34-62103
May 13, 2010
SR-BX-2010-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the Required Number of Market Makers Appointed in a Particular Class for the Opening of Trading Comments Due: Exhibit 5 Federal Register version (75 FR 28088)
34-62101
May 13, 2010
SR-ISE-2010-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 502(k) Comments Due: Federal Register version (75 FR 28314)
34-62095
May 13, 2010
SR-CBOE-2010-042
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Suspension of Seat Market Comments Due: Federal Register version (75 FR 28086)
34-62084
May 12, 2010
SR-NYSEAmex-2010-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules Extending the Maximum Term of FLEX Index and FLEX Equity Options and To Establish a New Pilot Program Comments Due: Exhibit 5 Federal Register version (75 FR 28091)
34-62085
May 12, 2010
SR-CHX-2010-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fixed Provide Credit for CHX-Registered Institutional Brokers Comments Due: Federal Register version (75 FR 28083)
34-62087
May 12, 2010
SR-CHX-2010-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Decrease the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar Comments Due: Federal Register version (75 FR 28090)
34-62083
May 12, 2010
SR-CBOE-2010-038
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Related to the Hybrid Matching Algorithms Comments Due: Rel. No. 34-62317 Federal Register version (75 FR 27850)
34-62074
May 11, 2010
SR-BATS-2010-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (75 FR 27847)
34-62071
May 11, 2010
SR-NYSEArca-2010-40
Notice of Filing and Immediate Effectiveness of Rule Change Amending Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (75 FR 27609)
34-62082
May 11, 2010
SR-NYSE-2010-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Price List Comments Due: Exhibit 5 Federal Register version (75 FR 27848)
34-62080
May 11, 2010
SR-BX-2010-035
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 (75 FR 28093)
34-62081
May 11, 2010
SR-NASDAQ-2010-058
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 (75 FR 28082)
34-62067
May 10, 2010
SR-NYSEAmex-2010-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index Linked Securities Comments Due: Exhibit 5 Federal Register version (75 FR 27603)
34-62069
May 10, 2010
SR-Phlx-2010-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Option Fees Comments Due: Exhibit 5 Federal Register version (75 FR 27611)
34-62066
May 10, 2010
SR-NYSEArca-2010-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index Linked Securities Comments Due: Exhibit 5 Federal Register version (75 FR 27608)
34-62064
May 10, 2010
SR-FINRA-2010-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements Comments Due: Exhibit 5 Federal Register version (75 FR 27606)
34-62060
May 7, 2010
SR-Phlx-2010-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to One Cent Strike Price Intervals of Foreign Currency Options Comments Due: Federal Register version (75 FR 27605)
34-62052
May 6, 2010
SR-NYSEArca-2010-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. to Clarify, Eliminate, Revise, or Delete Certain Out-Dated or Obsolete Rules Comments Due: Federal Register version (75 FR 26832)
34-62054
May 6, 2010
SR-NYSEArca-2010-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Commentary .02 to Rule 5.32, Terms of FLEX Options, to Establish a Pilot Program To Permit FLEX Options to Trade With no Minimum Size Requirement Comments Due: Exhibit 5 Federal Register version (75 FR 27381)
34-62056
May 6, 2010
SR-NASDAQ-2010-056
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets and Execution Pricing for Certain Options Comments Due: Federal Register version (75 FR 27031)
34-62048
May 6, 2010
SR-ISE-2010-43
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity Comments Due: Exhibit 5 Federal Register version (75 FR 26830)
34-62050
May 6, 2010
SR-ISE-2010-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amending the Direct Edge ECN Fee Schedule Comments Due: Federal Register version (75 FR 27029)
34-62051
May 6, 2010
SR-ISE-2010-38
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Amounts That Direct Edge ECN, in Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members Comments Due: Federal Register version (75 FR 27034)
34-62053
May 6, 2010
SR-ISE-2010-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Waiver for Its PrecISE Terminals Comments Due: Federal Register version (75 FR 27033)
34-62041
May 5, 2010
SR-NYSEAmex-2010-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program Comments Due: Federal Register version (75 FR 26312)
34-62039
May 5, 2010
SR-BX-2010-032
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add 75 Classes to the Penny Pilot Program Comments Due: Federal Register version (75 FR 26313)
34-62043
May 5, 2010
SR-BX-2010-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Exhibit 5 Federal Register version (75 FR 26309)
34-62044
May 5, 2010
SR-NASDAQ-2010-057
