34-64770
June 29, 2011
SR-Phlx-2011-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Listing and Trading Various Russell Products Comments Due: Exhibit 5 Federal Register version (76 FR 39457)
34-64769
June 29, 2011
SR-NSCC-2011-04
Notice of Filing of Proposed Rule Change To Amend Rules Relating to Discontinuing Dividend Settlement Service, Funds Only Settlement Service, Data Distribution Box Services, and Changes to the Envelope Settlement Service Comments Due: Rel. No. 34-65032 Federal Register version (76 FR 39463)
34-64768
June 29, 2011
SR-BX-2011-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend the BOX Fee Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 39450)
34-64761
June 28, 2011
SR-NYSE-2011-29
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 39147)
34-64762
June 28, 2011
SR-NYSE-2011-30
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 39145)
34-64760
June 28, 2011
SR-ISE-2011-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position and Exercise Limit for Options on the Standard & Poor's Depository Receipts (SPDRs) Comments Due: Federal Register version (76 FR 39143)
34-64755
June 27, 2011
SR-BX-2011-037
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 Regarding Co-Location Fees for Additional Power and Cable Options Comments Due: Exhibit 5 Federal Register version (76 FR 38710)
34-64746
June 24, 2011
SR-NYSEAmex-2011-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operation of the Pilot Program That Allows Nasdaq Stock Market Securities To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Comments Due: Federal Register version (76 FR 38446)
34-64745
June 24, 2011
SR-Phlx-2011-086
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Regarding Co-Location Fees for Additional Power and Cable Options Comments Due: Exhibit 5 Federal Register version (76 FR 38444)
34-64744
June 24, 2011
SR-NASDAQ-2011-086
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 Regarding Co-Location Fees for Additional Power and Cable Options Comments Due: Exhibit 5 Federal Register version (76 FR 38715)
34-64743
June 24, 2011
SR-ISE-2011-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Fee Discount Pilot Program for Large-Sized Foreign Currency Options Comments Due: Exhibit 5
34-64728
June 23, 2011
SR-NYSEAmex-2011-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 17-NYSE Amex Equities To Codify Inbound Routing Functions Performed by Its Affiliate Broker-Dealer, Archipelago Securities LLC Comments Due: Exhibit 5 Federal Register version (76 FR 38223)
34-64732
June 23, 2011
SR-NYSEAmex-2011-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Text in Its Options Rules Governing the Use of Its Affiliate Broker-Dealer, Archipelago Securities LLC for Outbound Routing of Option Orders, and To Adopt Text in Its Options Rules To Permit the Exchange To Receive Inbound Routes of Option Orders From Arca Securities, Acting as the Outbound Router for NYSE Arca, Inc. Comments Due: Exhibit 5 Federal Register version (76 FR 38240)
34-64733
June 23, 2011
SR-Phlx-2011-85
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 37866)
34-64730
June 23, 2011
SR-NYSEArca-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE Arca Equities Rule 7.41 to Codify Outbound and Inbound Routing Functions Performed by Its Affiliate Broker-dealer, Archipelago Securities LLC Comments Due: Exhibit 5 Federal Register version (76 FR 38235)
34-64731
June 23, 2011
SR-NYSEArca-2011-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Text in Its Options Rules Governing the Use of Its Affiliate Broker-Dealer, Archipelago Securities LLC for Outbound Routing of Option Orders, and To Adopt Text in Its Options Rules To Permit the Exchange To Receive Inbound Routes of Option Orders From Arca Securities, Acting as the Outbound Router for NYSE Amex LLC Comments Due: Exhibit 5 Federal Register version (76 FR 38237)
34-64729
June 23, 2011
SR-NYSE-2011-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 17 To Codify Inbound Routing Functions Performed by Its Affiliate Broker-Dealer, Archipelago Securities LLC Comments Due: Exhibit 5 Federal Register version (76 FR 38232)
34-64734
June 23, 2011
SR-BX-2011-034
Notice of Filing of Proposed Rule Change Relating to Amending the BOX Trading Rules To Establish Facilitation and Solicitation Auction Mechanisms Comments Due: Exhibit 5 , Rel. No. 34-65387 Federal Register version (76 FR 38226)
