34-64958
July 25, 2011
SR-NASDAQ-2011-095
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proprietary Trader Examination Comments Due: Federal Register version (76 FR 45629)
34-64954
July 25, 2011
SR-FINRA-2010-036
Notice of Filing Proposed Rule Change and Amendment No. 1 To Amend the Codes of Arbitration Procedure To Permit Arbitrators To Make Mid-Case Referrals Comments Due: View Received Comments Rel. No. 34-62930 Federal Register version (76 FR 45631)
34-64955
July 25, 2011
SR-FICC-2011-05
Notice of Filing of Proposed Rule Change To Amend the Rules Regarding the GCF Repo Service To Adopt Changes Recommended by the Tri-Party Repo Infrastructure Reform Task Force Comments Due: Federal Register version (76 FR 45638)
34-64945
July 21, 2011
SR-NYSEArca-2011-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to NYSE Arca Rule 6.8 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 44969)
34-64940
July 21, 2011
SR-BX-2011-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Application and Annual Fees for the BX Venture Market Comments Due: Federal Register version (76 FR 44974)
34-64946
July 21, 2011
SR-CBOE-2011-064
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 44972)
34-64937
July 20, 2011
SR-CHX-2011-17
Notice of Filing of Proposed Rule Change Regarding the Submission by the Exchange of Clearing-Related Information for Trades Executed on the Exchange as Well as for Trades Executed Otherwise Than on the Exchange Comments Due: View Received Comments Rel. No. 34-65615 , Rel. No. 34-65300 Federal Register version (76 FR 44638)
34-64938
July 20, 2011
SR-Phlx-2011-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Service Fee on QCC Orders and Floor QCC Orders Comments Due: Exhibit 5 Federal Register version (76 FR 44640)
34-64933
July 20, 2011
SR-BX-2011-047
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Renumber Rule 5230 Comments Due: Federal Register version (76 FR 44644)
34-64931
July 20, 2011
SR-ISE-2011-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Price Improvement Mechanism Pilot Program Comments Due: Federal Register version (76 FR 44642)
34-64934
July 20, 2011
SR-FINRA-2011-031
Notice of Filing of Proposed Rule Change To Amend FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing Comments Due: View Received Comments Rel. No. 34-65281 Federal Register version (76 FR 44645)
34-64928
July 20, 2011
SR-CBOE-2011-065
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position and Exercise Limits for Options on the Standard & Poor's Depository Receipts Comments Due: Federal Register version (76 FR 44633)
34-64930
July 20, 2011
SR-CBOE-2011-066
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Two Pilot Programs Related to the Exchange's Automated Improvement Mechanism Comments Due: Federal Register version (76 FR 44636)
34-64929
July 20, 2011
SR-C2-2011-015
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a Pilot Program Related to the Exchange's Automated Improvement Mechanism Comments Due: Federal Register version (76 FR 44635)
34-64914
July 19, 2011
SR-BATS-2011-022
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. To Expand the Short Term Option Program Comments Due: Federal Register version (76 FR 44388)
34-64915
July 19, 2011
SR-CHX-2011-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Obligations of Exchange-Registered Institutional Brokers Comments Due: Federal Register version (76 FR 44386)
34-64918
July 19, 2011
SR-NYSE-2011-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 103 To Reduce the Net Liquid Asset Requirements for DMM Units Comments Due: Federal Register version (76 FR 44390)
34-64916
July 19, 2011
SR-NASDAQ-2011-010
Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Link Market Data Fees and Transaction Execution Fees Comments Due: Rel. No. 34-65362 , Petition for Review , Notice of Intention to Petition for Review , Rel. No. 34-63796 , 34-63745 Federal Register version (76 FR 44388)
34-64911
July 18, 2011
SR-EDGX-2011-20
Notice of Filing and Immediate Effectiveness of Amendment to EDGX Rule 11.9 Comments Due: Exhibit 5 Federal Register version (76 FR 44078)
34-64910
July 18, 2011
SR-BATS-2011-021
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Changes Consistent With the Upcoming Implementation of the Market Access Rule Comments Due: Federal Register version (76 FR 44067)
34-64901