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 9552, 9554 and 9559 To Conform NASDAQ's Rules to Recent Changes to the Rules of FINRA Comments Due: Federal Register version (75 FR 26823)
34-62042
May 5, 2010
SR-ISE-2010-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add 75 Options Classes to the Penny Pilot Program Comments Due: Federal Register version (75 FR 26310)
34-62040
May 5, 2010
SR-CBOE-2010-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program Comments Due: Federal Register version (75 FR 26828)
34-62033
May 4, 2010
SR-BATS-2010-009
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Seventy-Five Options Classes to the Penny Pilot Program Comments Due: Federal Register version (75 FR 26301)
34-62028
May 4, 2010
SR-Phlx-2010-65
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Add Seventy-Five Options Classes to the Penny Pilot Program Comments Due: Federal Register version (75 FR 25890)
34-62026
May 4, 2010
SR-NYSEArca-2010-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, by NYSE Arca, Inc. Amending Rule 4, Capital Requirements, Financial Reports, Margins Comments Due: Federal Register version (75 FR 25887)
34-62031
May 4, 2010
SR-NYSEArca-2010-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Adding 75 Options Classes to the Penny Pilot Program Comments Due: Federal Register version (75 FR 26299)
34-62032
May 4, 2010
SR-NYSEArca-2010-31
Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending NYSE Arca Rule 3.3(a) and Section 401(a) of the Exchange's Bylaws to Eliminate the Exchange's Audit Committee, Compensation Committee, and Regulatory Oversight Committee Comments Due: Exhibit 5 , Rel. No. 34-62304 Federal Register version (75 FR 26304)
34-62029
May 4, 2010
SR-NASDAQ-2010-053
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the NASDAQ Stock Market LLC to Add Seventy-Five Options Classes to the Penny Pilot Program Comments Due: Federal Register version (75 FR 25895)
34-62027
May 4, 2010
SR-ISE-2010-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Stopped Orders Comments Due: Federal Register version (75 FR 25897)
34-62034
May 4, 2010
SR-CBOE-2010-035
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CBOE Rules 9.11, 9.18 and 9.21 To Correspond and Harmonize With Rules of the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (75 FR 26303)
34-62023
May 3, 2010
SR-CBOE-2010-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Trade Options on S&P 500 Annual Dividend Index With an Applied Scaling Factor of 1 Comments Due: Federal Register version (75 FR 25899)
34-62010
April 30, 2010
SR-SCCP-2010-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Amendments to the By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Federal Register version (75 FR 25010)
34-62011
April 30, 2010
SR-BSECC-2010-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Amendments to the By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Federal Register version (75 FR 25012)
34-62009
April 30, 2010
SR-Phlx-2010-64
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rebates for Adding and Fees for Removing Liquidity Comments Due: Exhibit 5 Federal Register version (75 FR 25898)
34-62013
April 30, 2010
SR-NYSEArca-2010-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Market Maker Requirements for Certain Covered Products Comments Due: Exhibit 5 Federal Register version (75 FR 25892)
34-62021
April 30, 2010
S7-24-89
Notice of Filing of Amendment No. 21 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc Comments Due: View Received Comments Federal Register version (75 FR 27010)
34-62012
April 30, 2010
SR-ISE-2010-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Federal Register version (75 FR 25306)
34-62003
April 29, 2010
SR-NYSEArca-2010-32
Notice of Filing and Immediate Effectiveness of Rule Change Amending Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (75 FR 25009)
34-62004
April 29, 2010
SR-NYSEArca-2010-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Mid-Point Passive Liquidity Order Comments Due: Exhibit 5 Federal Register version (75 FR 25013)
34-62006
April 29, 2010
SR-NYSEArca-2010-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Make a Technical Adjustment to Its Rules To Allow Sub-Penny Quoting of Certain Securities Comments Due: Exhibit 5 Federal Register version (75 FR 25019)
34-62001
April 29, 2010
SR-BX-2010-027
Notice of Filing of Proposed Rule Change To Establish New Fee for TotalView Service Available to Non-Professionals and To Establish an Optional Non-Display Usage Cap for Internal Distributors of TotalView Comments Due: Rel. No. 34-62258 Federal Register version (75 FR 25014)
34-61996
April 28, 2010
SR-NSX-2010-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule Issued Pursuant to Exchange Rule 16.1(c) With Respect to the Liquidity Adding Rebate for Securities Priced Under One Dollar Comments Due: Federal Register version (75 FR 23829)
34-61997
April 28, 2010
SR-FINRA-2010-017
