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)
34-65373
Sept. 21, 2011
SR-Phlx-2011-127
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Maximum Number of Quoters ("MNQ") Permitted To Be Assigned in Equity Options Comments Due: Federal Register version (76 FR 59764)
34-65370
Sept. 21, 2011
SR-OCC-2011-08
Notice of Filing of Amendment No. 1 to 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. 34-64982 , Rel. No. 34-65654 , Rel. No. 34-64982 Federal Register version (76 FR 59750)
34-65368
Sept. 21, 2011
SR-NYSE-2011-38
Notice of Designation of a Longer Period for Commission Action on 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. 34-65034 Federal Register version (76 FR 59756)
34-65374
Sept. 21, 2011
SR-FINRA-2011-047
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 37 Examination Program Comments Due: Federal Register version (76 FR 59761)
34-65375
Sept. 21, 2011
SR-FINRA-2011-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 38 Examination Program Comments Due: Federal Register version (76 FR 59757)
34-65376
Sept. 21, 2011
SR-FINRA-2011-046
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 17 Examination Program Comments Due: Federal Register version (76 FR 59759)
34-65371
Sept. 21, 2011
SR-C2-2011-021
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Exchange's Automated Improvement Mechanism Comments Due: Federal Register version (76 FR 59754)
34-65358
Sept. 20, 2011
SR-FINRA-2011-045
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 7 Examination Program Comments Due: View Received Comments Federal Register version (76 FR 64419)
34-65360
Sept. 20, 2011
SR-C2-2011-022
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Exchange's Complex Order Execution Mechanisms Comments Due: Federal Register version (76 FR 59470)
34-65353
Sept. 19, 2011
SR-BATS-2011-035
Notice of Filing of Proposed Rule Change To Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc. Comments Due: Rel. No. 34-65728 Federal Register version (76 FR 59472)
34-65352
Sept. 19, 2011
SR-BYX-2011-022
Notice of Filing of Proposed Rule Change To Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc. Comments Due: Rel. No. 34-65729 Federal Register version (76 FR 59462)
34-65354
Sept. 19, 2011
SR-CHX-2011-29
Notice of Filing of Proposed Rule Change To Change the Status of Exchange-Registered Institutional Broker Firms Comments Due: Rel. No. 34-65633 Federal Register version (76 FR 59476)
34-65346
Sept. 16, 2011
SR-MSRB-2011-16
Notice of Filing and Immediate Effectiveness of Rule Change To Extend the Effective Date of the Amendment to the Continuing Disclosure Service of EMMA To Provide for the Posting of Credit Rating and Related Information on the EMMA Public Web Site Comments Due: Federal Register version (76 FR 58852)
34-65341
Sept. 14, 2011
SR-NYSEAmex-2011-68
Notice of Filing of Proposed Rule Change Relating to the Messages to Contracts Traded Ratio Fee in the Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 58555)
34-65342
Sept. 14, 2011
SR-CHX-2011-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retroactively Waive Its Order Cancellation Fee for the Period of September 1 to September 9, 2011 (Inclusive) Comments Due: Federal Register version (76 FR 58553)
34-65338
Sept. 14, 2011
SR-OCC-2011-12
Notice of Filing of Proposed Rule Change To Adopt Fitness Standards for Directors, Clearing Members, and Others Comments Due: Rel. No. 34-65648 Federal Register version (76 FR 58061)
34-65337
Sept. 14, 2011
SR-BX-2011-064
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Fee Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 58072)
34-65329
Sept. 13, 2011
SR-EDGX-2011-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX By-Laws Comments Due: Exhibit 5 Federal Register version (76 FR 58317)
34-65328
Sept. 13, 2011
SR-EDGA-2011-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA By-Laws Comments Due: Exhibit 5 Federal Register version (76 FR 58315)
34-65327
Sept. 13, 2011
SR-ISE-2011-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Fee Credits Comments Due: Exhibit 5 Federal Register version (76 FR 58068)
34-65315
Sept. 12, 2011
SR-EDGX-2011-28
Notice of Filing of Proposed Rule Change Relating To Amendments to EDGX Rules Regarding the Registration and Obligations of Market Makers Comments Due: View Received Comments Rel. No. 34-65660 , Rel. No. 34-65964 Federal Register version (76 FR 57772)
34-65326
Sept. 12, 2011