34-64736
June 23, 2011
SR-FINRA-2011-028
Notice of Filing of Proposed Rule Change To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-65477 Federal Register version (76 FR 38245)
34-64724
June 22, 2011
SR-NASDAQ-2011-085
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Order Timer Comments Due: Federal Register version (76 FR 37872)
34-64719
June 22, 2011
SR-ISE-2011-33
Notice of Filing of Proposed Rule Change Relating to Appointments to Competitive Market Makers Comments Due: Exhibit 5 , Rel. No. 34-65100 Federal Register version (76 FR 37863)
34-64722
June 22, 2011
SR-CBOE-2011-055
Notice of Filing of Proposed Rule Change to Trade Options on the CBOE Silver ETF Volatility Index Comments Due: Federal Register version (76 FR 37868)
34-64713
June 21, 2011
SR-NASDAQ-2011-082
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Certain Disclosure Requirements in Nasdaq's Corporate Governance Rules with Similar Disclosure Requirements in the Commission's Rules Comments Due: Federal Register version (76 FR 37388)
34-64715
June 21, 2011
SR-NASDAQ-2011-084
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4763 Comments Due: Federal Register version (76 FR 37386)
34-64717
June 21, 2011
SR-FINRA-2011-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements Comments Due: Federal Register version (76 FR 37384)
34-64705
June 20, 2011
SR-Phlx-2011-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to a Remote Specialist Fee Comments Due: Exhibit 5 Federal Register version (76 FR 37163)
34-64706
June 20, 2011
SR-FINRA-2011-027
Notice of Filing of Proposed Rule Change To Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities That Are Part of a Distribution and Transfers of Equity Securities To Create or Redeem Instruments Such as ADRs and ETFs Comments Due: Exhibit 5 , Rel. No. 34-65025 Federal Register version (76 FR 37382)
34-64697
June 17, 2011
SR-OCC-2011-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide an Interpretation to Rule 401 To Allow Clearing Members To Use OCC Systems To Update Certain Non-critical Trade Data With Respect to Exchange Transactions Involving Securities Options Comments Due: Federal Register version (76 FR 36943)
34-64696
June 17, 2011
SR-NASDAQ-2011-083
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Anti-Internalization Functionality for Registered Market Makers on the NASDAQ Options Market Comments Due: Federal Register version (76 FR 36950)
34-64699
June 17, 2011
SR-CBOE-2011-056
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Selection Specifications and Content Outline for the Proprietary Traders Examination Program (Series 56) Comments Due: View Received Comments Federal Register version (76 FR 36945)
34-64693
June 16, 2011
SR-NYSEAmex-2011-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 903G To Permit the Exchange To List Flexible Exchange Options on Index and Equity Securities That Are Eligible for Non-FLEX Options Trading, and That Have Non-FLEX Options on Such Index and Equity Securities Listed and Traded on at Least One National Securities Exchange, Even if the Exchange Does Not List Such Non-FLEX Options Comments Due: Federal Register version (76 FR 36598)
34-64692
June 16, 2011
SR-NYSEArca-2011-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 5.30 and 5.32 To Permit the Exchange To List Flexible Exchange Options on Index and Equity Securities That Are Eligible for Non-FLEX Options Trading, and That Have Non-FLEX Options on Such Index and Equity Securities Listed and Traded on at Least One National Securities Exchange, Even if the Exchange Does Not List Such Non-FLEX Options Comments Due: Federal Register version (76 FR 36604)
34-64691
June 16, 2011
SR-NASDAQ-2011-079
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Several Rules in Connection With Trading System Enhancements Comments Due: Federal Register version (76 FR 36610)
34-64687
June 16, 2011
SR-FINRA-2011-013
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Establishing a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-64080 Federal Register version (76 FR 36586)
34-64675
June 15, 2011
SR-EDGA-2011-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 35924)
34-64677
June 15, 2011