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow FINRA Members To Use the OTC Reporting Facility To Transfer Transaction Fees Charged by One Member to Another Member Comments Due: Federal Register version (75 FR 25020)
34-61989
April 27, 2010
SR-NYSEAmex-2010-37
Notice of Filing of Proposed Rule Change Amending Commentary to Rule 915 and Rule 916 Comments Due: Exhibit 5 , Rel. No. 34-62250 Federal Register version (75 FR 24769)
34-61994
April 27, 2010
SR-Phlx-2010-58
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Amend the By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Exhibit 5 Federal Register version (75 FR 25022)
34-61990
April 27, 2010
SR-NYSEArca-2010-25
Notice of Filing of Proposed Rule Change Amending the Listing and Trading of ETFS Palladium Trust and ETFS Platinum Trust Comments Due: Exhibit 5 , Rel. No. 34-62250 Federal Register version (75 FR 25005)
34-61993
April 27, 2010
SR-BX-2010-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend the By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Exhibit 5 Federal Register version (75 FR 23827)
34-61991
April 27, 2010
SR-NASDAQ-2010-050
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ Stock Market LLC Relating to the Opening of Trading in the NASDAQ Options Market Comments Due: Exhibit 5 Federal Register version (75 FR 23825)
34-61992
April 27, 2010
SR-NASDAQ-2010-048
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market, LLC To Amend the By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Exhibit 5 Federal Register version (75 FR 23831)
34-61987
April 27, 2010
SR-C2-2010-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Certain Order Routing and Market-Maker Rules Comments Due: Federal Register version (75 FR 24771)
34-61984
April 26, 2010
SR-Phlx-2010-60
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to QNET Sector Index Option Fees Comments Due: Exhibit 5 Federal Register version (75 FR 23313)
34-61981
April 26, 2010
SR-NASDAQ-2010-051
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Intermarket Option Linkage Comments Due: Exhibit 5 Federal Register version (75 FR 22887)
34-61978
April 23, 2010
SR-NYSEAmex-2010-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 903 and Adopting Rule 903A Comments Due: Exhibit 5 Federal Register version (75 FR 22886)
34-61971
April 23, 2010
SR-Phlx-2010-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (75 FR 22882)
34-61977
April 23, 2010
SR-NYSEArca-2010-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.4 and Adopting Rule 6.4A Comments Due: Exhibit 5 Federal Register version (75 FR 22884)
34-61972
April 23, 2010
SR-ISE-2010-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes Comments Due: Exhibit 5 Federal Register version (75 FR 22889)
34-61960
April 22, 2010
SR-BATS-2010-008
Notice of Filing of Proposed Rule Change To Amend BATS Rules 2.5 and 17.2 Applicable to Registration Requirements Comments Due: View Received Comments Attachment A , Rel. No. 34-62524 Federal Register version (75 FR 22668)
34-61961
April 22, 2010
SR-Phlx-2010-61
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity Comments Due: Exhibit 5 Federal Register version (75 FR 22881)
34-61959
April 22, 2010
SR-ISE-2010-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities Comments Due: Federal Register version (75 FR 23833)
34-61953
April 21, 2010
SR-NYSEArca-2010-07
Notice of Withdrawal of Proposed Rule Change Relating to Listing of AdvisorShares WCM/BNY Mellon Focused Growth ADR ETF Comments Due: Rel. No. 34-61642 Federal Register version (75 FR 22169)
34-61954
April 21, 2010
SR-NYSEArca-2010-22
Notice of Filing of Proposed Rule Change Relating to Listing of the Teucrium Corn Fund Comments Due: Rel. No. 34-62213 Federal Register version (75 FR 22663)
34-61952
April 21, 2010
SR-NYSE-2010-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Immediate Release Policy To Remove the Address Contact Information Comments Due: View Received Comments Exhibit 5 Federal Register version (75 FR 22671)
34-61942
April 20, 2010
SR-NYSEArca-2010-26
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (75 FR 21690)
34-61948
April 20, 2010
SR-FINRA-2010-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Period for SR-FINRA-2009-065 Comments Due: Federal Register version (75 FR 22670)
34-61946
April 20, 2010
SR-CBOE-2010-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove a Feature and Revise Outdated Text Regarding Certain Execution Rules Comments Due: Federal Register version (75 FR 22170)
34-61938
April 19, 2010
SR-FINRA-2010-014
Notice of Filing of Proposed Rule Change Relating to FINRA Rule 9554 To Eliminate Explicitly the Inability-To-Pay Defense in the Expedited Proceedings Context Comments Due: View Received Comments Rel. No. 34-62211 Federal Register version (75 FR 21686)
34-61936
April 16, 2010
SR-NYSEAmex-2010-35
Notice of Filing of Proposed Rule Change To Establish the NYSE Amex Trades Service and the NYSE Amex BBO Service and Related Fees Comments Due: Rel. No. 34-62187 Federal Register version (75 FR 21088)