SR-CME-2011-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Additional Series and Maturities to Credit Default Index Swaps Available for Clearing Comments Due: Federal Register version (76 FR 58071)
34-65316
Sept. 12, 2011
SR-EDGA-2011-29
Notice of Filing of Proposed Rule Change Relating to Amendments to EDGA Rules Regarding the Registration and Obligations of Market Makers Comments Due: Rel. No. 34-65660 , Rel. No. 34-65964 Federal Register version (76 FR 57787)
34-65314
Sept. 12, 2011
SR-NYSEAmex-2011-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule To Add Clarifying Language With Respect to Marketing Charges Generally and Marketing Charges for Directed Orders, and To Add New and Clarifying Language With Respect to Marketing Charges for Electronic Complex Orders Comments Due: Exhibit 5 Federal Register version (76 FR 57793)
34-65317
Sept. 12, 2011
SR-NASDAQ-2011-127
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Options Market Comments Due: Exhibit 5 Federal Register version (76 FR 61129)
34-65318
Sept. 12, 2011
SR-NASDAQ-2011-124
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Options Market Comments Due: Exhibit 5 Federal Register version (76 FR 57776)
34-65324
Sept. 12, 2011
SR-NASDAQ-2011-122
Notice of Filing of 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. 34-65963 Federal Register version (76 FR 57781)
34-65313
Sept. 12, 2011
SR-FINRA-2011-043
Notice of Filing of Proposed Rule Change To Amend FINRA Rule 0160 (Definitions in FINRA By-Laws) Comments Due: Exhibit 5 Federal Register version (76 FR 57784)
34-65325
Sept. 12, 2011
SR-CBOE-2011-085
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the Clearing Trading Permit Holder Proprietary Transaction Fee Waiver for Orders in Multiply-Listed FLEX Options Classes Comments Due: Federal Register version (76 FR 58063)
34-65307
Sept. 9, 2011
SR-BATS-2011-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a Bulk-Quoting Interface To All Users of BATS Options Comments Due: Federal Register version (76 FR 57092)
34-65312
Sept. 9, 2011
SR-Phlx-2011-126
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Complex Orders Comments Due: Exhibit 5 Federal Register version (76 FR 57090)
34-65310
Sept. 9, 2011
SR-CBOE-2011-082
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Opening and Complex Order Price Check Parameter Features Comments Due: Federal Register version (76 FR 57097)
34-65311
Sept. 9, 2011
SR-C2-2011-018
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Opening and Complex Order Price Check Parameter Features Comments Due: Federal Register version (76 FR 57094)
34-65298
Sept. 8, 2011
SR-BATS-2011-033
Notice of Filing of Proposed Rule Change To Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc. Comments Due: Rel. No. 34-65646 Federal Register version (76 FR 56840)
34-65299
Sept. 8, 2011
SR-BYX-2011-021
Notice of Filing of Proposed Rule Change To Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc. Comments Due: Rel. No. 34-65647 Federal Register version (76 FR 56833)
34-65300
Sept. 8, 2011
SR-CHX-2011-17
Notice of Designation of a Longer Period for Commission Action on 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. 34-64937 Federal Register version (76 FR 57088)
34-65293
Sept. 8, 2011
SR-BX-2011-063
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Fee Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 56845)
34-65292
Sept. 8, 2011
SR-MSRB-2011-15
Notice Concerning the Application of Rule G-17 to Municipal Advisors Rel. No. 34-65398 Federal Register version (76 FR 56826)
34-65295
Sept. 8, 2011
SR-ISE-2011-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a New Market Data Feed Comments Due: Federal Register version (76 FR 56832)
34-65297
Sept. 8, 2011
SR-ISE-2011-54
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 56844)
34-65283
Sept. 7, 2011
SR-NYSEAmex-2011-67
Notice of Filing of Proposed Rule Change Relating to Fees for Trading Securities Listed on the Nasdaq Stock Market LLC Pursuant to Unlisted Trading Privileges Comments Due: Exhibit 5 Federal Register version (76 FR 56850)
34-65282
Sept. 7, 2011
SR-MSRB-2011-14
Notice Concerning the Application of Proposed Rule G-36 to Municipal Advisors View Received Comments Federal Register version (76 FR 56254)
34-65286
Sept. 7, 2011
SR-DTC-2011-07
Notice of Filing of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Relating to a New Daily Report Subscription for Security Position Reports Comments Due: Rel. No. 34-65721 Federal Register version (76 FR 56847)
34-65280
Sept. 7, 2011
SR-CBOE-2011-083
