34-61890
April 12, 2010
SR-NYSEAmex-2010-31
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, To Adopt, as a Pilot Program, a New NYSE Amex Equities Rule Series for the Trading of Securities Listed on the Nasdaq Stock Market Pursuant to a Grant of Unlisted Trading Privileges, and Amending Existing NYSE Amex Equities Rules as Needed To Accommodate the Trading of Nasdaq-Listed Securities on the Exchange Comments Due: Exhibit 5 , Rel. No. 34-62479 Federal Register version (75 FR 20401)
34-61887
April 12, 2010
SR-NASDAQ-2010-041
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes to Certain Notification Requirements Comments Due: Federal Register version (75 FR 20415)
34-61883
April 9, 2010
SR-BATS-2010-007
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 20418)
34-61878
April 8, 2010
SR-Phlx-2010-48
Notice of Filing of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Market Data Fees Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-62194 Federal Register version (75 FR 20023)
34-61872
April 8, 2010
SR-NASDAQ-2010-045
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change To Extend the Last Sale Data Feeds Pilot Program Comments Due: Federal Register version (75 FR 19444)
34-61877
April 8, 2010
SR-DTC-2010-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elective Dividends Service Comments Due: Federal Register version (75 FR 19667)
34-61879
April 8, 2010
SR-CBOE-2010-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Title of CBOE Rule 6.8C Comments Due: Federal Register version (75 FR 20026)
34-61864
April 7, 2010
SR-NYSEAmex-2010-36
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Professional Customers and To Make Certain Other Changes to its Options Fee Schedule Comments Due: Exhibit 5 Federal Register version (75 FR 19443)
34-61862
April 7, 2010
SR-Phlx-2010-43
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Quote Spread Parameters and Batching of Violations Comments Due: Rel. No. 34-62147 Federal Register version (75 FR 20016)
34-61863
April 7, 2010
SR-Phlx-2010-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Fees for Participation in NASDAQ OMX PSX Comments Due: Exhibit 5 Federal Register version (75 FR 20021)
34-61868
April 7, 2010
SR-NYSEArca-2010-21
Notice of Filing and Immediate Effectiveness of Rule Change Amending Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (75 FR 20030)
34-61865
April 7, 2010
SR-ISE-2010-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amending the Direct Edge ECN Fee Schedule Comments Due: Exhibit 5 Federal Register version (75 FR 19451)
34-61866
April 7, 2010
SR-ISE-2010-31
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 19437)
34-61869
April 7, 2010
SR-ISE-2010-25
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 19449)
34-61857
April 7, 2010
SR-CBOE-2010-030
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Note to Rule 4.11 Advising the Delta-Based Equity Hedge Exemption Is Not Currently Available for Customers Comments Due: Federal Register version (75 FR 18931)
34-61859
April 7, 2010
SR-CBOE-2010-018
Notice of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade CBOE Gold ETF Volatility Index Options Comments Due: Exhibit 3 , Rel. No. 34-62139 Federal Register version (75 FR 19439)
34-61850
April 6, 2010
SR-NSX-2010-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Order To Amend the NSX Fee and Rebate Schedule and Rule 16.4 Comments Due: Exhibit 5 Federal Register version (75 FR 18562)
34-61847
April 6, 2010
SR-NYSEAmex-2010-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 70 in Order To Update Functi onality Relating to the Entry of D-Quotes and Peg ging E-Quotes Comments Due: Exhibit 5 Federal Register version (75 FR 18935)
34-61849
April 6, 2010
SR-NYSEAmex-2010-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (75 FR 18556)
34-61848
April 6, 2010
SR-NYSE-2010-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 70 in Order To Update Functionality Relating to the Entry of D-Quotes and Pegging E-Quotes Comments Due: Exhibit 5 Federal Register version (75 FR 18929)
34-61854
April 6, 2010
SR-NASDAQ-2010-044
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center Comments Due: Federal Register version (75 FR 18932)
34-61851
