34-65040
Aug. 5, 2011
SR-NASDAQ-2011-108
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proprietary Traders Qualification Examination ("Series 56") Comments Due: Federal Register version (76 FR 49809)
34-65041
Aug. 5, 2011
SR-NASDAQ-2011-107
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct the Proprietary Trader Registration Category Comments Due: Federal Register version (76 FR 49822)
34-65033
Aug. 4, 2011
SR-NYSEAmex-2011-55
Notice of Filing of Proposed Rule Change Amending Section 101 of the NYSE Amex Company Guide To Adopt Additional Listing Requirements for Companies Applying To List After Consummation of a "Reverse Merger" With a Shell Company Comments Due: View Received Comments Rel. No. 34-65369 Federal Register version (76 FR 49522)
34-65035
Aug. 4, 2011
SR-CHX-2011-20
Notice of Filing of Proposed Rule Change To Impose Certain Requirements on Exchange-Registered Institutional Broker Firms That Operate a Separate Non-Institutional Broker Unit Within the Firm Comments Due: Federal Register version (76 FR 49520)
34-65034
Aug. 4, 2011
SR-NYSE-2011-38
Notice of Filing of Proposed Rule Change Amending Sections 102.01 and 103.01 of the Exchange's Listed Company Manual To Adopt Additional Listing Requirements for Companies Applying To List After Consummation of a "Reverse Merger" With a Shell Company Comments Due: View Received Comments Rel. No. 34-65368 Federal Register version (76 FR 49513)
34-65036
Aug. 4, 2011
SR-BX-2011-049
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Definition of "Professional" and Require That Professional Orders Be Appropriately Marked by BOX Options Participants Comments Due: Federal Register version (76 FR 49517)
34-65031
Aug. 4, 2011
SR-CBOE-2011-040
Notice of Proposed Rule to Simplify the $1 Strike Price Interval Program Comments Due: Rel. No. 34-65383 Federal Register version (76 FR 48935)
34-65020
Aug. 3, 2011
SR-NASDAQ-2011-099
Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend Fees Assessed for Use of NASDAQ Pre-Trade Risk Management Comments Due: Federal Register version (76 FR 48193)
34-65024
Aug. 3, 2011
SR-NASDAQ-2011-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce a Bulk-Quoting Interface Comments Due: Federal Register version (76 FR 48925)
34-65021
Aug. 3, 2011
SR-ISE-2011-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Complex Orders Comments Due: Exhibit 5 Federal Register version (76 FR 48933)
34-65019
Aug. 3, 2011
SR-CBOE-2011-073
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fees Schedule and Circular Regarding Trading Permit Holder Application and Other Related Fees Comments Due: Federal Register version (76 FR 48931)
34-65010
Aug. 2, 2011
SR-Phlx-2011-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Member and Member Organization Participation Comments Due: Exhibit 5 Federal Register version (76 FR 48195)
34-65008
Aug. 2, 2011
SR-NSCC-2011-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Analytic Reporting Service Fees Comments Due: Federal Register version (76 FR 48192)
34-65013
Aug. 2, 2011
SR-NASDAQ-2011-103
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center Comments Due: Exhibit 5 Federal Register version (76 FR 48186)
34-65014
Aug. 2, 2011
SR-NASDAQ-2011-101
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Assessed Under Rule 7015(h) Comments Due: Federal Register version (76 FR 48189)
34-65015
Aug. 2, 2011
SR-MSRB-2011-08
Notice of Filing of Proposed New Rule A-11, on Municipal Advisor Assessments, and New Form A-11-Interim Comments Due: View Received Comments Federal Register version (76 FR 48197)
34-65011
Aug. 2, 2011
SR-ISE-2011-42
Notice of Filing of Proposed Rule Change by International Securities Exchange, Inc., Relating to Rule 717 Comments Due: Rel. No. 34-65361 Federal Register version (76 FR 48187)
34-65007
Aug. 2, 2011
SR-CBOE-2011-071
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Concerning Facilitation Orders in Multiply-Listed FLEX Options Comments Due: Federal Register version (76 FR 48190)
34-64997
Aug. 1, 2011
SR-NYSE-2011-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees Charged for the Floor Member Continuing Education Program for Qualified Floor Members Pursuant to NYSE Rule 103A, From a Fixed Flat Fee of $80 Per Training Module to a Fixed Flat Fee of $150 Per Qualified Member Per Bi-Annual Session for a Total Cost Per Member Per Year of $300 Comments Due: Exhibit 5 Federal Register version (76 FR 47626)
34-65001
Aug. 1, 2011
SR-BX-2011-050
Notice of Filing and Immediate Effectiveness of a Proposal to Amend Chapter VI, Section 15 (Automatic Quote Cancellation) of the BOX Trading Rules Comments Due: Exhibit 5 Federal Register version (76 FR 47635)
34-65000
Aug. 1, 2011
SR-ISE-2011-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Two Market Data Feeds Comments Due: Federal Register version (76 FR 47627)
34-65002
Aug. 1, 2011
SR-ISE-2011-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Data Fees Comments Due: Federal Register version (76 FR 47630)
34-64990
July 29, 2011
SR-EDGX-2011-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule Comments Due: Federal Register version (76 FR 47285)
34-64989
July 29, 2011
SR-EDGA-2011-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule Comments Due: Federal Register version (76 FR 47283)
34-64987
July 29, 2011
SR-NYSEAMEX-2011-54
Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person To Exclude Foreign Affiliates, Creating a New Definition of "Foreign Securities Affiliate," Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes Comments Due: Federal Register version (76 FR 46863)