July 18, 2011
SR-BYX-2011-015
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Changes Consistent With the Upcoming Implementation of the Market Access Rule Comments Due: Federal Register version (76 FR 44064)
34-64903
July 18, 2011
SR-EDGA-2011-20
Notice of Filing and Immediate Effectiveness of Amendment to EDGA Rule 11.9 Comments Due: Exhibit 5 Federal Register version (76 FR 44062)
34-64909
July 18, 2011
SR-NSX-2011-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Rule 11.15 Consistent With the Implementation of the Adoption of Rule 15c3-5 Under the Act Comments Due: Federal Register version (76 FR 44057)
34-64902
July 18, 2011
SR-NYSEAmex-2011-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Proposal To Amend the Fee Schedule by Adding Definitions for the Strategy Executions That Qualify for Transaction Fee Caps Comments Due: Exhibit 5 Federal Register version (76 FR 44061)
34-64907
July 18, 2011
SR-NYSEAmex-2011-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 993NY To Make Changes Necessary To Allow Its Routing Broker To Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 Comments Due: Exhibit 5 Federal Register version (76 FR 44069)
34-64908
July 18, 2011
SR-NYSEAmex-2011-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 17-NYSE Amex Equities to Make Changes Necessary to Allow Its Routing Broker to Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 Comments Due: Exhibit 5 Federal Register version (76 FR 44065)
34-64900
July 18, 2011
SR-Phlx-2011-99
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Options Rule 1080(m) Comments Due: Federal Register version (76 FR 44075)
34-64905
July 18, 2011
SR-NYSEArca-2011-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.96 To Make Changes Necessary To Allow Its Routing Broker To Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 Comments Due: Exhibit 5 Federal Register version (76 FR 44071)
34-64906
July 18, 2011
SR-NYSEArca-2011-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.45 to Make Changes Necessary to Allow Its Routing Broker to Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 Comments Due: Exhibit 5 Federal Register version (76 FR 44059)
34-64904
July 18, 2011
SR-NYSE-2011-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 17 To Make Changes Necessary To Allow Its Routing Broker To Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 Comments Due: Exhibit 5 Federal Register version (76 FR 44073)
34-64899
July 18, 2011
SR-NASDAQ-2011-097
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Stock Market Equities Trading Rules 4757 and 4758 and NASDAQ Options Market Rules Chapter VI Comments Due: Federal Register version (76 FR 44076)
34-64896
July 15, 2011
SR-BX-2011-045
Notice of Filing of Proposed Rule Change Requesting Permanent Approval of Pilot Program To Permit BOX To Accept Inbound Routes by NOS Comments Due: Rel. No. 34-65199 Federal Register version (76 FR 43740)
34-64889
July 14, 2011
SR-BATS-2011-018
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange Rel. No. 34-65225 , Rel. No. 34-64546 Federal Register version (76 FR 43739)
34-64887
July 14, 2011
SR-NYSEAMEX-2011-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Conforming Certain of Its Financial Responsibility and Related Operational Rules to a Recently-Approved Financial Industry Regulatory Authority Rule Change Comments Due: Federal Register version (76 FR 43357)
34-64891
July 14, 2011
SR-Phlx-2011-98
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct a Typographical Error in Rule 1020 Comments Due: Federal Register version (76 FR 43738)
34-64883
July 14, 2011
SR-OCC-2011-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Clearing and Settling a Price Differential Spread Futures Transaction Comments Due: Federal Register version (76 FR 42752)
34-64888
July 14, 2011
SR-NYSE-2011-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Conforming Certain of Its Financial Responsibility and Related Operational Rules to a Recently-Approved Financial Industry Regulatory Authority Rule Change Comments Due: Federal Register version (76 FR 43366)
34-64886
July 14, 2011
SR-BX-2011-042
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7027 of the NASDAQ OMX BX Pricing Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 43363)
34-64885
July 14, 2011
SR-NASDAQ-2011-093