April 6, 2010
SR-ISE-2010-27
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 (75 FR 18565)
34-61855
April 6, 2010
SR-ISE-2010-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Intermarket Sweep Orders Comments Due: Federal Register version (75 FR 19441)
34-61852
April 6, 2010
SR-CBOE-2010-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Membership Status and Interim Trading Permit Access Fees Comments Due: Federal Register version (75 FR 18934)
34-61853
April 6, 2010
4-596
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the Financial Industry Regulatory Auth Comments Due: Release No. 34-62000 Federal Register version (75 FR 18925)
34-61841
April 5, 2010
SR-NYSEAmex-2010-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot, Rule 107B-NYSE Amex Equities Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or September 30, 2010 Comments Due: Exhibit 5 Federal Register version (75 FR 18560)
34-61842
April 5, 2010
SR-NYSEArca-2010-10
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing of Mars Hill Global Relative Value ETF (f/k/a HTE Global Relative Value ETF) Comments Due: Rel. No. 34-61683 Federal Register version (75 FR 18554)
34-61840
April 5, 2010
SR-NYSE-2010-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot, NYSE Rule 107B Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or September 30, 2010 Comments Due: Exhibit 5 Federal Register version (75 FR 18563)
34-61834
April 2, 2010
SR-BATS-2010-006
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.9(c)(12), entitled "Destination Specific Order" Comments Due: Federal Register version (75 FR 17985)
34-61831
April 2, 2010
SR-NYSEArca-2010-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Commentary .05 to Rule 6.4 Series of Options for Trading Comments Due: Exhibit 5 Federal Register version (75 FR 18248)
34-61822
April 1, 2010
SR-Phlx-2010-47
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendment of the Fee Schedule Comments Due: Exhibit 5 Federal Register version (75 FR 17803)
34-61828
April 1, 2010
SR-Phlx-2010-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Order Price Protection Comments Due: Exhibit 5 Federal Register version (75 FR 17987)
34-61820
April 1, 2010
SR-OCC-2010-05
Notice of Filing of Proposed Rule Change Relating to Cash-Settled Foreign Currency Options With One-Cent Exercise Prices Comments Due: Rel. No. 34-63278 , Rel. No. 34-63278 Federal Register version (75 FR 17805)
34-61824
April 1, 2010
4-518
Notice of Filing and Order Granting Temporary Effectiveness of Amendment to Plan Establishing Procedures Under Rule 605 of Regulation NMS Comments Due: Federal Register version (75 FR 18246)
34-61829
April 1, 2010
SR-BX-2010-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Quoting Obligations Comments Due: Exhibit 5 Federal Register version (75 FR 17981)
34-61830
April 1, 2010
SR-NASDAQ-2010-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets Comments Due: Federal Register version (75 FR 18250)
34-61825
April 1, 2010
SR-ISE-2010-23
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 17980)
34-61826
April 1, 2010
SR-ISE-2010-24
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 17983)
34-61809
March 31, 2010
SR-NYSEAmex-2010-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 1 To Provide for the Designation of Qualified Employees and NYSE Amex Equities Rule 51 To Clarify the Scope of Authority Vested in the Chief Executive Officer Comments Due: Exhibit 5 Federal Register version (75 FR 17799)
34-61815
March 31, 2010
SR-NYSEAmex-2010-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes From Archipelago Securities LLC Comments Due: Federal Register version (75 FR 17813)
34-61818
March 31, 2010
SR-NYSEAmex-2010-18
NYSE Amex LLC; Order Granting Accelerated Approval of the Proposed Rule Change Relating to the Designation of a "Professional Customer" Comments Due: Rel. No. 34-61629 Federal Register version (75 FR 17457)
34-61812
March 31, 2010
SR-Phlx-2010-49
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Establish $2.50 Strike Price Intervals for Options on the NASDAQ Internet Index SM Comments Due: Federal Register version (75 FR 17820)
34-61813
March 31, 2010
