34-60522
Aug. 18, 2009
SR-NYSEArca-2009-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending NYSE Arca Options Rule 6.76A Comments Due: Federal Register version (74 FR 42710)
34-60521
Aug. 18, 2009
SR-NASDAQ-2009-076
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Processing of Orders on the NASDAQ Options Market Comments Due: Federal Register version (74 FR 43210)
34-60528
Aug. 18, 2009
SR-MSRB-2009-13
Notice of Filing and Immediate Effectiveness of Amendment to Rule A-14, on Annual Fee Comments Due: Federal Register version (74 FR 43205)
34-60511
Aug. 17, 2009
SR-NYSEAMEX-2009-51
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC Adopting Rule 406-NYSE Amex Equities as New Rule 3250-NYSE Amex Equities To Conform to a Proposed Rule Change Submitted in a Companion Filing by the New York Stock Exchange LLC Comments Due: Federal Register version (74 FR 42714)
34-60512
Aug. 17, 2009
SR-NYSE-2009-75
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by New York Stock Exchange LLC Adopting NYSE Rule 406 as New Rule 3250 To Correspond With a Rule Change Recently Filed by the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (74 FR 42717)
34-60514
Aug. 17, 2009
SR-NASDAQ-2009-075
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Listing Standards for Selected Equity-Linked Debt Securities Comments Due: Federal Register version (74 FR 43174)
34-60515
Aug. 17, 2009
SR-FINRA-2009-054
Notice of Filing of Proposed Rule Change To Extend Certain Regulation NMS Protections to Quoting and Trading in the Market for OTC Equity Securities Comments Due: View Received Comments and Rel. No. 34-61677 , Rel. No. 34-62359 Federal Register version (74 FR 43207)
34-60510
Aug. 17, 2009
SR-FICC-2009-08
Notice of Filing and Order Granting Accelerated Approval on a Temporary Basis of Proposed Rule Change To Modify the Rules of the Government Securities Division Regarding the Calculation of Clearing Fund Deposits Relating to Inter-Dealer Broker Positions Comments Due: Federal Register version (74 FR 42716)
34-60513
Aug. 17, 2009
SR-CBOE-2009-059
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Federal Register version (74 FR 42719)
34-60507
Aug. 14, 2009
4-546
Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan, and Notice of Filing of Such Amendment Comments Due: View Received Comments Release No. 34-60841 Federal Register version (74 FR 42709)
34-60503
Aug. 14, 2009
SR-BX-2009-046
Notice of Filing of Proposed Rule Change To Further Extend the Temporary Cap on Certain Fees for Members Comments Due: Federal Register version (74 FR 42346)
34-60504
Aug. 14, 2009
SR-BX-2009-047
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of the Boston Options Exchange Facility Comments Due: Federal Register version (74 FR 42724)
34-60495
Aug. 13, 2009
SR-NYSEArca-2009-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing the Schedule of Fees and Charges for Exchange Services Comments Due: Federal Register version (74 FR 41957)
34-60501
Aug. 13, 2009
SR-NYSE-2009-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Public Float Requirement for Initial Public Offerings Comments Due: Federal Register version (74 FR 42348)
34-60500
Aug. 13, 2009
SR-ISE-2009-62
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Certain Exchange Rules Comments Due: Federal Register version (74 FR 42345)
34-60499
Aug. 13, 2009
SR-CBOE-2009-007
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Tied Hedge Transactions Comments Due: View Received Comments Rel. No. 34-59435 Federal Register version (74 FR 42350)
34-60494
Aug. 12, 2009
SR-SCCP-2009-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Federal Register version (74 FR 42721)
34-60493
Aug. 12, 2009
SR-BSECC-2009-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Federal Register version (74 FR 42711)
34-60486
Aug. 12, 2009
SR-Phlx-2009-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Settlement of FLEX Currency Options Comments Due: Federal Register version (74 FR 41773)
34-60492
Aug. 12, 2009
SR-NASDAQ-2009-074
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 (74 FR 41955)
34-60487
Aug. 12, 2009
SR-MSRB-2009-12
Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G-11(i) (Settlement of Syndicate or Similar Account), Rule G-11(j) (Payment of Designations), and Rule G-12(i) (Settlement of Joint or Similar Account) Comments Due: View Received Comments Rel. No. 34-60725 Federal Register version (74 FR 41771)
34-60491
Aug. 12, 2009
SR-CBOE-2009-057
Notice of Filing of a Proposed Rule Change Related to Market-Maker Orders Comments Due: Rel. No. 34-60710 Federal Register version (74 FR 41953)
34-60477
Aug. 11, 2009
SR-Phlx-2009-67
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Firm Proprietary Facilitation Orders Comments Due: Federal Register version (74 FR 41777)
34-60478
Aug. 11, 2009
SR-NYSE-2009-81
