34-64520
May 19, 2011
SR-Phlx-2011-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Qualified Contingent Cross Fees Comments Due: Exhibit 5 Federal Register version (76 FR 30223)
34-64518
May 19, 2011
SR-NYSEArca-2011-28
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 30409)
34-64523
May 19, 2011
SR-NYSEArca-2011-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31(h)(5) To Reduce the Minimum Order Entry Size of a Mid-Point Passive Liquidity Order From 100 Shares to One Share Comments Due: Exhibit 5 Federal Register version (76 FR 30417)
34-64525
May 19, 2011
SR-NYSEArca-2011-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules To Remove the Concept of an "Odd Lot Dealer" Comments Due: Exhibit 5 Federal Register version (76 FR 30745)
34-64522
May 19, 2011
SR-NYSE-2011-22
Notice of Filing of Proposed Rule Change Amending NYSE 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. 34-64843 Federal Register version (76 FR 30418)
34-64511
May 18, 2011
SR-NYSEAmex-2011-18
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Formation of a Joint Venture Between the Exchange, Its Ultimate Parent NYSE Euronext, and Seven Other Entities To Operate an Electronic Trading Facility for Options Contracts Comments Due: View Received Comments Rel. No. 34-64742 , Rel. No. 34-64144 Federal Register version (76 FR 29809)
34-64506
May 17, 2011
SR-NYSE-2011-20
Notice of Filing of 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 Issuers Comments Due: View Received Comments Rel. No. 34-65127 , Rel. No. 34-64809 Federal Register version (76 FR 29806)
34-64487
May 13, 2011
SR-NSCC-2011-02
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating To Updating the Range of Haircuts to be Applied to Eligible Clearing Fund Securities Comments Due:
34-64484
May 13, 2011
SR-BX-2011-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rule 3011 To Reflect Changes to a Corresponding FINRA Rule Comments Due: Federal Register version (76 FR 28838)
34-64494
May 13, 2011
SR-NASDAQ-2011-066
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees in Penny Pilot, NDX and MNX and Non-Penny Pilot Options Comments Due: Federal Register version (76 FR 29014)
34-64488
May 13, 2011
SR-FICC-2011-03
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Updating the Range of Haircuts To Be Applied to Eligible Clearing Fund Securities and Eligible Participants Fund Securities Comments Due: Federal Register version (76 FR 29018)
34-64485
May 13, 2011
SR-CBOE-2011-046
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Orders Qualifying for Certain Quantity-Based Fee Waivers Comments Due: Federal Register version (76 FR 28834)
34-64475
May 12, 2011
SR-BATS-2011-015
Notice of Filing of Proposed Rule Change by BATS Exchange, Inc. To Amend BATS Rule 11.9, Entitled "Orders and Modifiers" and BATS Rule 11.13, Entitled "Order Execution" Comments Due: Exhibit 5 Federal Register version (76 FR 28830)
34-64476
May 12, 2011
SR-BYX-2011-009
Notice of Filing of Proposed Rule Change by BATS Y-Exchange, Inc. To Amend BYX Rule 11.9, Entitled "Orders and Modifiers" and BYX Rule 11.13, Entitled "Order Execution" Comments Due: Exhibit 5 , Rel. No. 34-64753 Federal Register version (76 FR 28826)
34-64480
May 12, 2011
SR-Phlx-2011-65
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Regarding Opening Index Option Months and Series Comments Due: Exhibit 5 , Rel. No. 34-64741 Federal Register version (76 FR 28836)
34-64465
May 11, 2011
SR-EDGX-2011-15
Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGX Rule 11.9 Comments Due: Exhibit 5 Federal Register version (76 FR 28491)
34-64466
May 11, 2011
SR-EDGA-2011-16
Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGA Rule 11.9 To Introduce Additional Routing Options to the Rule Comments Due: Exhibit 5 Federal Register version (76 FR 28489)
34-64464
May 11, 2011
SR-NYSEArca-2011-24
Notice of Filing of Proposed Rule Change To List and Trade Shares of the Following Under NYSE Arca Equities Rule 8.200: ProShares Short DJ-UBS Natural Gas, ProShares Ultra DJ-UBS Natural Gas and ProShares UltraShort DJ-UBS Natural Gas Comments Due: Federal Register version (76 FR 28483)
34-64470
May 11, 2011
SR-NYSEArca-2011-23
Notice of Filing of Proposed Rule Change To List and Trade Shares of ProShares Short VIX Short-Term Futures ETF, ProShares Short VIX Mid-Term Futures ETF, ProShares Ultra VIX Short-Term Futures ETF, ProShares Ultra VIX Mid-Term Futures ETF, ProShares UltraShort VIX Short-Term Futures ETF, and ProShares UltraShort VIX Mid-Term Futures ETF Under NYSE Arca Equities Rule 8.200, Commentary .02 Comments Due: Federal Register version (76 FR 28493)