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees Comments Due: Federal Register version (76 FR 56838)
34-65279
Sept. 7, 2011
SR-C2-2011-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees Comments Due: Federal Register version (76 FR 56824)
34-65266
Sept. 6, 2011
SR-BATS-2011-032
Notice of Filing of Proposed Rule Change by BATS Exchange, Inc. To Adopt Rules Applicable to Auctions Conducted by the Exchange for Exchange-Listed Securities Comments Due: Rel. No. 34-65619 Federal Register version (76 FR 56249)
34-65268
Sept. 6, 2011
SR-CHX-2011-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Cancellation Fee Comments Due: Federal Register version (76 FR 56246)
34-65269
Sept. 6, 2011
SR-CHX-2011-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove its Tiered Schedule of Fees and Rebates and To Lower or Remove Certain Rebates Comments Due: Federal Register version (76 FR 56248)
34-65264
Sept. 6, 2011
SR-NYSE-2011-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 501.00 of the Listed Company Manual To Expand the Waiver Provision To Apply to Foreign Issuers Comments Due: Federal Register version (76 FR 56244)
34-65263
Sept. 6, 2011
SR-MSRB-2011-09
Notice Concerning the Application of MSRB Rule G-17, on Conduct of Municipal Securities and Municipal Advisory Activities, to Underwriters of Municipal Securities Comments Due: View Received Comments Rel. No. 34-65749 , Rel. No. 34-66927 , and Rel. No. 34-66918 Federal Register version (76 FR 55989)
34-65253
Sept. 2, 2011
SR-Phlx-2011-121
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Clarifying Amendments to Direct Connectivity Services Comments Due: Federal Register version (76 FR 55995)
34-65257
Sept. 2, 2011
SR-Phlx-2011-123
Notice of Filing of Proposed Rule Change Relating to the Quarterly Trading Requirements Applicable to Registered Options Traders Comments Due: Rel. No. 34-65644 Federal Register version (76 FR 55996)
34-65249
Sept. 2, 2011
SR-NYSEArca-2011-63
Notice of Filing of Proposed Rule Change To List and Trade Shares of the United States Metals Index Fund, the United States Agriculture Index Fund and the United States Copper Index Fund Under NYSE Arca Equities Rule 8.200 Comments Due: Rel. No. 34-65601 Federal Register version (76 FR 55956)
34-65251
Sept. 2, 2011
SR-BX-2011-060
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clarifying Amendment To Direct Connectivity Services Comments Due: Federal Register version (76 FR 55986)
34-65252
Sept. 2, 2011
SR-NASDAQ-2011-119
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clarifying Amendment To Direct Connectivity Services Comments Due: Federal Register version (76 FR 55988)
34-65255
Sept. 2, 2011
SR-MSRB-2011-12
Notice of Filing of Proposed New Rule G-42, on Political Contributions and Prohibitions on Municipal Advisory Activities; Proposed Amendments to Rules G-8, on Books and Records, G-9, on Preservation of Records, and G-37, on Political Contributions and Prohibitions on Municipal Securities Business; Proposed Form G-37/G-42 and Form G-37x/G-42x; and a Proposed Restatement of a Rule G-37 Interpretive Notice Federal Register version (76 FR 55976)
34-65259
Sept. 2, 2011
SR-ICC-2011-01
Notice of Filing of Proposed Rule Change To Add Rules Related to the Clearing of Emerging Markets Sovereigns Comments Due: Rel. No. 34-65588 Federal Register version (76 FR 55984)
34-65250
Sept. 2, 2011
SR-CBOE-2011-084
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Obsolete Language From the CBOE Stock Exchange Fees Schedule Comments Due: Federal Register version (76 FR 55998)
34-65246
Sept. 1, 2011
SR-NASDAQ-2011-120
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center Comments Due: Exhibit 5 Federal Register version (76 FR 55954)
34-65239
Aug. 31, 2011
SR-NYSEAmex-2011-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule for Co-Location Services To Correct Several Typographical Errors Comments Due: Federal Register version (76 FR 55435)
34-65240
Aug. 31, 2011
SR-NYSEAmex-2011-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Equities Price List for Co-Location Services To Correct Several Typographical Errors Comments Due: Federal Register version (76 FR 55434)
34-65233
Aug. 31, 2011
SR-Phlx-2011-122
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for NASDAQ OMX PSX Comments Due: Exhibit 5 Federal Register version (76 FR 55438)
34-65236
Aug. 31, 2011
SR-NYSEArca-2011-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule for Co-Location Services To Correct Several Typographical Errors Comments Due: Exhibit 5 Federal Register version (76 FR 55437)