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7027 of the NASDAQ Pricing Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 43364)
34-64884
July 14, 2011
SR-FINRA-2011-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt FINRA Rule 0180 (Application of Rules to Security-Based Swaps) Comments Due: Federal Register version (76 FR 42755)
34-64892
July 14, 2011
SR-FINRA-2011-034
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) Comments Due: Federal Register version (76 FR 43360)
34-64893
July 14, 2011
SR-CBOE-2011-068
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Credit Option Margin Pilot Program to January 17, 2012 Comments Due: Federal Register version (76 FR 43359)
34-64875
July 13, 2011
SR-NYSEArca-2011-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule by Adding Definitions for the Strategy Executions That Qualify for Transaction Fee Caps Comments Due: Exhibit 5 Federal Register version (76 FR 42759)
34-64876
July 13, 2011
SR-CBOE-2011-061
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Schedule Concerning Certain Orders of Certain Affiliates for Purposes of a Fee Cap and Sliding Scale Comments Due: Federal Register version (76 FR 42757)
34-64859
July 12, 2011
SR-NYSEAmex-2011-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) From August 1, 2011 to September 12, 2011 Comments Due: Exhibit 5 Federal Register version (76 FR 42147)
34-64863
July 12, 2011
SR-Phlx-2011-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy Comments Due: Exhibit 5 Federal Register version (76 FR 42143)
34-64857
July 12, 2011
SR-NYSEArca-2011-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amend NYSE Arca Equities Rule 7.31(b) To Add Text Describing How Limit Orders Priced a Specified Percentage Away From the National Best Bid or Offer Will Be Rejected by Exchange Systems Comments Due: Exhibit 5 Federal Register version (76 FR 41844)
34-64860
July 12, 2011
SR-NYSE-2011-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Rule 92(c)(3) From August 1, 2011 to September 12, 2011 Comments Due: Exhibit 5 Federal Register version (76 FR 42150)
34-64856
July 12, 2011
SR-NASDAQ-2011-092
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 41845)
34-64858
July 12, 2011
SR-NASDAQ-2011-094
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 To Extend the Waiver of Certain Co-Location Installation Fees for an Additional Month Comments Due: Exhibit 5 Federal Register version (76 FR 42152)
34-64861
July 12, 2011
SR-ISE-2011-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options Comments Due: Federal Register version (76 FR 42145)
34-64864
July 12, 2011
SR-DTC-2011-06
Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Early Redemption of Certificates of Deposit Comments Due: Rel. No. 34-65186 Federal Register version (76 FR 45309)
34-64850
July 11, 2011
SR-CHX-2011-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Its Fee Schedule To Increase its SRO, DEA and Off-Exchange Trader Fees Comments Due: Federal Register version (76 FR 41853)
34-64853
July 11, 2011
SR-ISE-2011-39
Notice of Filing of Proposed Rule Change Relating to Complex Orders Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-65548 Federal Register version (76 FR 41850)
34-64851
July 11, 2011
SR-CBOE-2011-062
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fees Schedule Regarding Automated Improvement Mechanism Fees Comments Due: Federal Register version (76 FR 41842)
34-64848
July 8, 2011
SR-EDGX-2011-19
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 41544)
34-64847
July 8, 2011
SR-BATS-2011-019
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 41546)
34-64846
July 8, 2011
SR-BYX-2011-013
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 41541)
34-64842
July 8, 2011
SR-Phlx-2011-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Extend the Waiver of Certain Co-Location Installation Fees for an Additional Month Comments Due: Exhibit 5 Federal Register version (76 FR 41536)
34-64845
July 8, 2011
SR-Phlx-2011-90
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Board of Director Qualifications Comments Due: Rel. No. 34-65201
34-64840
July 8, 2011
SR-BX-2011-043
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 To Extend the Waiver of Certain Co-Location Installation Fees for an Additional Month Comments Due: Exhibit 5 Federal Register version (76 FR 41534)
34-64841
July 8, 2011