34-61932
April 16, 2010
SR-Phlx-2010-51
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a New Category of Fees for "Professional" Comments Due: Exhibit 5 Federal Register version (75 FR 21375)
34-61933
April 16, 2010
SR-Phlx-2010-56
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 (75 FR 21382)
34-61937
April 16, 2010
SR-NYSEArca-2010-23
Notice of Filing of Proposed Rule Change To Modify NYSE Arca Trades Fees, To Establish the NYSE Arca BBO Service and Related Fees, and To Provide an Alternative Unit-of-Count Methodology for Those Services Comments Due: Rel. No. 34-62188 Federal Register version (75 FR 21378)
34-61929
April 16, 2010
SR-BX-2010-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing the Exchange's Directed Order Process on the Boston Options Exchange Comments Due: Federal Register version (75 FR 21085)
34-61931
April 16, 2010
SR-BX-2010-030
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 (75 FR 21087)
34-61934
April 16, 2010
SR-BX-2010-028
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Rules To Reflect Changes to Corresponding FINRA Rules Comments Due: Federal Register version (75 FR 21083)
34-61926
April 16, 2010
SR-NASDAQ-2010-049
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 (75 FR 21069)
34-61927
April 16, 2010
SR-FINRA-2010-012
Notice of Filing of Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-62476 Federal Register version (75 FR 21064)
34-61935
April 16, 2010
SR-CBOE-2010-036
Notice of Proposed Rule Change To Permit $1 Strikes for Options on Trust Issued Receipts Comments Due: Rel. No. 34-62141 Federal Register version (75 FR 21373)
34-61921
April 15, 2010
SR-NYSEAmex-2010-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 903 Commentary .06 Comments Due: Exhibit 5 Federal Register version (75 FR 21074)
34-61911
April 15, 2010
SR-OCC-2010-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Certain By-Laws and Rules Related to the Stock Loan/Hedge and Market Loan Programs Comments Due: Federal Register version (75 FR 21377)
34-61920
April 15, 2010
SR-NYSEArca-2010-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.4 Commentary .04. Comments Due: Exhibit 5 Federal Register version (75 FR 21092)
34-61913
April 15, 2010
SR-NYSE-2010-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing an Equity Transaction Fee Schedule for Shares Executed on the NYSE MatchPointSM Comments Due: Exhibit 5 Federal Register version (75 FR 21080)
34-61914
April 15, 2010
SR-NYSE-2010-30
Notice of Filing of Proposed Rule Change To Establish the NYSE BBO Service Comments Due: Rel. No. 34-62181 Federal Register version (75 FR 21077)
34-61923
April 15, 2010
SR-NYSE-2010-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend From May 30, 2010 Until June 30, 2010 the Final Date by Which the Exchange Must Terminate Its Affiliation With NYFIX Securities Corporation Comments Due: Federal Register version (75 FR 21071)
34-61922
April 15, 2010
SR-DTC-2010-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance its Existing Processing Relating to End of Day Liquidity Comments Due: Federal Register version (75 FR 21072)
34-61915
April 15, 2010
SR-CBOE-2010-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Strategy Fee Cap Program Comments Due: Federal Register version (75 FR 21076)
34-61919
April 15, 2010
4-566
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Arca, Inc., NYSE Regulation, Inc., NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules Comments Due: Federal Register version (75 FR 21051)
34-61903
April 14, 2010
SR-CHX-2010-07
Notice of Filing of Proposed Rule Change To Amend Certain Incorrect or Inaccurate Cross-References Comments Due: Exhibit 5 Federal Register version (75 FR 21061)
34-61905
April 14, 2010
SR-Phlx-2010-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a New Category of Fees for "Professionals" Comments Due: Exhibit 5 Federal Register version (75 FR 20871)
34-61904
April 14, 2010
SR-NASDAQ-2010-047
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Global Select Market Initial Listing Requirements Comments Due: Federal Register version (75 FR 20651)
34-61907
April 14, 2010
SR-FINRA-2010-016
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 4(c) of Schedule A to the FINRA By-Laws To Add a Reference to the Fees Assessed for the Series 51, 52 and 53 Examinations Comments Due: Federal Register version (75 FR 21063)
34-61894
April 13, 2010
SR-NYSEArca-2010-24
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, Amending Its Fee Schedule Comments Due: Federal Register version (75 FR 20413)
34-61895
April 13, 2010
SR-NYSEArca-2010-28
Notice of Filing of a Proposed Rule Change Amending Its Schedule of Fees Comments Due: Rel. No. 34-62157 Federal Register version (75 FR 20417)
34-61891
April 13, 2010
SR-BX-2010-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Chapter V, Section 7 (Customer Orders and Order Flow Providers) Comments Due: Exhibit 5 Federal Register version (75 FR 20647)