34-65238
Aug. 31, 2011
SR-NYSEArca-2011-64
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Equities Schedule of Fees and Services for Exchange Services ("Fee Schedule") for Co-Location Services To Correct Several Typographical Errors Comments Due: Exhibit 5 Federal Register version (76 FR 55431)
34-65237
Aug. 31, 2011
SR-NYSE-2011-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List for Co-Location Services To Correct Several Typographical Errors Comments Due: Exhibit 5 Federal Register version (76 FR 55432)
34-65234
Aug. 31, 2011
SR-MSRB-2011-10
Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board Consisting of Amendments to MSRB Rule G-20 (Gifts and Gratuities) and Related Amendments to MSRB Rule G-8 (Books and Records) and MSRB Rule G-9 (Preservation of Records), and To Clarify That Certain Interpretations by the Financial Industry Regulatory Authority and the National Association of Securities Dealers Would Be Applicable to Municipal Advisors View Received Comments Federal Register version (76 FR 55449)
34-65241
Aug. 31, 2011
SR-CBOE-2011-080
Notice of Filing and Immediate Effectiveness of Proposal To Retire a Pilot Program and To Harmonize CBOE's Rules Regarding Listing Expirations With the Existing Rules of Other Exchanges Comments Due: Federal Register version (76 FR 55429)
34-65232
Aug. 31, 2011
SR-C2-2011-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trading Halts Comments Due: Federal Register version (76 FR 55440)
34-65228
Aug. 30, 2011
SR-Phlx-2011-119
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reversal and Conversion Strategies Comments Due: Exhibit 5 Federal Register version (76 FR 55453)
34-65226
Aug. 30, 2011
SR-BX-2011-059
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Name of the BX Ouch BBO Feed to the BX MatchView Feed and To Modify Its Contents Comments Due: Federal Register version (76 FR 55445)
34-65221
Aug. 30, 2011
SR-FINRA-2011-042
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee for the Operations Professional Examination Comments Due: Federal Register version (76 FR 58061)
34-65222
Aug. 30, 2011
SR-FINRA-2011-041
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Selection Specifications and Study Outline for the Operations Professional ("Series 99") Examination Program Comments Due: View Received Comments Exhibit 3A , Text of Proposed Rule Change Federal Register version (76 FR 55443)
34-65224
Aug. 30, 2011
SR-CBOE-2011-081
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Compliance Deadline for Qualification Pursuant to Rule 3.6A Comments Due: Federal Register version (76 FR 58074)
34-65209
Aug. 26, 2011
SR-NYSEAmex-2011-61
Notice of Filing of Proposed Rule Change Adding Commentary .01 to Rule 925.1NY To Indicate That Market Makers Will Not Be Obligated To Quote in Adjusted Option Series and To Clarify an Existing Exception to the Quoting Obligations Comments Due: Rel. No. 34-65572 Federal Register version (76 FR 54518)
34-65203
Aug. 26, 2011
SR-Phlx-2011-120
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Change the Name of the PSX Ouch BBO Feed to the PSX MatchView Feed and To Modify Its Contents Comments Due: Federal Register version (76 FR 54514)
34-65206
Aug. 26, 2011
SR-Phlx-2011-124
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols Comments Due: Exhibit 5 Federal Register version (76 FR 54827)
34-65210
Aug. 26, 2011
SR-NYSEArca-2011-59
Notice of Filing of Proposed Rule Change Adding Commentary .01 to Rule 6.37B To Indicate That Market Makers Will Not Be Obligated To Quote in Adjusted Option Series and To Clarify an Existing Exception to the Quoting Obligations Comments Due: Rel. No. 34-65573 Federal Register version (76 FR 54516)
34-65197
Aug. 25, 2011
SR-EDGX-2011-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 1.5(q) Comments Due: Exhibit 5 Federal Register version (76 FR 54281)
34-65200
Aug. 25, 2011
SR-CME-2011-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect Differences in Proprietary Trading Exchange Fees Based on Ownership of CME Group Shares Comments Due: Federal Register version (76 FR 54275)
34-65202
Aug. 25, 2011
SR-CME-2011-05
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Certain Rules To Facilitate Clearing of Additional Interest Rate Swap Products Comments Due: Federal Register version (76 FR 54270)
34-65196
Aug. 25, 2011
SR-EDGA-2011-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 1.5(q) Comments Due: Exhibit 5 Federal Register version (76 FR 54267)
