34-64239
April 7, 2011
SR-Phlx-2011-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule Comments Due: Federal Register version (76 FR 20789)
34-64244
April 7, 2011
SR-Phlx-2011-46
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC To Expand the Number of Components in the PHLX Gold/Silver SectorSM Comments Due: Rel. No. 34-64549 Federal Register version (76 FR 20775)
34-64248
April 7, 2011
SR-Phlx-2011-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Amend Phlx Rule 1001A, Position Limits Comments Due: Federal Register version (76 FR 20788)
34-64249
April 7, 2011
SR-Phlx-2011-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Establish a Qualified Contingent Cross Order Comments Due: Federal Register version (76 FR 20773)
34-64247
April 7, 2011
SR-OCC-2011-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Legal Certainty for the Trading of Futures on the CBOE Gold ETF Volatility Index Comments Due: Federal Register version (76 FR 20779)
34-64224
April 7, 2011
SR-NYSEArca-2011-11
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Guggenheim Enhanced Core Bond ETF and Guggenheim Enhanced Ultra-Short Bond ETF Comments Due: Rel. No. 34-64550 Federal Register version (76 FR 20401)
34-64234
April 7, 2011
SR-NYSEArca-2011-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 7.10, Clearly Erroneous Executions, To Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or the Date on Which a Limit Up/Limit Down Mechanism To Address Extraordinary Market Volatility, if Adopted, Applies Comments Due: Exhibit 5 Federal Register version (76 FR 20399)
34-64232
April 7, 2011
SR-NYSE-2011-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Clearly Erroneous Executions, To Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or the Date on Which a Limit Up/Limit Down Mechanism To Address Extraordinary Market Volatility, if Adopted, Applies Comments Due: Exhibit 5 Federal Register version (76 FR 20735)
34-64254
April 7, 2011
SR-NYSE-2011-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, To Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or the Date on Which a Limit Up/Limit Down Mechanism To Address Extraordinary Market Volatility, if Adopted, Applies Comments Due: Federal Register version (76 FR 20767)
34-64240
April 7, 2011
SR-BX-2011-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule Comments Due: Federal Register version (76 FR 20732)
34-64238
April 7, 2011
SR-NASDAQ-2011-043
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule Comments Due: Federal Register version (76 FR 20780)
34-64246
April 7, 2011
SR-NASDAQ-2011-048
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 20761)
34-64231
April 7, 2011
SR-ISE-2011-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 To Extend the Pilot Program Comments Due: Federal Register version (76 FR 20733)
34-64237
April 7, 2011
SR-FINRA-2011-014
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions Comments Due: Federal Register version (76 FR 20782)
34-64227
April 7, 2011
SR-CBOE-2011-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Extension of a CBSX Clearly Erroneous Policy Pilot Program Comments Due: Federal Register version (76 FR 20796)
34-64243
April 7, 2011
SR-CBOE-2011-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Close of Trading Hours for Expiring End of Week and End of Month Expirations Comments Due: View Received Comments Federal Register version (76 FR 20771)
34-64245
April 7, 2011
SR-CBOE-2011-026
Notice of Filing of a Proposed Rule Change To Trade Options on Individual Stock Based Volatility Indexes and Certain Exchange-Traded Fund Based Volatility Indexes Comments Due: Rel. No. 34-64551 Federal Register version (76 FR 20784)
34-64205
April 6, 2011
SR-EDGX-2011-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.14 To Extend the Operation of the Single Stock Circuit Breaker Pilot Program Comments Due: Federal Register version (76 FR 20417)
34-64207
April 6, 2011
SR-BATS-2011-011
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility Comments Due: Federal Register version (76 FR 20424)
34-64211
April 6, 2011
SR-BATS-2011-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Federal Register version (76 FR 20414)
34-64214
April 6, 2011
SR-BYX-2011-007
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility Comments Due: Federal Register version (76 FR 20430)
34-64204
April 6, 2011