SR-NYSEArca-2010-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Equities Orders from Archipelago Securities LLC Comments Due: Federal Register version (75 FR 17459)
34-61810
March 31, 2010
SR-NYSE-2010-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 1 To Provide for the Designation of Qualified Employees and NYSE Rule 51 To Clarify the Scope of Authority Vested in the Chief Executive Officer Comments Due: Exhibit 5 Federal Register version (75 FR 17816)
34-61814
March 31, 2010
SR-NYSE-2010-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Certain Equities Orders From Archipelago Securities LLC Comments Due: Federal Register version (75 FR 17814)
34-61805
March 31, 2010
SR-BX-2010-022
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Price Improvement Period Comments Due: Exhibit 5 Federal Register version (75 FR 17454)
34-61811
March 31, 2010
SR-BX-2010-025
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Permitting Concurrent Listing of $3.50 and $4 Strikes for Classes in the $0.50 Strike and $1 Strike Programs Comments Due: Exhibit 5 Federal Register version (75 FR 17802)
34-61806
March 31, 2010
SR-FINRA-2010-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit Comments Due: Federal Register version (75 FR 17460)
34-61817
March 31, 2010
SR-FINRA-2010-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain FINRA/Nasdaq Trade Reporting Facility Fees Comments Due: Federal Register version (75 FR 17810)
34-61819
March 31, 2010
SR-FINRA-2009-061
Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Granting Accelerated Approval to the Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, To Require Members To Report OTC Transactions in Equity Securities Within 30 Seconds of Execution Comments Due: View Received Comments Rel. No. 34-60960 Federal Register version (75 FR 17806)
34-61802
March 30, 2010
SR-Phlx-2010-05
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to Professional Orders Comments Due: Rel. No. 34-61426 Federal Register version (75 FR 17193)
34-61798
March 29, 2010
SR-NSCC-2010-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Set the Effective Date for the Elimination of the Guaranty of Payment With Respect to Its Envelope Settlement Service Comments Due: Federal Register version (75 FR 16886)
34-61788
March 26, 2010
SR-NYSEAmex-2010-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex, LLC Amending Its Fee Schedule Comments Due: Exhibit 5 Federal Register version (75 FR 16543)
34-61789
March 26, 2010
SR-NASDAQ-2010-037
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Nasdaq's Rules To Eliminate an Outdated Reference Comments Due: Federal Register version (75 FR 16877)
34-61793
March 26, 2010
SR-MSRB-2010-02
Notice of Filing of Proposed Rule Change to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, To Enhance the Interest Rate and Descriptive Information Currently Collected and Made Transparent by the MSRB on Municipal Auction Rate Securities and Variable Rate Demand Obligations Comments Due: View Received Comments Rel. No. 34-62550 , Rel. No. 34-62755 Federal Register version (75 FR 16878)
34-61781
March 25, 2010
SR-NSX-2010-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules on Self Trade Prevention Order Modifiers Comments Due: Exhibit 5 Federal Register version (75 FR 16540)
34-61779
March 25, 2010
SR-NYSE-2010-22
Notice of Filing of Proposed Rule Change To Make Permanent a Unit-of-Count Metric Alternative for NYSE OpenBook Comments Due: View Received Comments Rel. No. 34-62038 Federal Register version (75 FR 16537)
34-61780
March 25, 2010
SR-NYSE-2010-21
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Period for a Revised Unit-of-Count Methodology for NYSE OpenBook Comments Due: Federal Register version (75 FR 16535)
34-61783
March 25, 2010
SR-NSCC-2010-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Eligibility of Securities Processed Through the ID Net Service Comments Due: Federal Register version (75 FR 16214)
34-61782
March 25, 2010
SR-BX-2010-021
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Orders From Nasdaq Execution Services Comments Due: Federal Register version (75 FR 16534)
34-61784
March 25, 2010
SR-DTC-2010-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Its Settlement Service Guide as It Relates to the ID Net Service Comments Due: Federal Register version (75 FR 16216)