SR-Phlx-2011-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing of Opening Orders Comments Due: Federal Register version (76 FR 36161)
34-64674
June 15, 2011
SR-CBOE-2011-054
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Sales Value Fee Comments Due: Federal Register version (76 FR 35926)
34-64673
June 15, 2011
SR-C2-2011-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Sales Value Fee Comments Due: Federal Register version (76 FR 35928)
34-64666
June 14, 2011
SR-NSCC-2011-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Analytic Reporting Service Comments Due: Federal Register version (76 FR 35931)
34-64667
June 14, 2011
SR-NASDAQ-2011-080
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Order Spread Protection Feature Comments Due: Federal Register version (76 FR 35930)
34-64665
June 14, 2011
SR-FINRA-2011-025
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program Comments Due: Federal Register version (76 FR 35933)
34-64655
June 13, 2011
SR-NYSEAmex-2011-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Establish a New Fee Designed To Encourage Efficient Use of Bandwidth by ATP Firms and To Rename a Related Existing Fee Comments Due: Exhibit 5 Federal Register version (76 FR 35495)
34-64656
June 13, 2011
SR-NYSEAmex-2011-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Adopt a Monthly Fee Cap and Related Service Fee for All Member Firm Proprietary Transactions Executed in Open Outcry and To Increase Both the Existing Monthly Fee Cap and a Related Trading Volume Threshold Applicable to Market Makers Comments Due: Exhibit 5 Federal Register version (76 FR 35493)
34-64652
June 13, 2011
SR-NASDAQ-2011-075
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding BONO SM Comments Due: Exhibit 5 Federal Register version (76 FR 35498)
34-64654
June 13, 2011
SR-CBOE-2011-039
Notice of Filing of Proposed Rule Change To Trade Single Stock Dividend Options Comments Due: Exhibit 3 , Rel. No. 34-64991 Federal Register version (76 FR 35503)
34-64644
June 10, 2011
SR-CHX-2011-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Rule Concerning the CHX Book Feed Comments Due: Federal Register version (76 FR 35257)
34-64645
June 10, 2011
SR-Phlx-2011-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (76 FR 35256)
34-64642
June 10, 2011
SR-CBOE-2011-052
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Linkage Fees Comments Due: Federal Register version (76 FR 35066)
34-64632
June 8, 2011
SR-EDGX-2011-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 34792)
34-64634
June 8, 2011
SR-EDGA-2011-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 34794)
34-64629
June 8, 2011
SR-Phlx-2011-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Amend the Fee Schedule Regarding Fees Assessed for the Installation of Certain Co-Location Services Comments Due: Exhibit 5
34-64627
June 8, 2011
SR-NYSEArca-2011-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Replace Numerical Thresholds With Percentage Thresholds for Tier Volume Requirements, Add a New Volume Tier and Increase the Credit That Lead Market Makers Receive for Execution of Orders That Provide Undisplayed Liquidity Using Post No Preference Blind Orders Comments Due: Exhibit 5 Federal Register version (76 FR 34788)
34-64631
June 8, 2011
SR-BX-2011-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 Regarding Certain Co-Location Installation Fees Comments Due: Exhibit 5 Federal Register version (76 FR 34785)
34-64636
June 8, 2011
SR-BX-2011-030
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System Comments Due: Exhibit 5 Federal Register version (76 FR 34796)
34-64630
June 8, 2011
SR-NASDAQ-2011-074
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 Regarding Certain Co-Location Installation Fees Comments Due: Exhibit 5 Federal Register version (76 FR 34783)
34-64633
June 8, 2011
SR-NASDAQ-2011-073
Notice of Filing of Proposed Rule Change To Adopt Additional Listing Requirements for Reverse Mergers Comments Due: View Received Comments Rel. No. 34-65319 , Rel. No. 34-64956 Federal Register version (76 FR 34781)
34-64635
June 8, 2011
SR-NASDAQ-2011-072
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 34786)
34-64615
June 7, 2011
SR-BX-2011-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Functionality of the Post-Only Order Comments Due: Federal Register version (76 FR 34284)