SR-FINRA-2011-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Revolving Door Restrictions on Former Officers of FINRA Comments Due: Federal Register version (76 FR 41537)
34-64835
July 7, 2011
SR-BATS-2011-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Extend the Availability of a Data Feed Comments Due: Federal Register version (76 FR 41315)
34-64836
July 7, 2011
SR-BYX-2011-014
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend the Availability of a Data Feed Comments Due: Federal Register version (76 FR 41316)
34-64833
July 7, 2011
SR-Phlx-2011-95
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations Comments Due: Federal Register version (76 FR 41317)
34-64834
July 7, 2011
SR-CBOE-2011-057
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PAR Official Fees in Volatility Index Options Comments Due: Federal Register version (76 FR 41839)
34-64822
July 6, 2011
SR-Phlx-2011-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Routing Priority Comments Due: Federal Register version (76 FR 40976)
34-64820
July 6, 2011
SR-NYSEArca-2011-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Introduce Two New Pricing Tiers, Step-Up Tier 1 and Step-Up Tier 2 Comments Due: Exhibit 5 Federal Register version (76 FR 40974)
34-64823
July 6, 2011
SR-NYSEArca-2011-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Correcting the Numbering of a Recently Adopted NYSE Arca Equities Rule Comments Due: Exhibit 5 Federal Register version (76 FR 40973)
34-64819
July 6, 2011
SR-OPRA-2011-02
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Adopt a New Hosted Solution Fee and Other Changes to the Comments Due: Federal Register version (76 FR 40967)
34-64821
July 6, 2011
SR-NASDAQ-2011-088
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Priority Comments Due: Federal Register version (76 FR 40971)
34-64826
July 6, 2011
SR-NASDAQ-2011-090
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the NASDAQ Stock Market LLC Regarding Expansion of the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (76 FR 40969)
34-64817
July 6, 2011
SR-CBOE-2011-059
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Waiver of the Transaction Fee for Public Customer Orders in SPY Options Executed in Open Outcry or in the Automated Improvement Mechanism Comments Due: Federal Register version (76 FR 40948)
34-64818
July 6, 2011
SR-CBOE-2011-060
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Schedule Relating to the Marketing Fee Comments Due: Federal Register version (76 FR 40978)
34-64824
July 6, 2011
SR-CBOE-2011-063
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees Comments Due: Federal Register version (76 FR 44079)
34-64825
July 6, 2011
SR-C2-2011-014
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees Comments Due: Federal Register version (76 FR 40964)
34-64803
July 5, 2011
SR-Phlx-2011-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Modify Its Fee Schedule Regarding Co-Location Fees to Establish Fees for Access to Market Data Feeds From the Toronto Stock Exchange and the TSX Venture Exchang Comments Due: Exhibit 5 Federal Register version (76 FR 40760)
34-64809
July 5, 2011
SR-NYSE-2011-20
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Add New Section 907.00 to the Listed Company Manual That Sets Forth Certain Complimentary Products and Services That Are Offered to Currently and Newly Listed Issuer Comments Due: View Received Comments Rel. No. 34-65127 , Rel. No. 34-64506 Federal Register version (76 FR 40758)
34-64802
July 5, 2011
SR-BX-2011-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Co-Location Fee Schedule To Establish Fees for Access to Market Data Feeds From the Toronto Stock Exchange and the TSX Venture Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 40761)
34-64804
July 5, 2011
SR-MSRB-2011-07
Notice of Filing and Immediate Effectiveness of Revisions to the Study Outline for the Municipal Fund Securities Limited Principal Qualification Examination (Series 51) Comments Due: Federal Register version (76 FR 40756)
34-64806
July 5, 2011
SR-CBOE-2011-058
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Changes To Its Fees Schedule Related to Qualified Contingent Cross Orders Comments Due: Federal Register version (76 FR 40763)
34-64791
July 1, 2011