34-64452
May 10, 2011
SR-EDGX-2011-13
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 28110)
34-64451
May 10, 2011
SR-Phlx-2011-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Inactive Nominees Comments Due: Exhibit 5 Federal Register version (76 FR 28260)
34-64457
May 10, 2011
SR-BX-2011-024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Collection of the Covered Sales Fee Comments Due: Exhibit 5 Federal Register version (76 FR 28256)
34-64453
May 10, 2011
SR-NASDAQ-2011-062
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 28252)
34-64455
May 10, 2011
SR-MSRB-2011-06
Notice of Filing and Immediate Effectiveness of Rule Change Consisting of Fee Changes to Its Historical Transaction Data Reports Comments Due: Federal Register version (76 FR 28249)
34-64454
May 10, 2011
SR-CBOE-2011-043
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Strategy Fee Cap and Clarifications to the CBOE Fees Schedule Comments Due: Federal Register version (76 FR 28264)
34-64445
May 9, 2011
SR-BATS-2011-017
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add BATS Rule 11.22, Entitled "Data Products" Comments Due: Exhibit 5 Federal Register version (76 FR 28108)
34-64444
May 9, 2011
SR-BYX-2011-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add BYX Rule 11.22, Entitled "Data Products" Comments Due: Exhibit 5 Federal Register version (76 FR 28115)
34-64441
May 9, 2011
SR-Phlx-2011-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Modify Fees for Non Co-Location Services Comments Due: Federal Register version (76 FR 28251)
34-64446
May 9, 2011
SR-Phlx-2011-62
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 28113)
34-64447
May 9, 2011
SR-Phlx-2011-63
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 Comments Due: Exhibit 5 Federal Register version (76 FR 28106)
34-64439
May 9, 2011
SR-BX-2011-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Non Co-Location Services Comments Due: Federal Register version (76 FR 28248)
34-64440
May 9, 2011
SR-NASDAQ-2011-061
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Non Co-Location Services Comments Due: Federal Register version (76 FR 28262)
34-64428
May 6, 2011
SR-EDGX-2011-14
Notice of Filing of Proposed Rule Change To Amend EDGX Rules 11.13 and 11.14 Comments Due: Exhibit 5 , Rel. No. 34-64735 Federal Register version (76 FR 27702)
34-64435
May 6, 2011
SR-BATS-2011-016
Notice of Filing of a Proposed Rule Change To Extend a Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility Comments Due: Exhibit 5 , Rel. No. 34-64735 Federal Register version (76 FR 27684)
34-64429
May 6, 2011
SR-BYX-2011-008
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 27694)
34-64433
May 6, 2011
SR-BYX-2011-011
Notice of Filing of a Proposed Rule Change To Extend a Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility Comments Due: Exhibit 5 , Rel. No. 34-64735 Federal Register version (76 FR 27680)
34-64432
May 6, 2011
SR-EDGA-2011-15
Notice of Filing of Proposed Rule Change To Amend EDGA Rules 11.13 and 11.14 Comments Due: Federal Register version (76 FR 27701)
34-64425
May 6, 2011
SR-NSX-2011-06
Notice of Filing of Proposed Rule Change To Amend Its Rules To Extend a Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility to All NMS Stocks and To Make Conforming Changes to Market Maker Quoting Obligations Comments Due: Exhibit 5 Federal Register version (76 FR 27689)
34-64421
May 6, 2011
SR-NYSEAmex-2011-32
Notice of Filing of Proposed Rule Change Amending Rule 80C-NYSE Amex Equities To Include Additional Securities in the Pilot by Which Such Rule Operates and Amending Rule 104-NYSE Amex Equities To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 80C Comments Due: Exhibit 5 Federal Register version (76 FR 27708)
34-64418
May 6, 2011
SR-CHX-2011-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Treatment of Customer Orders and the Prohibition Against Trading Ahead of Customer Orders Comments Due: Federal Register version (76 FR 27735)
34-64431
May 6, 2011
SR-CHX-2011-09
Notice of Filing of Proposed Change To Add All NMS Stocks to the Single Securities Circuit Breaker Pilot Program Comments Due: Exhibit 5 Federal Register version (76 FR 27683)
34-64419
May 6, 2011
SR-Phlx-2011-64