34-64616
June 7, 2011
SR-NASDAQ-2011-077
Notice of Filing of Proposed Rule Change To Adopt a Risk Monitor Mechanism Comments Due: Rel. No. 34-64948 Federal Register version (76 FR 34281)
34-64614
June 7, 2011
SR-CBOE-2011-053
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Option Expiration Months Open for Trading on the Exchange Comments Due: Federal Register version (76 FR 34278)
34-64617
June 7, 2011
SR-CBOE-2011-050
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Class Quoting Limit in One Option Class Comments Due: Federal Register version (76 FR 34279)
34-64608
June 6, 2011
SR-NYSEArca-2011-31
Notice of Filing of Proposed Rule Change To List and Trade the Shares of the WisdomTree Dreyfus Euro Debt Fund Under NYSE Arca Equities Rule 8.600 Comments Due: Rel. No. 34-64935 Federal Register version (76 FR 34112)
34-64604
June 6, 2011
SR-FICC-2011-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Brokers To Process Specified Pool Trade Activity at the Mortgage-Backed Securities Division in Broker Accounts Comments Due: Federal Register version (76 FR 34111)
34-64597
June 3, 2011
SR-CHX-2011-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Orders That Are Eligible for Entry to the Exchange's Matching System Comments Due: Federal Register version (76 FR 33794)
34-64593
June 3, 2011
SR-NYSEArca-2011-34
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, Investor Tier 1 and Investor Tier 2 Comments Due: Exhibit 5 Federal Register version (76 FR 33380)
34-64595
June 3, 2011
SR-NYSEArca-2011-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Establish a Gross FOCUS Revenue Fee Comments Due: Exhibit 5 Federal Register version (76 FR 33795)
34-64596
June 3, 2011
SR-NYSEArca-2011-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule To Adopt a Fee for Qualified Contingent Cross Trades Comments Due: Exhibit 5 Federal Register version (76 FR 33797)
34-64592
June 3, 2011
SR-CBOE-2011-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend CBOE Stock Exchange Transaction Fees to Change the Maker/Taker Fee to a Flat Fee Comments Due: Federal Register version (76 FR 33382)
34-64586
June 2, 2011
SR-EDGX-2011-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 33392)
34-64581
June 2, 2011
SR-NYSEAmex-2011-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Relating to the Sale of Trading Licenses Comments Due: Exhibit 5 Federal Register version (76 FR 33389)
34-64584
June 2, 2011
SR-Phlx-2011-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Conform Exchange Rules Comments Due: Federal Register version (76 FR 33378)
34-64589
June 2, 2011
SR-Phlx-2011-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Permit the Listing of Series With $0.50 and $1 Strike Price Increments on Certain Options Used To Calculate Volatility Indexes Comments Due: Exhibit 5 Federal Register version (76 FR 33387)
34-64591
June 2, 2011
SR-Phlx-2011-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Qualified Exchange Members to Act as Off-Floor Option Specialists in One or More Options Classes Comments Due: Exhibit 5 Federal Register version (76 FR 33383)
34-64594
June 2, 2011
SR-Phlx-2011-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Appeal Fee Comments Due: Exhibit 5 Federal Register version (76 FR 33379)
34-64582
June 2, 2011
SR-NYSE-2011-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Price List Comments Due: Exhibit 5 Federal Register version (76 FR 33390)
34-64583
June 2, 2011
SR-BX-2011-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend the Fee Schedule of BOX Comments Due: Exhibit 5 Federal Register version (76 FR 33014)
34-64578
June 1, 2011
SR-Phlx-2011-71
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Correction of an Inadvertent Error in the Fee Schedule Comments Due: Federal Register version (76 FR 33012)
34-64580
June 1, 2011
SR-Phlx-2011-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Customer Complex Orders Comments Due: Exhibit 5 Federal Register version (76 FR 33015)
34-64577
June 1, 2011
SR-BX-2011-028
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Correction of an Inadvertent Error in Exchange Rule 7019(c) Comments Due: Federal Register version (76 FR 33011)
34-64579
June 1, 2011
SR-NASDAQ-2011-071
