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)
34-65094
Aug. 10, 2011
SR-NASDAQ-2011-115
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 52724)
34-65084
Aug. 10, 2011
SR-ISE-2011-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Certain Complex Orders Comments Due: Exhibit 5 Federal Register version (76 FR 50805)
34-65087
Aug. 10, 2011
SR-ISE-2011-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Tier-Based Rebates for Qualified Contingent Cross Orders and Solicitation Orders Comments Due: Federal Register version (76 FR 50783)
34-65086
Aug. 10, 2011
SR-FINRA-2011-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position Limit for Options on the Standard and Poor's Depositary Receipts Trust Comments Due: Federal Register version (76 FR 50796)
34-65073
Aug. 9, 2011
SR-EDGX-2011-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.13 To Extend the Operation of a Pilot Program Pursuant to the Rule Until January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 50512)
34-65076
Aug. 9, 2011
SR-BATS-2011-024
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 50525)
34-65079
Aug. 9, 2011
SR-BATS-2011-026
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Pilot Program Related to Clearly Erroneous Execution Reviews Comments Due: Federal Register version (76 FR 50776)
34-65081
Aug. 9, 2011
SR-BATS-2011-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility Comments Due: Federal Register version (76 FR 50798)
34-65077
Aug. 9, 2011
SR-BYX-2011-017
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Pilot Program Related to Clearly Erroneous Execution Reviews Comments Due: Federal Register version (76 FR 50795)
34-65082
Aug. 9, 2011
SR-BYX-2011-018
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility Comments Due: Federal Register version (76 FR 50800)
34-65074
Aug. 9, 2011
SR-EDGA-2011-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13 To Extend the Operation of a Pilot Program Pursuant to the Rule Until January 31, 2012 Comments Due: Federal Register version (76 FR 50511)
34-65067
Aug. 9, 2011
SR-NSX-2011-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend Pilot Program Regarding Clearly Erroneous Executions Comments Due: Exhibit 5 Federal Register version (76 FR 50533)
34-65078
Aug. 9, 2011
SR-CHX-2011-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Relating to Clearly Erroneous Transactions Comments Due: Federal Register version (76 FR 50524)
34-65080
Aug. 9, 2011
SR-CHX-2011-23
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Relating to Individual Securities Circuit Breakers Comments Due: Federal Register version (76 FR 50784)
34-65058
Aug. 9, 2011
SR-Phlx-2011-110
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule Comments Due: Federal Register version (76 FR 50519)
34-65069
Aug. 9, 2011
SR-Phlx-2011-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error in Exchange Rule 1080 Comments Due: Federal Register version (76 FR 50509)
34-65065
Aug. 9, 2011
SR-NYSEArca-2011-56
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 7.10, Clearly Erroneous Executions, To Extend the Effective Date of the Pilot Until January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 50502)
34-65062
Aug. 9, 2011
SR-NYSE-2011-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Credits to Supplemental Liquidity Providers Comments Due: Exhibit 5 Federal Register version (76 FR 50529)
34-65064
Aug. 9, 2011
SR-NYSE-2011-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Clearly Erroneous Executions, To Extend the Effective Date of the Pilot Until January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 50505)
34-65063
Aug. 9, 2011
SR-NASDAQ-2011-110
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to NASDAQ Options Market Rules Comments Due: Federal Register version (76 FR 50521)
34-65068
Aug. 9, 2011
SR-NASDAQ-2011-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule Comments Due: Federal Register version (76 FR 50508)
34-65061
Aug. 9, 2011
SR-ISE-2011-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 To Extend the Pilot Program Comments Due: Federal Register version (76 FR 50503)
34-65072
Aug. 9, 2011
SR-ISE-2011-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102 To Extend the Pilot Program Comments Due: Federal Register version (76 FR 50513)
34-65071
Aug. 9, 2011
SR-FINRA-2011-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of the Trading Pause Pilot Comments Due: Federal Register version (76 FR 50515)
34-65075
Aug. 9, 2011
SR-FINRA-2011-037
