34-63412
Dec. 2, 2010
SR-Phlx-2010-164
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Exhibit 5 Federal Register version (75 FR 76500)
34-63417
Dec. 2, 2010
SR-NSCC-2010-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue the Cost Basis Reporting Service Comments Due: Federal Register version (75 FR 76512)
34-63416
Dec. 2, 2010
SR-BX-2010-083
Notice of Filing of Proposed Rule Change Relating to The Price Improvement Period To Permit an Initiating Participant To Designate a PIP Surrender Quantity Comments Due: Exhibit 5 , Rel. No. 34-63731 Federal Register version (75 FR 76503)
34-63414
Dec. 2, 2010
SR-NASDAQ-2010-153
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC To Clarify the Exclusion of Partial Trading Days From Certain Calculations Within the Investor Support Program Comments Due: Federal Register version (75 FR 76505)
34-63419
Dec. 2, 2010
SR-NASDAQ-2010-149
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees Comments Due: Federal Register version (75 FR 76513)
34-63415
Dec. 2, 2010
SR-DTC-2010-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Extending the End-of-Day Cutoff Time for Processing to The Federal Reserve and To Reflect Other Changes Requested by the Federal Reserve Comments Due: Federal Register version (75 FR 76506)
34-63403
Dec. 1, 2010
SR-BATS-2010-034
Notice of Filing of a Proposed Rule Change To Create a Directed Order Program Comments Due: View Received Comments Federal Register version (75 FR 76059)
34-63405
Dec. 1, 2010
SR-NSX-2010-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Effectuate an Amendment to Bylaws of NSX Holdings, Inc. Comments Due: Federal Register version (75 FR 76502)
34-63402
Dec. 1, 2010
SR-Phlx-2010-168
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols Comments Due: Exhibit 5 Federal Register version (75 FR 76065)
34-63406
Dec. 1, 2010
SR-Phlx-2010-165
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Transaction Billing and Other Clarifying Amendments Comments Due: Exhibit 5 Federal Register version (75 FR 76511)
34-63404
Dec. 1, 2010
SR-NSCC-2010-16
Notice of Filing of Proposed Rule Change To Amend Procedure II of the NSCC Rules & Procedures To Modify the Money Tolerance Comparison Provisions for Fixed Income Securities Comments Due: Rel. No. 34-63722 Federal Register version (75 FR 76515)
34-63393
Nov. 30, 2010
SR-NYSEAmex-2010-107
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Option Trading Rules in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 2011 Comments Due: Federal Register version (75 FR 75715)
34-63395
Nov. 30, 2010
SR-Phlx-2010-167
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement, on a Semi-Annual Basis, of Penny Pilot Issues that Have Been Delisted Comments Due: Federal Register version (75 FR 76062)
34-63398
Nov. 30, 2010
SR-NYSEArca-2010-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Calculation of Net Asset Value for the iShares Gold Trust Comments Due: Federal Register version (75 FR 76056)
34-63400
Nov. 30, 2010
SR-OPRA-2010-04
Notice of Filing and Immediate Effectiveness of Proposed Amendment To Revise Section 4.04 of the Data Recipient Interface Specification and Section 4.15 of the Participant Interface Specification and Make Conforming Chan Comments Due: View Received Comments Federal Register version (75 FR 76058)
34-63397
Nov. 30, 2010
SR-BX-2010-084
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 To Extend, Through December 31, 2011, the Pilot Program That Permits Certain Classes To Be Quoted in Penny Increments on BOX Comments Due: Federal Register version (75 FR 75716)
34-63396
Nov. 30, 2010
SR-NASDAQ-2010-150
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement, on a Semi-Annual Basis, of Penny Pilot Issues That Have Been Delisted Comments Due: Federal Register version (75 FR 76064)
34-63391
Nov. 30, 2010
SR-FINRA-2010-063
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend to July 16, 2011, the Pilot Period for FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) Comments Due: Federal Register version (75 FR 75718)
34-63385
Nov. 29, 2010
SR-BATS-2010-035
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program Comments Due: Federal Register version (75 FR 75526)
34-63381
Nov. 29, 2010
SR-NYSEAMEX-2010-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 5190 To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (75 FR 75524)
34-63382
Nov. 29, 2010
SR-NYSE-2010-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 5190 To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (75 FR 75530)