Notice of Filing of Proposed Rule Change To Amend Rule 3100(a)(4) To Include Additional Securities in the Pilot by Which Such Rule Operates Comments Due: Federal Register version (76 FR 27693)
34-64436
May 6, 2011
SR-OCC-2011-05
Notice of Filing of Proposed Rule Change To Provide Flexibility to the Options Clearing Corporation With Respect to Its Obligations To Pay Settlement Amounts to Clearing Members Generally as Well as in Emergency Situations Comments Due: Rel. No. 34-64740 , Rel. No. 34-64740 Federal Register version (76 FR 27697)
34-64422
May 6, 2011
SR-NYSEArca-2011-26
Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11 To Include Additional Securities in the Pilot by Which Such Rule Operates and Amending NYSE Arca Equities Rule 7.23 To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 7.11 Comments Due: Exhibit 5 Federal Register version (76 FR 27691)
34-64420
May 6, 2011
SR-NYSE-2011-21
Notice of Filing of Proposed Rule Change Amending Rule 80C To Include Additional Securities in the Pilot by Which Such Rule Operates and Amending Rule 104 To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 80C Comments Due: Exhibit 5 Federal Register version (76 FR 27675)
34-64427
May 6, 2011
SR-BX-2011-025
Notice of Filing of Proposed Rule Change To Amend IM-4120-3 To Include Additional Securities in the Pilot by Which Such Rule Operates and Amend Rule 4613(a) To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Price Move Percentages That Trigger a Circuit Breaker Pilot Pause Comments Due: Federal Register version (76 FR 27704)
34-64426
May 6, 2011
SR-NASDAQ-2011-067
Notice of Filing of Proposed Rule Change To Amend Rule 4120(a)(11) To Include Additional Securities in the Pilot by Which Such Rule Operates and Amend Rule 4613(a) To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 4120(a)(11) Comments Due: Exhibit 5 Federal Register version (76 FR 27678)
34-64430
May 6, 2011
SR-NASDAQ-2011-059
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Midpoint Peg Post-Only Order Comments Due: View Received Comments Federal Register version (76 FR 27699)
34-64423
May 6, 2011
SR-ISE-2011-28
Notice of Filing of Proposed Rule Change by International Securities Exchange to Amend ISE Rule 2102 Comments Due: Federal Register version (76 FR 27677)
34-64424
May 6, 2011
SR-FINRA-2011-023
Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and FINRA Rule 6272 (Character of Quotations) To Include all NMS Stocks Comments Due: Federal Register version (76 FR 27707)
34-64434
May 6, 2011
SR-CBOE-2011-049
Notice of Proposed Rule Change Related to the Individual Trading Pause Pilot and CBSX Market-Maker Quoting Obligations Comments Due: Federal Register version (76 FR 27687)
34-64415
May 5, 2011
SR-Phlx-2011-56
Notice of Filing of Proposed Rule Change To Establish a Qualified Contingent Cross Order for Execution on the Floor of the Exchange Comments Due: View Received Comments Rel. No. 34-64688 Federal Register version (76 FR 27732)
34-64411
May 5, 2011
SR-NYSEArca-2011-21
Notice of Filing of Proposed Rule Change To List and Trade the WisdomTree Global Real Return Fund Comments Due: Rel. No. 34-64643 Federal Register version (76 FR 27127)
34-64414
May 5, 2011
SR-CBOE-2011-045
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule Comments Due: Federal Register version (76 FR 27730)
34-64393
May 4, 2011
SR-EDGA-2011-14
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 27370)
34-64400
May 4, 2011
SR-NYSEAmex-2011-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Fee Schedule To Eliminate Registered Representative Fees for Amex Trading Permit ("ATP") Holders and To Institute a New Transaction-Based "Options Regulatory Fee" Comments Due: View Received Comments Exhibit 5 Federal Register version (76 FR 27118)
34-64404
May 4, 2011
SR-NYSEAmex-2011-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Extend Its Program That Allows Transactions To Take Place at a Price That Is Below $1 per Option Contract Until June 1, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 27136)
34-64401
May 4, 2011
SR-Phlx-2011-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to In-Crowd Priority Comments Due: Federal Register version (76 FR 27105)
34-64399
May 4, 2011
SR-NYSEArca-2011-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule To Eliminate Registered Representative Fees for Options Trading Permit ("OTP") Holders and To Institute a New Transaction-Based "Options Regulatory Fee" Comments Due: View Received Comments Exhibit 5 Federal Register version (76 FR 27114)