SR-EDGA-2011-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.14 To Extend the Operation of the Single Stock Circuit Breaker Pilot Program Comments Due: Federal Register version (76 FR 20394)
34-64208
April 6, 2011
SR-NSX-2011-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NSX Fee and Rebate Schedule and NSX Rule 16.4 Comments Due: Exhibit 5 Federal Register version (76 FR 20412)
34-64213
April 6, 2011
SR-NSX-2011-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend a Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility Comments Due: Federal Register version (76 FR 20409)
34-64206
April 6, 2011
SR-NYSEAmex-2011-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 80C, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, To Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or the Date on Which a Limit Up/Limit Down Mechanism To Address Extraordinary Market Volatility, If Adopted, Applies Comments Due: Federal Register version (76 FR 20418)
34-64203
April 6, 2011
SR-CHX-2011-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to Individual Securities Circuit Breakers Comments Due: Federal Register version (76 FR 20393)
34-64209
April 6, 2011
SR-NYSEArca-2011-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, To Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or the Date on Which a Limit Up/Limit Down Mechanism To Address Extraordinary Market Volatility, if Adopted, Applies Comments Due: Federal Register version (76 FR 20422)
34-64216
April 6, 2011
SR-NYSEArca-2011-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying Credits for Posting Liquidity for Certain Transactions and Imposing Routing Fees To Defray the Costs of Routing Orders to Away Markets Comments Due: Exhibit 5 Federal Register version (76 FR 20396)
34-64198
April 6, 2011
SR-BX-2011-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend the Fee Schedule of the Boston Options Exchange Facility Comments Due: View Received Comments Exhibit 5 Federal Register version (76 FR 20426)
34-64210
April 6, 2011
SR-NASDAQ-2011-046
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees in Penny Pilot and Non-Penny Pilot Options Comments Due: View Received Comments Federal Register version (76 FR 20420)
34-64215
April 6, 2011
SR-NASDAQ-2011-045
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rule 3011 To Reflect Changes to a Corresponding Financial Industry Regulatory Authority, Inc. Rule Comments Due: Federal Register version (76 FR 20407)
34-64202
April 6, 2011
SR-ISE-2011-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options Comments Due: Exhibit 5 Federal Register version (76 FR 20431)
34-64197
April 6, 2011
SR-CBOE-2011-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Waiver of Transaction Fee for Public Customer Orders in SPY Options Executed in Open Outcry or in the Automated Improvement Mechanism Comments Due: Text of Proposed Rule Change Federal Register version (76 FR 20390)
34-64199
April 6, 2011
SR-CBOE-2011-035
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CBSX Maker and Taker Transaction Fees and Rebates for Transactions in Securities Priced $1 or Greater Comments Due: Federal Register version (76 FR 20392)
34-64200
April 6, 2011
SR-CBOE-2011-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to CBSX Rule 52.6 Comments Due: Federal Register version (76 FR 20406)
34-64212
April 6, 2011
SR-CBOE-2011-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to CBOE's Marketing Fee Program Comments Due: Federal Register version (76 FR 20411)
34-64217
April 6, 2011
SR-CBOE-2011-030
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PAR Official Fees Comments Due: Federal Register version (76 FR 20793)
34-64186
April 5, 2011
SR-EDGX-2011-07
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Adopt Rule 3.22 (Proxy Voting), in Accordance With the Provisions of Section 957 of the Dodd-Frank Wall Street Reform and Consumer Protection Act Comments Due: Exhibit 5 Federal Register version (76 FR 20058)
34-64187
April 5, 2011
SR-EDGA-2011-08
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Adopt Rule 3.22 (Proxy Voting), in Accordance With the Provisions of Section 957 of the Dodd-Frank Wall Street Reform and Consumer Protection Act Comments Due: Exhibit 5 Federal Register version (76 FR 20067)
34-64195
April 5, 2011
SR-NYSEAmex-2011-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange Price List Comments Due: Exhibit 5 Federal Register version (76 FR 20428)
34-64188