34-63383
Nov. 29, 2010
SR-FINRA-2010-062
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Proposed Implementation Period for the Rule Changes Approved in SR-FINRA-2010-042 (Verification of Assets) Comments Due: Federal Register version (75 FR 75529)
34-63386
Nov. 29, 2010
SR-CBOE-2010-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Penny Pilot Program Comments Due: Federal Register version (75 FR 75713)
34-63372
Nov. 24, 2010
SR-Phlx-2010-162
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Price Improvement (PIXL) Fees Comments Due: View Received Comments Exhibit 5 Federal Register version (75 FR 74757)
34-63376
Nov. 24, 2010
SR-NYSEArca-2010-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 2011 Comments Due: Federal Register version (75 FR 75527)
34-63373
Nov. 24, 2010
SR-FINRA-2010-057
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit a One-Time Waiver of Late Fees Assessable Pursuant to FINRA Rule 6490 Comments Due: View Received Comments Federal Register version (75 FR 74766)
34-63375
Nov. 24, 2010
SR-FINRA-2010-061
Notice of Filing of Proposed Rule Change To Adopt Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-63999 Federal Register version (75 FR 74759)
34-63366
Nov. 23, 2010
SR-NYSEAmex-2010-103
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex LLC Company Guide To Adopt Additional Criteria for Listing Special Purpose Acquisition Companies (SPACs) That Have Indicated That Their Business Plan Is To Engage in a Merger or Acquisition With an Unidentified Company or Companies Comments Due: Federal Register version (75 FR 74119)
34-63367
Nov. 23, 2010
SR-Phlx-2010-163
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Obvious Errors Respecting Complex Trades Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-63692 Federal Register version (75 FR 74755)
34-63368
Nov. 23, 2010
SR-NSCC-2010-15
Notice of Filing of Proposed Rule Change Relating to Establishing an Automated Service for the Processing of Transfers, Replacements, and Exchanges of Insurance and Retirement Products Comments Due: Rel. No. 34-64196 Federal Register version (75 FR 74117)
34-63364
Nov. 23, 2010
SR-BX-2010-078
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for Boston Options Exchange To Receive Inbound Routes of Orders From Nasdaq Options Services Comments Due: Federal Register version (75 FR 74121)
34-63361
Nov. 23, 2010
SR-FICC-2010-09
Notice of Filing of a Proposed Rule Change To Introduce Cross-Margining of Certain Positions Cleared at the Fixed Income Clearing Corporation and Certain Positions Cleared at New York Portfolio Clearing, LLC Comments Due: View Received Comments Rel. No. 34-63986 Federal Register version (75 FR 74110)
34-63359
Nov. 22, 2010
SR-BATS-2010-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Modify the Minor Rule Violation Plan for BATS Options Comments Due: Exhibit 5 Federal Register version (75 FR 73153)
34-63357
Nov. 22, 2010
SR-ISE-2010-110
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program for Directed Orders Comments Due: Federal Register version (75 FR 73144)
34-63350
Nov. 19, 2010
SR-Phlx-2010-156
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 (75 FR 73150)
34-63351
Nov. 19, 2010
SR-Phlx-2010-154
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for the PHOTO Historical Data Product Comments Due: View Received Comments Federal Register version (75 FR 73140)
34-63349
Nov. 19, 2010
SR-NYSEArca-2010-103
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Jefferies S&P 500 VIX Short-Term Futures ETF Comments Due: Rel. No. 34-63635 , 34-63737 Federal Register version (75 FR 73145)
34-63336
Nov. 18, 2010
SR-EDGX-2010-17
Notice of Filing of Proposed Rule Change To Amend EDGX Rules 11.9(b)(1)(C) and 11.5(c)(7) Regarding Step-Up Orders Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-63930 , Rel. No. 34-63574 Federal Register version (75 FR 71781)
34-63342
Nov. 18, 2010
SR-BYX-2010-001
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, to Amend BYX Rule 11.8, Entitled "Obligations of Market Makers" Comments Due: Rel. No. 34-63068
34-63335
Nov. 18, 2010
SR-EDGA-2010-18
Notice of Filing of Proposed Rule Change To Amend EDGA Rules 11.9(b)(1)(C) and 11.5(c)(7) Regarding Step-Up Orders Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-63572 , Rel. No. 34-63929 Federal Register version (75 FR 71783)
34-63337
Nov. 18, 2010
SR-NYSEAmex-2010-104