34-64402
May 4, 2011
SR-NYSEArca-2011-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Extend Its Program That Allows Transactions To Take Place at a Price That Is Below $1 per Option Contract Until June 1, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 27122)
34-64406
May 4, 2011
SR-NASDAQ-2011-065
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Two-Sided Order for NOM Market Makers Comments Due: Federal Register version (76 FR 27134)
34-64397
May 4, 2011
SR-FINRA-2011-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Rename the OTC Bulletin Board in the FINRA Rulebook Comments Due: View Received Comments Exhibit 5 Federal Register version (76 FR 27123)
34-64395
May 4, 2011
SR-CBOE-2011-044
Notice of Filing of a Proposed Rule Change To Reduce the Minimum Size of the Nominating and Governance Committee Comments Due: Rel. No. 34-64725 Federal Register version (76 FR 27125)
34-64403
May 4, 2011
SR-CBOE-2011-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trades for Less Than $1 Comments Due: Federal Register version (76 FR 27110)
34-64405
May 4, 2011
SR-CBOE-2011-042
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Retroactive Waiver of PAR Official Fees Comments Due: Federal Register version (76 FR 27108)
34-64390
May 4, 2011
SR-C2-2011-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the C2 Fees Schedule Comments Due: Federal Register version (76 FR 27117)
34-64394
May 4, 2011
SR-C2-2011-012
Notice of Filing of a Proposed Rule Change To Reduce the Minimum Size of the Nominating and Governance Committee Comments Due: Rel. No. 34-64727 Federal Register version (76 FR 27112)
34-64381
May 3, 2011
SR-Phlx-2011-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Active SQF Port Fees Comments Due: Exhibit 5 Federal Register version (76 FR 26777)
34-64386
May 3, 2011
SR-FINRA-2011-018
Notice of Filing of Proposed Rule Change and Amendment No. 1 to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Exhibit 5 Federal Register version (76 FR 26779)
34-64376
May 2, 2011
SR-BATS-2011-013
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Trading Hours of BATS Options for Certain Products Comments Due: Federal Register version (76 FR 26331)
34-64370
April 29, 2011
SR-CHX-2011-07
Notice of Filing of Proposed Rule Change To Amend Minor Rule Violation Plan Comments Due: Exhibit 5 , Rel. No. 34-64686 Federal Register version (76 FR 25727)
34-64371
April 29, 2011
SR-NASDAQ-2011-056
Notice of Filing of Proposed Rule Change to Adopt Additional Listing Requirements for Reverse Mergers Comments Due: View Received Comments Federal Register version (76 FR 25730)
34-64369
April 29, 2011
SR-FINRA-2011-021
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks Comments Due: Federal Register version (76 FR 25399)
34-64361
April 28, 2011
SR-EDGX-2011-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Inbound Router, as Described in EDGX Rule 2.12(b) Comments Due: Exhibit 5 Federal Register version (76 FR 25388)
34-64362
April 28, 2011
SR-EDGA-2011-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Inbound Router, as described in EDGA Rule 2.12(b) Comments Due: Exhibit 5 Federal Register version (76 FR 25386)
34-64358
April 28, 2011
SR-CHX-2011-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter the CHX Fee Schedule Relating to the CHX Connect Service Comments Due: Federal Register version (76 FR 25394)
34-64357
April 28, 2011
SR-NYSEArca-2011-18
Notice of Filing of Proposed Rule Change To List and Trade the Meidell Tactical Advantage ETF Comments Due: Rel. No. 34-64689 Federal Register version (76 FR 24936)
34-64365
April 28, 2011
SR-NASDAQ-2011-058
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Limitation of Liability Comments Due: Exhibit 5 Federal Register version (76 FR 25384)
34-64359
April 28, 2011
SR-ISE-2011-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing of Series With $0.50 and $1 Strike Price Increments on Certain Options Used To Calculate Volatility Indexes Comments Due: Federal Register version (76 FR 25390)
34-64360
April 28, 2011
SR-DTC-2011-05
Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Memo Segregation Function Comments Due: Rel. No. 34-64605 Federal Register version (76 FR 25389)
34-64355
April 27, 2011
SR-SCCP-2011-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc. Comments Due: Federal Register version (76 FR 25382)
34-64356