SR-EDGX-2011-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Available Without Charge the EDGX Book Feed and To Add a Description of the EDGX Book Feed to New Rule 13.8 Comments Due: Exhibit 5 Federal Register version (76 FR 39944)
34-64792
July 1, 2011
SR-EDGA-2011-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Available Without Charge the EDGA Book Feed and To Add a Description of the EDGA Book Feed to New Rule 13.8 Comments Due: Exhibit 5 Federal Register version (76 FR 39959)
34-64797
July 1, 2011
SR-NYSEAmex-2011-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1000(a)(iv) To Provide for a Different Liquidity Replenishment Point Value Range During the First Day of Trading of an Initial Public Offering on the Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 40410)
34-64788
July 1, 2011
SR-Phlx-2011-89
Notice of Filing of Proposed Rule Change Relating to Alpha Index Options Comments Due: Rel. No. 34-65149 Federal Register version (76 FR 40415)
34-64790
July 1, 2011
SR-Phlx-2011-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Transaction Fees Comments Due: Exhibit 5 Federal Register version (76 FR 40417)
34-64793
July 1, 2011
SR-NYSE-2011-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1000(a)(iv) To Provide for a Different Liquidity Replenishment Point Value Range During the First Day of Trading of an Initial Public Offering on the Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 40413)
34-64798
July 1, 2011
SR-NSCC-2011-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Associated With the Obligation Warehouse Service Comments Due: Federal Register version (76 FR 40409)
34-64789
July 1, 2011
SR-NASDAQ-2011-087
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Co-Location Fee Schedule To Establish Fees for Access to Market Data Feeds From the Toronto Stock Exchange and the TSX Venture Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 39942)
34-64781
June 30, 2011
SR-BATS-2011-009
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Create, on a Six-Month Pilot Basis, a Directed Order Program Comments Due: View Received Comments Withdrawal of Petition for Review , Petition for Review , Rel. No. 34-64132 Federal Register version (76 FR 39953)
34-64783
June 30, 2011
SR-NYSEAMEX-2011-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of Rule 409(f)-NYSE Amex Equities and Adopting the Text of FINRA Rule 2232 Comments Due: Federal Register version (76 FR 39949)
34-64784
June 30, 2011
SR-NYSEAMEX-2011-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Amex Equities Rule 351(a)-(d) and Supplementary Material .10 and .13, Adopting the Text of FINRA Rule 4530, and Making Certain Conforming Changes Comments Due: Federal Register version (76 FR 39947)
34-64780
June 30, 2011
SR-NYSEArca-2011-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Rules and Adding New Rules so That They Remain Substantially Similar to Corresponding Financial Industry Regulatory Authority Rules in Accordance With a Rule 17d-2 Agreement Comments Due: Exhibit 5 Federal Register version (76 FR 39960)
34-64782
June 30, 2011
SR-NYSE-2011-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of NYSE Rule 409(f) and Adopting the Text of FINRA Rule 2232 and Deleting the Rule Interpretations to NYSE Rule 346 Comments Due: Federal Register version (76 FR 39951)
34-64785
June 30, 2011
SR-NYSE-2011-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 351(a)-(d) and Supplementary Material .10 and .13, Adopting the Text of FINRA Rule 4530, and Making Certain Conforming Changes Comments Due: Federal Register version (76 FR 39946)
34-64779
June 30, 2011
SR-BX-2011-041
Notice of Filing and Immediate Effectiveness of a Proposal To Extend a Pilot Program That Permits BOX to Have No Minimum Size Requirement for Orders Entered Into the Price Improvement Period (PIP) Process Until July 18, 2012 Comments Due: Federal Register version (76 FR 39940)
34-64777
June 30, 2011
SR-FINRA-2011-030
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules Comments Due: Exhibit 5 Federal Register version (76 FR 40412)
34-64772
June 29, 2011
SR-NYSEAmex-2011-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 39455)
34-64773
June 29, 2011
SR-NYSEAmex-2011-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 39453)
34-64771
June 29, 2011
SR-CHX-2011-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Concerning the CHX Connect Service Comments Due: Federal Register version (76 FR 39451)