34-61785
March 25, 2010
SR-CBOE-2010-021
Notice of Proposed Rule Change Relating to Correlated Instrument Delta Hedge Exemption Comments Due: Rel. No. 34-62190 Federal Register version (75 FR 16888)
34-61774
March 24, 2010
SR-NYSEAmex-2010-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Relating to Exchange Liability Comments Due: Exhibit 5 Federal Register version (75 FR 16222)
34-61776
March 24, 2010
SR-Phlx-2010-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Sponsored Access Pilot Program Comments Due: Federal Register version (75 FR 16219)
34-61775
March 24, 2010
SR-NYSEArca-2010-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Regarding the Listing of the ProShares Ultra MSCI Mexico Investable Market Fund Comments Due: Federal Register version (75 FR 16217)
34-61769
March 24, 2010
SR-BX-2010-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3121 To Reflect Changes to Corresponding FINRA Rule Comments Due: Federal Register version (75 FR 16213)
34-61770
March 24, 2010
SR-NASDAQ-2010-039
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Application of NASDAQ Rule 4611(d) Comments Due: Federal Register version (75 FR 16224)
34-61764
March 23, 2010
SR-Phlx-2010-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to U.S. Dollar-Settled Foreign Currency Options Comments Due: Exhibit 5 Federal Register version (75 FR 15757)
34-61759
March 23, 2010
SR-NYSEArca-2010-16
Notice of Filing of Proposed Rule Change Amending Rule 6.37A and Rule 6.64 Comments Due: Exhibit 5 , Rel. No. 34-62019 Federal Register version (75 FR 15758)
34-61762
March 23, 2010
SR-NSCC-2010-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Aggregate Obligations in Certain Securities Transactions Designated for Settlement on a Trade-for-Trade Basis Comments Due: Federal Register version (75 FR 15479)
34-61766
March 23, 2010
SR-NASDAQ-2010-035
Notice of Filing of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities Comments Due: Rel. No. 34-61944 Federal Register version (75 FR 16221)
34-61755
March 22, 2010
SR-NYSEAmex-2010-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 127 To Remove the Restrictions on the Execution of Block Cross Transactions Outside the Prevailing NYSE Amex Quotation Comments Due: Exhibit 5 Federal Register version (75 FR 15472)
34-61756
March 22, 2010
SR-NYSE-2010-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 127 To Remove the Restrictions on the Execution of Block Cross Transactions Outside the Prevailing NYSE Quotation Comments Due: Exhibit 5 Federal Register version (75 FR 15476)
34-61757
March 22, 2010
SR-NASDAQ-2010-036
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify and Modify the Applicability of Nasdaq Rule 5615 To Exchange Traded Funds Comments Due: Federal Register version (75 FR 15480)
34-61754
March 22, 2010
SR-CBOE-2010-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Outdated References in the Exchange Fees Schedule Comments Due: Federal Register version (75 FR 15760)
34-61744
March 19, 2010
SR-NYSEAMEX-2010-26
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Deleting Rule 446-NYSE Amex Equities and Adopting New Rule 4370-NYSE Amex Equities To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc. Comments Due: Exhibit 5 , Rel. No. 34-62014 Federal Register version (75 FR 14648)
34-61748
March 19, 2010
SR-NYSEArca-2010-15
Notice of Filing of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services Comments Due: Exhibit 5 , Rel. No. 34-61999 Federal Register version (75 FR 14644)
34-61743
March 19, 2010
SR-NYSE-2010-23
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Deleting NYSE Rule 446 and Adopting New Rule 4370 To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc. Comments Due: Exhibit 5 , Rel. No. 34-62015 Federal Register version (75 FR 14650)
34-61742
March 19, 2010
SR-ISE-2010-19
Notice of Filing of Proposed Rule Change To List and Trade Options on the ETFS Palladium Trust and the ETFS Platinum Trust Comments Due: Rel. No. 34-61983 Federal Register version (75 FR 14646)
34-61747
March 19, 2010
SR-FINRA-2010-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update a Cross-Reference Within FINRA Rule 0150 Comments Due: Federal Register version (75 FR 15470)