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Correction of an Inadvertent Error in NASDAQ Rule 7019(d) Comments Due: Federal Register version (76 FR 33017)
34-64571
May 31, 2011
SR-Phlx-2011-72
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Pilot Period To Allow Cabinet Trading To Take Place Below $1 Per Option Contract Comments Due: Federal Register version (76 FR 32385)
34-64570
May 31, 2011
SR-BX-2011-029
Notice of Filing and Immediate Effectiveness of a Proposal To Permit the Exchange To List Series With Additional Expiration Months If Such Series Are Listed on Another Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 32383)
34-64563
May 27, 2011
SR-Phlx-2011-70
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Functionality of NASDAQ OMX PSX's Post-Only Order Comments Due: Text of Proposed Rule Change Federal Register version (76 FR 32255)
34-64564
May 27, 2011
SR-MSRB-2011-03
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule G-23, on Activities of Financial Advisors Comments Due: View Received Comments Rel. No. 34-63946 Federal Register version (76 FR 32248)
34-64562
May 27, 2011
SR-ISE-2011-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Second Market Fees Comments Due: Exhibit 5 Federal Register version (76 FR 32382)
34-64560
May 27, 2011
SR-FINRA-2011-024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules Comments Due: Federal Register version (76 FR 32246)
34-64552
May 26, 2011
SR-NASDAQ-2011-070
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Functionality of the Post-Only Order Comments Due: Federal Register version (76 FR 31998)
34-64546
May 25, 2011
SR-BATS-2011-018
Notice of Filing of Proposed Rule Change To Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange Comments Due: Rel. No. 34-65225 , Rel. No. 34-64889 Federal Register version (76 FR 31660)
34-64546
May 25, 2011
SR-BATS-2011-015
Notice of Filing of Proposed Rule Change To Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange Comments Due: Rel. No. 34-65225 , Rel. No. 34-64889 Federal Register version (76 FR 31660)
34-64543
May 25, 2011
SR-NYSEAmex-2011-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Revenue Sharing Program With Correlix, Inc. and a Free Trial Period for New Users of the Correlix Service Comments Due: Exhibit 5 Federal Register version (76 FR 31667)
34-64544
May 25, 2011
SR-NYSEArca-2011-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Revenue Sharing Program With Correlix, Inc. and a Free Trial Period for New Users of the Correlix Service Comments Due: Exhibit 5 Federal Register version (76 FR 31668)
34-64542
May 25, 2011
SR-NYSE-2011-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Revenue Sharing Program With Correlix, Inc. and a Free Trial Period for New Users of the Correlix Service Comments Due: Exhibit 5 Federal Register version (76 FR 31659)
34-64547
May 25, 2011
4-631
Notice of Filing of a 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. 34-65410 Federal Register version (76 FR 31647)
34-64539
May 24, 2011
SR-Phlx-2011-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Market Access Provider Fee Comments Due: Exhibit 5 Federal Register version (76 FR 31384)
34-64538
May 24, 2011
SR-ISE-2011-30
Notice of Filing of Proposed Rule Change Relating to Complex Orders Comments Due: Exhibit 5 , Rel. No. 34-64805 Federal Register version (76 FR 31385)
34-64534
May 23, 2011
SR-NASDAQ-2011-069
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Federal Register version (76 FR 30984)
34-64530
May 20, 2011
SR-BX-2011-027
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 30746)
34-64519
May 19, 2011
SR-NYSEAmex-2011-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing of Additional Expiration Months if Such Expiration Months Are Listed on Another Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 30411)
34-64521
May 19, 2011
SR-NYSEAmex-2011-34
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 70.40(3) To Permit Member Organizations to Engage in Proprietary Trading From Their Approved Booth Premises in Certain OTC Bulletin Board and OTC Markets Securities Comments Due: Exhibit 5 , Rel. No. 34-64844 Federal Register version (76 FR 30415)
34-64524
May 19, 2011
SR-NYSEAmex-2011-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule With Respect to Electronic Complex Order Executions Comments Due: Exhibit 5 Federal Register version (76 FR 30412)