April 27, 2011
SR-BSECC-2011-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the By-Laws of its Parent Corporation, the NASDAQ OMX Group, Inc. Comments Due: Federal Register version (76 FR 25396)
34-64350
April 27, 2011
SR-NYSEAmex-2011-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 440B (Short Sales) To Modify the Exchange's Procedures for Early Termination of the Short Sale Price Test Restrictions of Rule 201 of Regulation SHO Based on a Triggering Transaction That Another Exchange or a Self-Regulatory Organization Has Determined Was a Clearly Erroneous Execution Comments Due: Federal Register version (76 FR 24945)
34-64346
April 27, 2011
SR-PHLX-2011-54
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the NASDAQ OMX Group, Inc.'s By-Laws Comments Due: Federal Register version (76 FR 24947)
34-64348
April 27, 2011
SR-Phlx-2011-58
Notice of Filing of Proposed Rule Change To Increase the Position Limit for Options on the Standard and Poor's Depositary Receipts (SPDRs) Comments Due: View Received Comments Rel. No. 34-64695 Federal Register version (76 FR 24951)
34-64349
April 27, 2011
SR-NYSEArca-2011-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.16 (Short Sales) To Modify the Exchange's Procedures for Early Termination of the Short Sale Price Test Restrictions of Rule 201 of Regulation SHO Based on a Triggering Transaction That Another Exchange or a Self-Regulatory Organization Has Determined Was a Clearly Erroneous Execution Comments Due: Federal Register version (76 FR 24954)
34-64351
April 27, 2011
SR-NYSE-2011-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 440B (Short Sales) To Modify the Exchange's Procedures for Early Termination of the Short Sale Price Test Restrictions of Rule 201 of Regulation SHO Based on a Triggering Transaction that Another Exchange or a Self-Regulatory Organization Has Determined Was a Clearly Erroneous Execution Comments Due: Federal Register version (76 FR 24943)
34-64345
April 27, 2011
SR-BX-2011-022
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the NASDAQ OMX Group, Inc.'s By-Laws Comments Due: Federal Register version (76 FR 24934)
34-64347
April 27, 2011
SR-NASDAQ-2011-054
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the NASDAQ OMX Group, Inc.'s By-Laws Comments Due: Federal Register version (76 FR 24949)
34-64353
April 27, 2011
SR-FINRA-2011-020
Notice of Filing of Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities Comments Due: Rel. No. 34-64590 Federal Register version (76 FR 24942)
34-64354
April 27, 2011
SR-CBOE-2011-041
Notice of Filing of Proposed Rule Change Establishing Qualified Contingent Cross Orders Comments Due: View Received Comments Rel. No. 34-64653 Federal Register version (76 FR 25392)
34-64342
April 26, 2011
SR-NYSEArca-2011-17
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Madrona Forward Domestic ETF, Madrona Forward International ETF, and Madrona Forward Global Bond ETF Comments Due: Rel. No. 34-64690 Federal Register version (76 FR 24548)
34-64343
April 26, 2011
SR-ISE-2011-26
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 24546)
34-64341
April 26, 2011
SR-FINRA-2011-017
Notice of Filing of Proposed Rule Change To Amend FINRA Rule 5131 (New Issue Allocations and Distributions) Comments Due: View Received Comments Rel. No. 34-64512 Federal Register version (76 FR 24076)
34-64335
April 25, 2011
SR-NYSEAmex-2011-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 72(d) Regarding Agency Cross Transactions Comments Due: Exhibit 5 Federal Register version (76 FR 24074)
34-64334
April 25, 2011
SR-NYSE-2011-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 72(d) Regarding Agency Cross Transactions Comments Due: Exhibit 5 Federal Register version (76 FR 24078)
34-64325
April 22, 2011
SR-NYSEAmex-2011-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change 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 23632)
34-64324
April 22, 2011
SR-NYSEArca-2011-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change 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 23849)
34-64326
April 22, 2011
SR-NASDAQ-2011-057
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating to the $2.50 Strike Price Program Comments Due: Exhibit 5 Federal Register version (76 FR 24067)
34-64319
April 21, 2011
SR-CHX-2011-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add the CHX Only Order Type Comments Due: Federal Register version (76 FR 23634)