34-61733
March 18, 2010
SR-CHX-2010-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CHX Article 8, Rule 14 To, Among Other Things, Prohibit Broker Discretionary Voting on the Elections of Directors Comments Due: Federal Register version (75 FR 14219)
34-61736
March 18, 2010
SR-NASDAQ-2010-038
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC To Permit the Concurrent Listing of $3.50 and $4 Strikes for Classes Participating in the $0.50 Strike Program and the $1 Strike Program Comments Due: Federal Register version (75 FR 14229)
34-61731
March 18, 2010
SR-ISE-2010-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Credit Comments Due: Exhibit 5 Federal Register version (75 FR 14233)
34-61737
March 18, 2010
SR-ISE-2010-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Concurrent Listing of $3.50 and $4 Strikes for Classes in the $0.50 Strike and $1 Strike Programs Comments Due: Federal Register version (75 FR 14225)
34-61732
March 18, 2010
SR-CBOE-2010-027
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CBOE Rule 31.85 to, Among Other Things, Prohibit Broker Discretionary Voting on the Elections of Directors Comments Due: Federal Register version (75 FR 14231)
34-61725
March 17, 2010
SR-NYSEAmex-2010-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Proposing To Extend the Operation of Its New Market Model Pilot Currently Scheduled To Expire on March 30, 2010, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or September 30, 2010 Comments Due: Exhibit 5 Federal Register version (75 FR 14223)
34-61726
March 17, 2010
SR-NYSEAMEX-2010-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Relating to Cabinet Trades Comments Due: Federal Register version (75 FR 14234)
34-61727
March 17, 2010
SR-NYSEArca-2010-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Accommodate Cabinet Trades That Take Place Below $1 Per Option Contract Until July 1, 2010 Comments Due: Federal Register version (75 FR 14217)
34-61724
March 17, 2010
SR-NYSE-2010-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Proposing To Extend the Operation of Its New Market Model Pilot, Currently Scheduled To Expire on March 30, 2010, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or September 30, 2010 Comments Due: Exhibit 5 Federal Register version (75 FR 14221)
34-61721
March 16, 2010
SR-NYSEArca-2010-14
Notice of Filing of Proposed Rule Change Relating to the Listing of the United States Brent Oil Fund, LP Comments Due: Rel. No. 34-61881 Federal Register version (75 FR 14237)
34-61720
March 16, 2010
SR-ISE-2010-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes Comments Due: Exhibit 5 Federal Register version (75 FR 14236)
34-61715
March 16, 2010
SR-CBOE-2010-028
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market-Maker Joint Accounts Comments Due: Federal Register version (75 FR 13626)
34-61705
March 15, 2010
SR-NYSEAmex-2010-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 390 Comments Due: Federal Register version (75 FR 13623)
34-61711
March 15, 2010
SR-Phlx-2010-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Controller Space Fee Comments Due: Exhibit 5 Federal Register version (75 FR 13638)
34-61704
March 15, 2010
SR-NYSEArca-2010-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 9.1(f) Comments Due: Federal Register version (75 FR 13639)
34-61706
March 15, 2010
SR-FINRA-2009-047
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook Comments Due: Rel. No. 34-60475 Federal Register version (75 FR 13632)
34-61695
March 12, 2010
SR-Phlx-2010-40
Notice of Filing of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities Comments Due: Rel. No. 34-61943 Federal Register version (75 FR 13614)
34-61699
March 12, 2010
SR-Phlx-2010-42
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 13618)
34-61702
March 12, 2010
SR-BX-2010-016
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications Comments Due: Federal Register version (75 FR 13641)
34-61700
March 12, 2010
SR-NASDAQ-2010-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Optional Non-Display Usage Cap for Internal Distributors of TotalView and OpenView Comments Due: Federal Register version (75 FR 13172)
