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)
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 Functionality Relating to the Entry of D-Quotes and Pegging 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)