April 5, 2011
SR-NASDAQ-2011-044
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 20054)
34-64193
April 5, 2011
SR-ISE-2011-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102 To Extend the Pilot Program Comments Due: Federal Register version (76 FR 20062)
34-64192
April 5, 2011
SR-FINRA-2011-015
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of the Trading Pause Pilot Comments Due: Federal Register version (76 FR 20065)
34-64194
April 5, 2011
SR-CBOE-2011-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Extension of the CBSX Individual Stock Trading Pause Pilot Program Comments Due: Federal Register version (76 FR 20389)
34-64173
April 4, 2011
SR-CHX-2011-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter the Fee Schedule To Repeal the Trade Processing Fee Credit Paid to Institutional Brokers Comments Due: Federal Register version (76 FR 19818)
34-64175
April 4, 2011
SR-Phlx-2011-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products That Experience a Price Change of 10% or More During a Five-Minute Period Comments Due: Federal Register version (76 FR 19823)
34-64176
April 4, 2011
SR-BX-2011-018
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products That Experience a Price Change of 10% or More During a Five-Minute Period Comments Due: Federal Register version (76 FR 19821)
34-64174
April 4, 2011
SR-NASDAQ-2011-042
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products That Experience a Price Change of 10% or More During a Five-Minute Period Comments Due: Federal Register version (76 FR 19819)
34-64165
April 1, 2011
SR-Phlx-2011-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to QQQQ Comments Due: Exhibit 5 Federal Register version (76 FR 19511)
34-64167
April 1, 2011
SR-OCC-2011-03
Notice of Filing of Proposed Rule Change to Allow for an Expansion of OCC's Internal Cross-Margining Program to Include the Ability of a Pair of Affiliated Clearing Members to Establish an Internal Non-Proprietary Cross-Margining Account Comments Due: View Received Comments Rel. No. 34-64712 , Rel. No. 34-64712 Federal Register version (76 FR 19512)
34-64166
April 1, 2011
SR-FINRA-2010-035
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Discovery Guide and Rules 12506 and 12508 of the Code of Arbitration Procedure for Customer Disputes Comments Due: View Received Comments Rel. No. 34-62584 Federal Register version (76 FR 19155)
34-64158
March 31, 2011
SR-NSX-2011-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enable the Use of a Replace Message To Modify the Display Quantity of a Reserve Order, and Certain Other Conforming Changes to Exchange Rules Comments Due: View Received Comments Exhibit 5 Federal Register version (76 FR 19171)
34-64163
March 31, 2011
SR-NYSEAmex-2011-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Expand the $2.50 Strike Price Program Comments Due: Exhibit 5 Federal Register version (76 FR 19160)
34-64162
March 31, 2011
SR-NYSEArca-2011-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Expand the $2.50 Strike Price Program Comments Due: Exhibit 5 Federal Register version (76 FR 19165)
34-64161
March 31, 2011
SR-BX-2011-017
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Rules To Expand the $2.50 Strike Price Program Comments Due: Exhibit 5 Federal Register version (76 FR 19162)
34-64160
March 31, 2011
SR-NASDAQ-2011-041
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ Stock Market, LLC To Expand the $2.50 Strike Price Program Comments Due: Exhibit 5 Federal Register version (76 FR 19167)
34-64159
March 31, 2011
SR-CBOE-2011-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the $2.50 Strike Price Program Comments Due: Federal Register version (76 FR 19169)
34-64152
March 30, 2011
SR-CFE-2011-001
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules Relating to Listing and Trading Security Futures Comments Due: Exhibit 4 Federal Register version (76 FR 18816)
34-64153
March 30, 2011
SR-CFE-2011-002
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Listing and Trading CBOE Gold ETF Volatility Index Security Futures Comments Due: Exhibit 4 Federal Register version (76 FR 22939)
34-64150
March 30, 2011
SR-Phlx-2011-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ETNs Comments Due: Exhibit 5 Federal Register version (76 FR 18813)
34-64151
March 30, 2011
SR-Phlx-2011-40
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 18814)
34-64144