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Delta Hedging Exemption Available for Equity Options Position Limits and Adopting a Delta Hedging Exemption From Certain Index Options Position Limits Comments Due: Exhibit 5 Federal Register version (75 FR 71777)
34-63339
Nov. 18, 2010
SR-Phlx-2010-158
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a $5 Strike Price Program Comments Due: Exhibit 5 Federal Register version (75 FR 71771)
34-63338
Nov. 18, 2010
SR-NYSEArca-2010-99
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Delta Hedging Exemption Available for Equity Options Position Limits and Adopting a Delta Hedging Exemption From Certain Index Options Position Limits Comments Due: Exhibit 5 Federal Register version (75 FR 71773)
34-63341
Nov. 18, 2010
SR-NASDAQ-2010-147
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Two Aspects of the Rules and Operation of The NASDAQ Options Market Comments Due: Federal Register version (75 FR 72855)
34-63334
Nov. 17, 2010
SR-Phlx-2010-159
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange-Traded Notes Comments Due: Exhibit 5 Federal Register version (75 FR 71765)
34-63332
Nov. 17, 2010
SR-NASDAQ-2010-146
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules Comments Due: Federal Register version (75 FR 71770)
34-63333
Nov. 17, 2010
SR-NASDAQ-2010-148
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange-Traded Notes Comments Due: Exhibit 5 Federal Register version (75 FR 71762)
34-63324
Nov. 17, 2010
SR-ISE-2010-103
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Data Fees Comments Due: Exhibit 5 Federal Register version (75 FR 71475)
34-63325
Nov. 17, 2010
SR-FINRA-2010-039
Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-62718A , Rel. No. 34-62718 Federal Register version (75 FR 71479)
34-63331
Nov. 17, 2010
SR-FINRA-2010-059
Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-63961 Federal Register version (75 FR 72850)
34-63322
Nov. 16, 2010
SR-BATS-2010-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a $0.50 Strike Program Comments Due: Exhibit 5 Federal Register version (75 FR 71168)
34-63318
Nov. 16, 2010
SR-Phlx-2010-148
Notice of Filing of Proposed Rule Change Relating to Certain Membership Rules Comments Due: Exhibit 5 Federal Register version (75 FR 71155)
34-63317
Nov. 16, 2010
SR-NYSEArca-2010-101
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the ProShares VIX Short-Term Futures ETF and the ProShares VIX Mid-Term Futures ETF Comments Due: Rel. No. 34-63610 Federal Register version (75 FR 71158)
34-63321
Nov. 16, 2010
SR-BX-2010-077
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Pilot Program to List Series With Additional Expiration Months for Each Class of Options Opened for Trading on BOX Comments Due: Federal Register version (75 FR 71163)
34-63319
Nov. 16, 2010
SR-FINRA-2010-060
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules Comments Due: Federal Register version (75 FR 71164)
34-63320
Nov. 16, 2010
SR-DTC-2010-15
Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Requirement To Maintain a Balance Certificate in the Fast Automated Securities Transfer Program Comments Due: View Received Comments Rel. No. 34-64191 Federal Register version (75 FR 71473)
34-63316
Nov. 15, 2010
SR-FINRA-2010-056
Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and To Amend the FINRA Rule 9520 Series (Eligibility Proceedings) Comments Due: View Received Comments Federal Register version (75 FR 71166)
34-63307
Nov. 12, 2010
SR-MSRB-2010-13
Notice of Filing and Immediate Effectiveness of Amendments to Rule A-7, on Assessments, and Rule A-8, on Rulemaking Procedures Comments Due: View Received Comments Federal Register version (75 FR 70329)
34-63308
Nov. 12, 2010
SR-MSRB-2010-15
Notice of Filing and Immediate Effectiveness of Rule D-13, on a Definition of "Municipal Advisory Activities", Rule D-14, on a Definition of "Appropriate Regulatory Agency", and Amendments to Rule D-11 ("Associated Persons"), Rule G-40 on Electronic Mail Contacts, and Form G-40, on Electronic Mail Contacts Comments Due: View Received Comments Federal Register version (75 FR 70335)
34-63309
Nov. 12, 2010
SR-MSRB-2010-16
Notice of Filing of Amendments to Rule G-5, on Disciplinary Actions by Appropriate Regulatory Agencies, Remedial Notices by Registered Securities Associations; and Rule G-17, on Conduct of Municipal Securities Activities Comments Due: View Received Comments Rel. No. 34-63599 Federal Register version (75 FR 70756)
34-63310
Nov. 12, 2010
SR-MSRB-2010-12