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions Comments Due: Exhibit 5 Federal Register version (76 FR 50528)
34-65060
Aug. 9, 2011
SR-CBOE-2011-077
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Extension of a CBSX Clearly Erroneous Policy Pilot Program Comments Due: Federal Register version (76 FR 50532)
34-65070
Aug. 9, 2011
SR-CBOE-2011-076
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Extension of the CBSX Individual Stock Trading Pause Pilot Program Comments Due: Federal Register version (76 FR 50516)
34-65053
Aug. 8, 2011
SR-OC-2011-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow for Four Decimal Point Pricing for Block and Exchange for Physical ("EFPs") Trades Comments Due: Exhibit 4 Federal Register version (76 FR 50276)
34-65056
Aug. 8, 2011
SR-BX-2011-053
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Limited Category of Principal Registration for Proprietary Traders Federal Register version (76 FR 50279)
34-65059
Aug. 8, 2011
SR-BX-2011-054
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule Federal Register version (76 FR 50522)
34-65055
Aug. 8, 2011
SR-NASDAQ-2011-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Limited Category of Principal Registration for Proprietary Traders Comments Due: Federal Register version (76 FR 50281)
34-65054
Aug. 8, 2011
SR-ISE-2011-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Content Outline for the Proprietary Traders Examination (Series 56) Comments Due: Federal Register version (76 FR 50277)
34-65057
Aug. 8, 2011
SR-CBOE-2011-070
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule To Waive the Trading Permit Holder Application Fee on the CBOE Stock Exchange for the Month of August 2011 Comments Due: Federal Register version (76 FR 50518)
34-65047
Aug. 6, 2011
SR-NYSEAmex-2011-56
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 985NY To Permit Qualified Contingent Cross Orders To Be Electronically Submitted to the NYSE Amex System From the Floor of the Exchange for Potential Execution Comments Due: Exhibit 5 Federal Register version (76 FR 51075)
34-65066
Aug. 6, 2011
SR-NYSEAmex-2011-58
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 128, Clearly Erroneous Executions, To Extend the Effective Date of the Pilot Until January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 50506)
34-65043
Aug. 5, 2011
SR-Phlx-2011-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL Comments Due: Federal Register version (76 FR 49824)
34-65046
Aug. 5, 2011
SR-Phlx-2011-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Active SQF Port Fee Comments Due: Exhibit 5 Federal Register version (76 FR 49821)
34-65049
Aug. 5, 2011
SR-Phlx-2011-103
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 49810)
34-65050
Aug. 5, 2011
SR-Phlx-2011-101
Notice of Filing of Proposed Rule Change Regarding Streaming Quote Traders and Remote Streaming Quote Traders Entering Certain Option Day Limit Orders Comments Due: Exhibit 5 , Rel. No. 34-65389 Federal Register version (76 FR 49816)
34-65048
Aug. 5, 2011
SR-NYSEArca-2011-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.90 To Permit Qualified Contingent Cross Orders To Be Electronically Submitted to the NYSE Arca System From the Floor of the Exchange for Potential Execution Comments Due: Exhibit 5 Federal Register version (76 FR 49818)
34-65039
Aug. 5, 2011
SR-BX-2011-052
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proprietary Traders Qualification Examination ("Series 56") Comments Due: Federal Register version (76 FR 49805)
34-65042
Aug. 5, 2011
SR-BX-2011-051
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proprietary Trader Examination Comments Due: Federal Register version (76 FR 49807)
34-65038
Aug. 5, 2011
SR-NASDAQ-2011-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Defined Term "Closed-End Fund" in Rules 5910 and 5920 Comments Due: Federal Register version (76 FR 49515)
34-65040
Aug. 5, 2011
SR-NASDAQ-2011-108
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proprietary Traders Qualification Examination ("Series 56") Comments Due: Federal Register version (76 FR 49809)
34-65041
Aug. 5, 2011
SR-NASDAQ-2011-107
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct the Proprietary Trader Registration Category Comments Due: Federal Register version (76 FR 49822)
34-65033
Aug. 4, 2011
SR-NYSEAmex-2011-55
Notice of Filing of 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. 34-65369 Federal Register version (76 FR 49522)
34-65035
