal Advisor Assessments, and New Form A-11-Interim Comments Due: View Received Comments Rel. No. 34-65015 Federal Register version (76 FR 60959)
34-65397
Sept. 26, 2011
SR-MSRB-2011-14
Notice Concerning the Application of Proposed Rule G-36 to Municipal Advisors View Received Comments Rel. No. 34-65282 Federal Register version (76 FR 60955)
34-65398
Sept. 26, 2011
SR-MSRB-2011-15
Notice Concerning the Application of Rule G-17 to Municipal Advisors Rel. No. 34-65292 Federal Register version (76 FR 60958)
34-65388
Sept. 23, 2011
SR-FINRA-2011-051
Notice of Filing of Proposed Rule Change To Create an Exemption From Certain Reporting Obligations Under the Equity Trade Reporting Rules for Certain Alternative Trading Systems Comments Due: View Received Comments Rel. No. 34-65695 Federal Register version (76 FR 60567)
34-65378
Sept. 22, 2011
SR-CME-2011-07
Notice of Filing of Proposed Rule Change To Accept Additional Credit Default Index Swaps for Clearing Comments Due: Rel. No. 34-65655 Federal Register version (76 FR 60110)
34-65381
Sept. 22, 2011
SR-NASDAQ-2011-128
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates To Add Liquidity Comments Due: Exhibit 5 Federal Register version (76 FR 64403)
34-65384
Sept. 22, 2011
SR-ISE-2011-59
Notice of Proposed Rule To Simplify the $1 Strike Price Interval Program Comments Due: Federal Register version (76 FR 60574)
34-65382
Sept. 22, 2011
SR-FINRA-2011-050
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules Comments Due: Federal Register version (76 FR 60106)
34-65379
Sept. 22, 2011
SR-CBOE-2011-079
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market-Maker Trade Prevention Order Comments Due: Federal Register version (76 FR 64402)
34-65380
Sept. 22, 2011
SR-C2-2011-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market-Maker Trade Prevention Order Comments Due: Federal Register version (76 FR 60102)
34-65369
Sept. 21, 2011
SR-NYSEAmex-2011-55
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change 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 Comments Due: View Received Comments Rel. No. 34-65033 Federal Register version (76 FR 59763)