Notice of Filing and Immediate Effectiveness of Revisions to the Study Outline and Selection Specifications for the Municipal Securities Representative Qualification Examination (Series 52) Program Comments Due: Federal Register version (75 FR 70760)
34-63313
Nov. 12, 2010
SR-MSRB-2010-14
Notice of Filing and Immediate Effectiveness of Amendments to Rule A-12, on Initial Fee, and Rule A-14, on Annual Fee Comments Due: View Received Comments Federal Register version (75 FR 70759)
34-63300
Nov. 10, 2010
SR-BATS-2010-031
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 70326)
34-63299
Nov. 10, 2010
SR-BYX-2010-005
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (75 FR 70325)
34-63305
Nov. 10, 2010
SR-Phlx-2010-153
Notice of Filing of Proposed Rule Change To Update and Streamline the Process for Specialist Evaluations and Clarify the Time Within Which SQTs and RSQTs Begin To Electronically Quote After Assignment Comments Due: Rel. No. 34-63627 Federal Register version (75 FR 70331)
34-63304
Nov. 10, 2010
SR-ISE-2010-108
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the $0.50 Strike Program Comments Due: Exhibit 5 Federal Register version (75 FR 70337)
34-63301
Nov. 10, 2010
SR-FICC-2010-08
Notice of Filing of Proposed Rule Change To Eliminate Certain Cash Adjustments Currently Processed by the MBSD Comments Due: Rel. No. 34-63611 Federal Register version (75 FR 70328)
34-63284
Nov. 9, 2010
SR-EDGX-2010-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rules 2.5 and 11.4 To Permit Qualification and Registration of Authorized Traders of Members Pursuant to Certain Foreign Examination Modules Equivalent to the Series 7 Examination Comments Due: Exhibit 5 Federal Register version (75 FR 70052)
34-63286
Nov. 9, 2010
SR-EDGA-2010-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rules 2.5 and 11.4 To Permit Qualification and Registration of Authorized Traders of Members Pursuant to Certain Foreign Examination Modules Equivalent to the Series 7 Examination Comments Due: Exhibit 5 Federal Register version (75 FR 70057)
34-63287
Nov. 9, 2010
SR-NYSEAmex-2010-105
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Making a Technical Amendment to Its Rules to Insert the Specific Date for the Additional Expiration Months Pilot Program Comments Due: Exhibit 5 Federal Register version (75 FR 70056)
34-63288
Nov. 9, 2010
SR-NYSEArca-2010-102
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Making a Technical Amendment to Its Rules To Insert the Specific Date for the Additional Expiration Months Pilot Program Comments Due: Exhibit 5 Federal Register version (75 FR 70054)
34-63291
Nov. 9, 2010
SR-NYSEArca-2010-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Relating to Fees for NYSE Arca Depth-of-Book Data Comments Due: View Received Comments Exhibit 3B , Exhibit 3C , Exhibit 3D , Exhibit 3E , Exhibit 5 Federal Register version (75 FR 70311)
34-63292
Nov. 9, 2010
SR-NYSEArca-2010-98
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the WisdomTree Managed Futures Strategy Fund Comments Due: Rel. No. 34-63598 Federal Register version (75 FR 70319)
34-63285
Nov. 9, 2010
SR-BX-2010-074
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for the NASDAQ OMX BX Equities System Comments Due: Federal Register version (75 FR 70310)
34-63283
Nov. 9, 2010
SR-ISE-2010-106
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity Comments Due: Federal Register version (75 FR 70059)
34-63268
Nov. 8, 2010
SR-SCCP-2010-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Suspension of Certain Provisions Due to Inactivity Comments Due: Federal Register version (75 FR 69730)
34-63274
Nov. 8, 2010
SR-NYSEAmex-2010-101
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule To Reflect Fees Charged for Co-location Services Comments Due: Exhibit 5 Federal Register version (75 FR 69722)
34-63267
Nov. 8, 2010
SR-NYSEArca-2010-95
Notice of Filing of Proposed Rule Change To List and Trade Shares of the ETFS Asian Gold Trust Comments Due: Rel. No. 34-63464 Federal Register version (75 FR 69494)
34-63272
Nov. 8, 2010
SR-NYSEArca-2010-96
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Arca Equities Rule 7.31(f) To Modify the Functionality of Tracking Orders Comments Due: Exhibit 5 Federal Register version (75 FR 69729)
34-63275
Nov. 8, 2010
SR-NYSEArca-2010-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Applicable Sections of Its Schedules of Fees and Charges for Exchange Services for Both Its Equities and Options Platforms (the "Schedules") To Reflect Fees Charged for Co-location Services Comments Due: Exhibit 5 Federal Register version (75 FR 70048)