Aug. 4, 2011
SR-CHX-2011-20
Notice of Filing of Proposed Rule Change To Impose Certain Requirements on Exchange-Registered Institutional Broker Firms That Operate a Separate Non-Institutional Broker Unit Within the Firm Comments Due: Federal Register version (76 FR 49520)
34-65034
Aug. 4, 2011
SR-NYSE-2011-38
Notice of Filing of Proposed Rule Change Amending Sections 102.01 and 103.01 of the Exchange's Listed Company Manual 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. 34-65368 Federal Register version (76 FR 49513)
34-65036
Aug. 4, 2011
SR-BX-2011-049
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Definition of "Professional" and Require That Professional Orders Be Appropriately Marked by BOX Options Participants Comments Due: Federal Register version (76 FR 49517)
34-65031
Aug. 4, 2011
SR-CBOE-2011-040
Notice of Proposed Rule to Simplify the $1 Strike Price Interval Program Comments Due: Rel. No. 34-65383 Federal Register version (76 FR 48935)
34-65020
Aug. 3, 2011
SR-NASDAQ-2011-099
Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend Fees Assessed for Use of NASDAQ Pre-Trade Risk Management Comments Due: Federal Register version (76 FR 48193)
34-65024
Aug. 3, 2011
SR-NASDAQ-2011-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce a Bulk-Quoting Interface Comments Due: Federal Register version (76 FR 48925)
34-65021
Aug. 3, 2011
SR-ISE-2011-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Complex Orders Comments Due: Exhibit 5 Federal Register version (76 FR 48933)
34-65019
Aug. 3, 2011
SR-CBOE-2011-073
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fees Schedule and Circular Regarding Trading Permit Holder Application and Other Related Fees Comments Due: Federal Register version (76 FR 48931)
34-65010
Aug. 2, 2011
SR-Phlx-2011-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Member and Member Organization Participation Comments Due: Exhibit 5 Federal Register version (76 FR 48195)
34-65008
Aug. 2, 2011
SR-NSCC-2011-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Analytic Reporting Service Fees Comments Due: Federal Register version (76 FR 48192)
34-65013
Aug. 2, 2011
SR-NASDAQ-2011-103
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 48186)
34-65014
Aug. 2, 2011
SR-NASDAQ-2011-101
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Assessed Under Rule 7015(h) Comments Due: Federal Register version (76 FR 48189)
34-65015
Aug. 2, 2011
SR-MSRB-2011-08
Notice of Filing of Proposed New Rule A-11, on Municipal Advisor Assessments, and New Form A-11-Interim Comments Due: View Received Comments Federal Register version (76 FR 48197)
34-65011
Aug. 2, 2011
SR-ISE-2011-42
Notice of Filing of Proposed Rule Change by International Securities Exchange, Inc., Relating to Rule 717 Comments Due: Rel. No. 34-65361 Federal Register version (76 FR 48187)
34-65007
Aug. 2, 2011
SR-CBOE-2011-071
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Concerning Facilitation Orders in Multiply-Listed FLEX Options Comments Due: Federal Register version (76 FR 48190)
34-64997
Aug. 1, 2011
SR-NYSE-2011-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees Charged for the Floor Member Continuing Education Program for Qualified Floor Members Pursuant to NYSE Rule 103A, From a Fixed Flat Fee of $80 Per Training Module to a Fixed Flat Fee of $150 Per Qualified Member Per Bi-Annual Session for a Total Cost Per Member Per Year of $300 Comments Due: Exhibit 5 Federal Register version (76 FR 47626)
34-65001
Aug. 1, 2011
SR-BX-2011-050
Notice of Filing and Immediate Effectiveness of a Proposal to Amend Chapter VI, Section 15 (Automatic Quote Cancellation) of the BOX Trading Rules Comments Due: Exhibit 5 Federal Register version (76 FR 47635)
34-65000
Aug. 1, 2011
SR-ISE-2011-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Two Market Data Feeds Comments Due: Federal Register version (76 FR 47627)
34-65002
Aug. 1, 2011
SR-ISE-2011-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Data Fees Comments Due: Federal Register version (76 FR 47630)
34-64990
July 29, 2011
SR-EDGX-2011-22
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 47285)
34-64989
July 29, 2011
SR-EDGA-2011-23
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 47283)
34-64987
July 29, 2011
SR-NYSEAMEX-2011-54
Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person To Exclude Foreign Affiliates, Creating a New Definition of "Foreign Securities Affiliate," Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes Comments Due: Federal Register version (76 FR 46863)