March 29, 2011
SR-NYSEAmex-2011-18
Notice of Filing of 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 Exhibit 5A , Exhibit 5B , Rel. No. 34-64742 , Rel. No. 34-64511 Federal Register version (76 FR 18591)
34-64141
March 29, 2011
SR-Phlx-2011-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Inactive Nominees and Dividend and Merger Strategy Definitions Comments Due: Exhibit 5 Federal Register version (76 FR 18587)
34-64143
March 29, 2011
SR-NASDAQ-2011-037
Notice of Filing of Proposed Rule Change to Modify Chapter VI, Section 8 of the Exchange's Rules Comments Due: Rel. No. 34-64463 Federal Register version (76 FR 18589)
34-64132
March 28, 2011
SR-BATS-2011-009
Notice of Proposed Rule Change, as Modified by Amendment No. 1, To Create a Directed Order Program on a 6-Month Pilot Basis Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-64781 Federal Register version (76 FR 18280)
34-64130
March 28, 2011
SR-NYSEAmex-2011-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Rule 346-NYSE Amex Equities and Adopting New Rule 3270-NYSE Amex Equities To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (76 FR 18283)
34-64133
March 28, 2011
SR-NYSEAmex-2011-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 440B To Modify the Exchange's Procedures for Handling Short Sale Orders During a Period When the Short Sale Price Test Restrictions of Rule 201 of Regulation SHO Are in Effect Comments Due: Federal Register version (76 FR 18276)
34-64137
March 28, 2011
SR-Phlx-2011-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Complex Order Fees Comments Due: Federal Register version (76 FR 18274)
34-64131
March 28, 2011
SR-NYSE-2011-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 346 and Adopting New Rule 3270 To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (76 FR 18285)
34-64136
March 28, 2011
SR-NYSE-2011-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 440B to Modify the Exchange's Procedures for Handling Short Sale Orders During a Period When the Short Sale Price Test Restrictions of Rule 201 of Regulation SHO are In Effect Comments Due: Federal Register version (76 FR 18278)
34-64121
March 24, 2011
SR-CHX-2011-01
Notice of Filing and Order Granting Accelerated Approval of a Proposed Change to Rules Regarding Proxy Voting by Participants Comments Due: Federal Register version (76 FR 17728)
34-64122
March 24, 2011
SR-Phlx-2011-03
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Amendment to Rule 862 Relating to Discretionary Proxy Voting on Executive Compensation Matters Comments Due: Federal Register version (76 FR 17730)
34-64120
March 24, 2011
SR-BX-2011-015
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XI of the BOX Trading Rules To Harmonize Them With Rules of the Financial Industry Regulatory Authority, Inc. and Other Options Exchanges Comments Due: Federal Register version (76 FR 17733)
34-64113
March 23, 2011
SR-Phlx-2011-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Equity Options Monthly Cap Comments Due: Exhibit 5 Federal Register version (76 FR 17468)
34-64111
March 23, 2011
SR-NYSEArca-2011-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules To Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options Comments Due: Federal Register version (76 FR 17176)
34-64112
March 23, 2011
SR-ISE-2011-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Qualified Contingent Cross Orders Comments Due: Federal Register version (76 FR 17462)
34-64110
March 23, 2011
SR-CBOE-2011-024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Pilot Programs Relating to FLEX Exercise Settlement Values and Minimum Value Sizes Comments Due: Federal Register version (76 FR 17463)
34-64107
March 22, 2011
SR-NYSEAmex-2011-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options Comments Due: Federal Register version (76 FR 17178)
34-64108
March 22, 2011
SR-Phlx-2011-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Extend the FLEX No Minimum Value Pilot Program Comments Due: Federal Register version (76 FR 17174)
34-64105
March 22, 2011
SR-BX-2011-016
Notice of Filing and Immediate Effectiveness Relating to Changing the Starting Time Comments Due: Federal Register version (76 FR 16844)
34-64095
March 18, 2011
SR-EDGX-2011-06
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by EDGX Exchange, Inc. To Delete the Description of and All References to Step-Up Orders in EDGX Rules Comments Due: Exhibit 5 Federal Register version (76 FR 16466)