34-63273
Nov. 8, 2010
SR-OPRA-2010-03
Notice of Filing and Immediate Effectiveness of Proposed Amendment To Revise the Device-Based Professional Subscriber Fees Charged by OPRA for its Basic Service Comments Due: Federal Register version (75 FR 69477)
34-63270
Nov. 8, 2010
SR-NASDAQ-2010-141
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add New Rule 7014 To Enable NASDAQ Members To Qualify for a Monthly Fee Credit Comments Due: Exhibit 5 Federal Register version (75 FR 69489)
34-63276
Nov. 8, 2010
SR-NASDAQ-2010-138
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Program for Managed Data Solutions Comments Due: Federal Register version (75 FR 69717)
34-63271
Nov. 8, 2010
SR-ISE-2010-107
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Options on Leveraged Exchange-Traded Notes and To Broaden the Definition of "Futures-Linked Securities" Comments Due: Federal Register version (75 FR 69726)
34-63277
Nov. 8, 2010
SR-FINRA-2010-058
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Effective Date of the Changes to the FINRA Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-043 Comments Due: Federal Register version (75 FR 69725)
34-63251
Nov. 5, 2010
SR-NSX-2010-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NSX Fee and Rebate Schedule Comments Due: Exhibit 5 Federal Register version (75 FR 69507)
34-63252
Nov. 5, 2010
SR-Phlx-2010-150
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Fee Schedule Comments Due: Exhibit 5 Federal Register version (75 FR 69486)
34-63257
Nov. 5, 2010
SR-Phlx-2010-155
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Assessed for Use of the Testing Facility Comments Due: Exhibit 5 Federal Register version (75 FR 69493)
34-63259
Nov. 5, 2010
SR-BX-2010-075
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Assessed for Use of the Testing Facility Comments Due: Federal Register version (75 FR 69492)
34-63253
Nov. 5, 2010
SR-NASDAQ-2010-144
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating To Access Service Fees Comments Due: Federal Register version (75 FR 69505)
34-63258
Nov. 5, 2010
SR-NASDAQ-2010-145
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Assessed for Use of the Testing Facility Comments Due: Federal Register version (75 FR 69502)
34-63250
Nov. 5, 2010
SR-FINRA-2010-053
Notice of Filing of Proposed Rule Change Relating to Amendments to the Panel Composition Rule, and Related Rules, of the Code of Arbitration Procedure for Customer Disputes Comments Due: View Received Comments Amendment No. 1 , Rel. No. 34-63799 Federal Register version (75 FR 69481)
34-63256
Nov. 5, 2010
SR-FINRA-2010-055
Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6140 (Other Trading Practices) Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-63582 , Rel. No. 34-63885 Federal Register version (75 FR 69503)
34-63260
Nov. 5, 2010
SR-FINRA-2010-034
Notice of Filings of Amendments No. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, To Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-62621 Federal Register version (75 FR 69508)
34-63208A
Nov. 5, 2010
SR-DTC-2010-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a Disincentive Fee Associated With the Deposit Automation Management System Comments Due: Rel. No. 34-63208 Federal Register version (75 FR 69486)
34-63254
Nov. 5, 2010
SR-DTC-2010-14
Notice of Filing of Proposed Rule Change To Amend the Certificate of Organization To Authorize Additional Shares of Preferred Stock and Designate Shares as Series A Preferred Stock Comments Due: Rel. No. 34-63567 Federal Register version (75 FR 69514)
34-63244
Nov. 4, 2010
SR-CBOE-2010-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees Comments Due: Text of Proposed Rule Change Federal Register version (75 FR 69148)
34-63246
Nov. 4, 2010
SR-C2-2010-007
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees Comments Due: Text of Proposed Rule Change Federal Register version (75 FR 69478)
34-63239
Nov. 3, 2010
SR-NASDAQ-2010-137
Notice of Filing of Proposed Rule Change To Amend IM-5101-2 To Provide Acquisition Companies the Option To Hold a Tender Offer in Lieu of a Shareholder Vote on a Proposed Acquisition Comments Due: View Received Comments Release No. 34-63607 Federal Register version (75 FR 68846)
34-63235
Nov. 3, 2010
SR-CBOE-2010-099
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Short Sell Order Handling Comments Due: Federal Register version (75 FR 68842)