34-64988
July 29, 2011
SR-NYSE-2011-36
Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person To Exclude Foreign Affiliates, Creating a New Definition of "Foreign Securities Affiliate," Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes Comments Due: View Received Comments Federal Register version (76 FR 46860)
34-64994
July 29, 2011
SR-NASDAQ-2011-091
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer an Optional Derived Data Fee for NASDAQ Basic Comments Due: View Received Comments Federal Register version (76 FR 47621)
34-64992
July 29, 2011
SR-ISE-2011-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity Comments Due: Exhibit 5 Federal Register version (76 FR 47279)
34-64985
July 28, 2011
SR-CHX-2011-21
Notice of Filing of Proposed Rule Change To Amend Article 20, Rule 9 (Cancellation of Transactions) and Interpretation and Policy .01 Thereunder Regarding the Cancellation of the Stock Leg of Stock-Option Transactions Done on the Exchange Comments Due: View Received Comments Rel. No. 34-65308 Federal Register version (76 FR 46866)
34-64982
July 28, 2011
SR-OCC-2011-08
Notice of Filing of Proposed Rule Change to Provide Specific Authority to Use an Auction Process as One of the Means to Liquidate a Defaulting Clearing Member's Accounts Comments Due: Rel. No. 34-65654 , Rel. No. 34-65370 , Rel. No. 34-65654 , Rel. No. 34-65370 Federal Register version (76 FR 46867)
34-64981
July 28, 2011
SR-BX-2011-046
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend the BOX Fee Schedule Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-65592 , Rel. No. 34-65330 , Rel. No. 34-66278 Federal Register version (76 FR 46858)
34-64983
July 28, 2011
SR-NASDAQ-2011-098
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an "All-or-None" Order Type Comments Due: Federal Register version (76 FR 46869)
34-64984
July 28, 2011
SR-FINRA-2011-035
Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2210 (Communications With the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications With the Public Regarding Security Futures), and 2216 (Communications With the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-66681 , Rel. No. 34-65663 , Rel. No. 34-66049 Federal Register version (76 FR 46870)
34-64973
July 27, 2011
SR-OCC-2011-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow for the Clearing of Real Estate Index Futures Contracts Comments Due: Federal Register version (76 FR 46346)
34-64977
July 27, 2011
SR-BX-2011-044
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position Limit for Options on the SPDR Comments Due: Federal Register version (76 FR 46337)
34-64974
July 27, 2011
SR-C2-2011-016
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for the Execution of Complex Orders Comments Due: Federal Register version (76 FR 46348)
34-64963
July 26, 2011
SR-EDGX-2011-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule Comments Due: Federal Register version (76 FR 45895)
34-64962
July 26, 2011
SR-EDGA-2011-21
Notice of Filing And Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.5(c)(8) Regarding the Description of the Non-Displayed Order Type Comments Due: Exhibit 5 Federal Register version (76 FR 45896)
34-64964
July 26, 2011
SR-EDGA-2011-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule Comments Due: Federal Register version (76 FR 45898)
34-64966
July 26, 2011
SR-NYSEAmex-2011-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to NYSE Amex Rule 904 To Increase Position Limits for Options on the SPDR S&P 500 Exchange-Traded Fund, Which List and Trade Under the Option Symbol SPY, and To Update the Names and One Trading Symbol for the Options Reflected Therein, Including SPY Comments Due: Federal Register version (76 FR 45899)
34-64967
July 26, 2011
SR-NYSEArca-2011-48
Notice of Filing of Proposed Rule Change To List and Trade Shares of the Teucrium Wheat Fund, the Teucrium Soybean Fund and the Teucrium Sugar Fund Under NYSE Arca Equities Rule 8.200, Commentary .02 Comments Due: Rel. No. 34-65344 Federal Register version (76 FR 45885)
34-64961
July 26, 2011
SR-FINRA-2011-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Cancellation or Rescheduling Fees for Qualification Examinations and Continuing Education Sessions Comments Due: View Received Comments Federal Register version (76 FR 45883)
34-64969
July 26, 2011
SR-FINRA-2009-028
Notice of Filing of Amendment No. 1 to Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-67588 , Rel. No. 34-64969A , Rel. No. 34-59921 Federal Register version (76 FR 46340)
34-64957
July 25, 2011
SR-BATS-2011-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rules in Connection With the Elimination of a Directed Order Program for BATS Options Comments Due: Exhibit 5 Federal Register version (76 FR 45636)
34-64953
July 25, 2011
SR-CHX-2011-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Application of the Fee Schedule to Certain Transactions of, and Services to, CHX Participants and Make Certain Rate Changes Comments Due: Federal Register version (76 FR 45626)
34-64956
July 25, 2011
SR-NASDAQ-2011-073
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt Additional Listing Requirements for Reverse Mergers Comments Due: View Received Comments Rel. No. 34-65319 , Rel. No. 34-64633 Federal Register version (76 FR 45636)
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)