34-64094
March 18, 2011
SR-EDGA-2011-07
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by EDGA Exchange, Inc. To Delete the Description of and All References to Step-Up Orders in EDGA Rules Comments Due: Exhibit 5 Federal Register version (76 FR 16468)
34-64096
March 18, 2011
SR-Phlx-2011-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options Comments Due: Exhibit 5 Federal Register version (76 FR 16646)
34-64085
March 17, 2011
SR-NYSEAmex-2011-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rules Related to Qualified Contingent Cross Orders Comments Due: Federal Register version (76 FR 16024)
34-64089
March 17, 2011
SR-NYSEAmex-2011-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 36 To Permit Written Communications To Be Sent Electronically Between the Designated Market Maker Unit's Post Location on The Floor and the DMM Unit's Off-Floor Offices and to Persons Permitted To Provide Non-Trading Related Services to the DMM Under NYSE Amex Equities Rule 98 Comments Due: Exhibit 5 Federal Register version (76 FR 16026)
34-64086
March 17, 2011
SR-NYSEArca-2011-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rules Related to Qualified Contingent Cross Orders Comments Due: Federal Register version (76 FR 16021)
34-64088
March 17, 2011
SR-NYSE-2011-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 36 To Permit Written Communications To Be Sent Electronically Between the Designated Market Maker Unit's Post Location on the Floor and the DMM Unit's Off-Floor Offices and to Persons Permitted To Provide Non-Trading Related Services to the DMM Under Rule 98 Comments Due: Exhibit 5 Federal Register version (76 FR 16019)
34-64084
March 16, 2011
SR-FINRA-2011-012
Notice of Filing of Proposed Rule Change Relating to TRACE Reporting of Asset-Backed Securities Comments Due: Exhibit 5 , Rel. No. 34-64364 , Rel. No. 34-64283 Federal Register version (76 FR 15352)
34-64080
March 14, 2011
SR-FINRA-2011-013
Notice of Filing of Proposed Rule Change To Establish 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. 34-64687 Federal Register version (76 FR 15012)
34-64075
March 11, 2011
SR-Phlx-2011-28
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC To Expand the Number of Components in the PHLX Oil Service SectorSM Comments Due: Rel. No. 34-64282 , Release No. 34-64478 Federal Register version (76 FR 14702)
34-64071
March 11, 2011
SR-NASDAQ-2010-074
Notice of Filing of Amendment No. 3 to a Proposed Rule Change and Order Granting Accelerated Approval to the Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To Adopt Rule 4753(c) as a Six-Month Pilot in 100 NASDAQ-Listed Securities Comments Due: View Received Comments Rel. No. 34-63685 , Rel. No. 34-63098 , Rel. No. 34-62740 , Rel. No. 34-62468 Federal Register version (76 FR 14699)
34-64070
March 11, 2011
SR-CBOE-2011-022
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to PAR Official Fees Comments Due: Federal Register version (76 FR 15025)
34-64065
March 9, 2011
SR-NSCC-2011-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Modification of Trade Recording Fee for Bonds and Other Technical Rule Changes Comments Due: Federal Register version (76 FR 14113)
34-64055
March 8, 2011
SR-BYX-2011-005
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 13681)
34-64056
March 8, 2011
SR-Phlx-2011-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations Comments Due: Federal Register version (76 FR 13678)
34-64061
March 8, 2011
SR-Phlx-2011-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Co-Location Services Comments Due: Exhibit 5 Federal Register version (76 FR 13684)
34-64059
March 8, 2011
SR-BX-2011-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Co-Location Services Comments Due: Exhibit 5 Federal Register version (76 FR 13676)
34-64050
March 8, 2011
SR-NASDAQ-2011-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance the Investor Support Program Comments Due: Exhibit 5 Federal Register version (76 FR 13694)
34-64054
March 8, 2011
SR-NASDAQ-2011-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Options Market Rules Chapter VII, Various Sections, Dealing With Market Maker Obligations Comments Due: Federal Register version (76 FR 14111)
34-64060
March 8, 2011
SR-NASDAQ-2011-035
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Co-Location Services Comments Due: Exhibit 5 Federal Register version (76 FR 13686)