34-64988
July 29, 2011
SR-NYSE-2011-36
Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person To Exclude Foreign Affiliates, Creating a New Definition of "Foreign Securities Affiliate," Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes Comments Due: View Received Comments Federal Register version (76 FR 46860)
34-64994
July 29, 2011
SR-NASDAQ-2011-091
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer an Optional Derived Data Fee for NASDAQ Basic Comments Due: View Received Comments Federal Register version (76 FR 47621)
34-64992
July 29, 2011
SR-ISE-2011-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity Comments Due: Exhibit 5 Federal Register version (76 FR 47279)
34-64985
July 28, 2011
SR-CHX-2011-21
Notice of Filing of Proposed Rule Change To Amend Article 20, Rule 9 (Cancellation of Transactions) and Interpretation and Policy .01 Thereunder Regarding the Cancellation of the Stock Leg of Stock-Option Transactions Done on the Exchange Comments Due: View Received Comments Rel. No. 34-65308 Federal Register version (76 FR 46866)
34-64982
July 28, 2011
SR-OCC-2011-08
Notice of Filing of Proposed Rule Change to Provide Specific Authority to Use an Auction Process as One of the Means to Liquidate a Defaulting Clearing Member's Accounts Comments Due: Rel. No. 34-65654 , Rel. No. 34-65370 , Rel. No. 34-65654 , Rel. No. 34-65370 Federal Register version (76 FR 46867)
34-64981
July 28, 2011
SR-BX-2011-046
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend the BOX Fee Schedule Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-65592 , Rel. No. 34-65330 , Rel. No. 34-66278 Federal Register version (76 FR 46858)
34-64983
July 28, 2011
SR-NASDAQ-2011-098
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an "All-or-None" Order Type Comments Due: Federal Register version (76 FR 46869)
34-64984
July 28, 2011
SR-FINRA-2011-035
Notice of Filing of Proposed Rule Change 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. 34-66049 Federal Register version (76 FR 46870)
34-64973
July 27, 2011
SR-OCC-2011-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow for the Clearing of Real Estate Index Futures Contracts Comments Due: Federal Register version (76 FR 46346)
34-64977
July 27, 2011
SR-BX-2011-044
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position Limit for Options on the SPDR Comments Due: Federal Register version (76 FR 46337)
34-64974
July 27, 2011
SR-C2-2011-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for the Execution of Complex Orders Comments Due: Federal Register version (76 FR 46348)
34-64963
July 26, 2011
SR-EDGX-2011-21
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 45895)
34-64962
July 26, 2011
SR-EDGA-2011-21
Notice of Filing And Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.5(c)(8) Regarding the Description of the Non-Displayed Order Type Comments Due: Exhibit 5 Federal Register version (76 FR 45896)
34-64964
July 26, 2011
SR-EDGA-2011-22
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 45898)
34-64966
July 26, 2011
SR-NYSEAmex-2011-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to NYSE Amex Rule 904 To Increase Position Limits for Options on the SPDR S&P 500 Exchange-Traded Fund, Which List and Trade Under the Option Symbol SPY, and To Update the Names and One Trading Symbol for the Options Reflected Therein, Including SPY Comments Due: Federal Register version (76 FR 45899)
34-64967
July 26, 2011
SR-NYSEArca-2011-48
Notice of Filing of Proposed Rule Change To List and Trade Shares of the Teucrium Wheat Fund, the Teucrium Soybean Fund and the Teucrium Sugar Fund Under NYSE Arca Equities Rule 8.200, Commentary .02 Comments Due: Rel. No. 34-65344 Federal Register version (76 FR 45885)
34-64961
July 26, 2011
SR-FINRA-2011-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Cancellation or Rescheduling Fees for Qualification Examinations and Continuing Education Sessions Comments Due: View Received Comments Federal Register version (76 FR 45883)
34-64969
July 26, 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 Comments Due: View Received Comments Rel. No. 34-67588 , Rel. No. 34-64969A , Rel. No. 34-59921 Federal Register version (76 FR 46340)
34-64957
July 25, 2011
SR-BATS-2011-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rules in Connection With the Elimination of a Directed Order Program for BATS Options Comments Due: Exhibit 5 Federal Register version (76 FR 45636)