34-65195
Aug. 25, 2011
SR-Phlx-2011-117
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Active SQF Port Fee and the Order Entry Port Fee Comments Due: Exhibit 5 Federal Register version (76 FR 54279)
34-65198
Aug. 25, 2011
SR-FICC-2011-06
Notice of Filing of Proposed Rule Change To Eliminate Two Rules of the Mortgage-Backed Securities Division That FICC Believes Are No Longer Utilized or Necessary Comments Due: Rel. No. 34-65479 Federal Register version (76 FR 54268)
34-65189
Aug. 24, 2011
SR-EDGX-2011-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the EDGX Fee Schedule To Establish an Annual Membership Fee, Monthly Trading Rights Fee, and a Monthly MPID Fee Comments Due: Federal Register version (76 FR 53990)
34-65188
Aug. 24, 2011
SR-EDGA-2011-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the EDGA Fee Schedule To Establish an Annual Membership Fee, Monthly Trading Rights Fee, and a Monthly MPID Fee Comments Due: Federal Register version (76 FR 53988)
34-65192
Aug. 24, 2011
SR-NYSEAmex-2011-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding New Commentary .02 to NYSE Amex Options Rule 965NY To Provide for the Nullification of Reported Trades by Mutual Agreement of the Parties Thereto Comments Due: Exhibit 5 Federal Register version (76 FR 54272)
34-65191
Aug. 24, 2011
SR-NYSEArca-2011-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding New Commentary .02 to NYSE Arca Options Rule 6.77 To Provide for the Nullification of Reported Trades by Mutual Agreement of the Parties Thereto Comments Due: Exhibit 5 Federal Register version (76 FR 54274)
34-65181
Aug. 22, 2011
SR-NYSEAmex-2011-64
Notice of Filing of Proposed Rule Change Amending NYSE Amex Options Rule 993NY(b)(2) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the Text of NYSE Amex Options Rule 993NY(b)(1)(B) To More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority Comments Due: Exhibit 5 Federal Register version (76 FR 53516)
34-65184
Aug. 22, 2011
SR-NYSEAmex-2011-63
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 17(c)(2)(B) To Make Permanent the Pilot Program that Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the NYSE Amex Equities Rule 17(c)(2)(A)(ii) To More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority Comments Due: Exhibit 5 Federal Register version (76 FR 53511)
34-65182
Aug. 22, 2011
SR-NYSEArca-2011-62
Notice of Filing of Proposed Rule Change Amending NYSE Arca Options Rule 6.96(b)(2) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in its Capacity as a Facility of Affiliated Exchanges and To Clarify the Text of NYSE Arca Options Rule 6.96(b)(1)(B) To More Accurately Reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority Comments Due: Exhibit 5 Federal Register version (76 FR 53515)
34-65185
Aug. 22, 2011
SR-NYSEArca-2011-61
Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.45(c)(2) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the Text of NYSE Arca Equities Rule 7.45(c)(1)(B) to More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority Comments Due: Exhibit 5 Federal Register version (76 FR 53509)
34-65183
Aug. 22, 2011
SR-NYSE-2011-45
Notice of Filing of Proposed Rule Change Amending NYSE Rule 17(c)(2)(B) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the Text of NYSE Rule 17(c)(2)(A)(ii) To More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority Comments Due: Exhibit 5 , Rel. No. 34-65453 Federal Register version (76 FR 53513)
34-65176
Aug. 22, 2011
SR-NASDAQ-2011-117
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Rule 4753(c) Comments Due: Federal Register version (76 FR 53518)
34-65180
Aug. 22, 2011
SR-NASDAQ-2011-111
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Access Services Fees Comments Due: Federal Register version (76 FR 53521)
34-65174
Aug. 19, 2011
SR-Phlx-2011-115
Notice of Filing and Immediate Effectiveness To Establish and Adopt Fees for the New PSX Pre-Trade Risk Management Service Comments Due: Exhibit 5 Federal Register version (76 FR 53506)
34-65175
Aug. 19, 2011
SR-BX-2011-057
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish and Adopt Fees for the New BX Pre-Trade Risk Management Service Comments Due: Federal Register version (76 FR 53503)
34-65177
Aug. 19, 2011
SR-BX-2011-058
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Pilot Period for BOX To Receive Inbound Routes of Orders From NOS Comments Due: Federal Register version (76 FR 53507)