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until August 21, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange To Cancel or Adjust Clearly Erroneous Executions If They Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including Those Executions That Occur in the Event of a System Disruption or System Malfunction Comments Due: Federal Register version (74 FR 41769)
34-60475
Aug. 11, 2009
SR-FINRA-2009-047
Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-61706 Federal Register version (74 FR 41774)
34-60476
Aug. 11, 2009
SR-CBOE-2009-056
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Hybrid Matching Algorithms Comments Due: Federal Register version (74 FR 41766)
34-60479
Aug. 11, 2009
SR-CBOE-2009-058
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Hybrid Matching Algorithms Comments Due: Federal Register version (74 FR 41761)
34-60464
Aug. 10, 2009
SR-BATS-2009-027
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Federal Register version (74 FR 41477)
34-60466
Aug. 10, 2009
SR-Phlx-2009-65
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00 Comments Due: Rel. No. 34-60694 Federal Register version (74 FR 41475)
34-60469
Aug. 10, 2009
SR-NYSEArca-2009-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.76A-Order Execution-OX and Proposing New Rule 6.88-Directed Orders Comments Due: Federal Register version (74 FR 41478)
34-60465
Aug. 10, 2009
SR-BX-2009-041
Notice of Filing of Proposed Rule Change To Eliminate Chapter V, Section 13 (Unusual Market Conditions) of the BOX Trading Rules and To Modify Related Rules Comments Due: Rel. No. 34-60686 Federal Register version (74 FR 41765)
34-60458
Aug. 7, 2009
SR-NYSEAMEX-2009-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Deleting Rule 409A-NYSE Amex Equities and Adopting New Rule 2266-NYSE Amex Equities To Conform to Proposed Rule Changes Submitted in a Companion Filing by the New York Stock Exchange LLC Comments Due: Federal Register version (74 FR 41778)
34-60456
Aug. 7, 2009
SR-Phlx-2009-63
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of Sponsored Access Pilot Program Comments Due: Federal Register version (74 FR 40862)
34-60461
Aug. 7, 2009
SR-Phlx-2009-66
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Waivers Comments Due: Federal Register version (74 FR 41472)
34-60457
Aug. 7, 2009
SR-NYSE-2009-76
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Deleting NYSE Rule 409A and Adopting New Rule 2266 To Correspond With Rule Changes Recently Filed by the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (74 FR 41763)
34-60462
Aug. 7, 2009
SR-FINRA-2009-050
Notice of Filing of Proposed Rule Change Relating to FINRA Rule 8312 (FINRA BrokerCheck Disclosure) Comments Due: View Received Comments Rel. No. 34-61002 Federal Register version (74 FR 41470)
34-60455
Aug. 6, 2009
SR-Phlx-2009-62
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Automatic Allocations of Options on Related Securities Comments Due: Federal Register version (74 FR 40857)
34-60454
Aug. 6, 2009
SR-CBOE-2009-054
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Marketing Fee Program Comments Due: Federal Register version (74 FR 40859)
34-60438
Aug. 5, 2009
SR-NYSEAmex-2009-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Change the Transaction Fee for Market At-the-Close and Limit At-the-Close Orders Comments Due: Federal Register version (74 FR 40255)
34-60452
Aug. 5, 2009
SR-NYSEAmex-2009-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Its Schedule of Fees and Charges for Exchange Services Comments Due: Federal Register version (74 FR 40861)
34-60433
Aug. 5, 2009
SR-NYSEArca-2009-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(oo) Comments Due: Federal Register version (74 FR 40264)
34-60436
Aug. 5, 2009
SR-NYSE-2009-77
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Modify Certain Equity Transaction Fees and Rebates Comments Due: Federal Register version (74 FR 40252)
34-60439
Aug. 5, 2009
SR-NYSE-2009-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM Comments Due: Federal Register version (74 FR 40270)
34-60444
Aug. 5, 2009
SR-BX-2009-044
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of the Boston Options Exchange Facility To Implement The Non-Penny Pilot Class Pricing Structure Comments Due: Federal Register version (74 FR 40258)
34-60442
Aug. 5, 2009
SR-ISE-2009-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amending the Direct Edge ECN Fee Schedule Comments Due: Federal Register version (74 FR 40249)
34-60443
Aug. 5, 2009
SR-ISE-2009-58
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 (74 FR 40250)
34-60437
Aug. 5, 2009
SR-FINRA-2009-052
Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook Comments Due: Rel. No. 34-60697 Federal Register version (74 FR 40256)
34-60445
Aug. 5, 2009
SR-CBOE-2009-055
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 (74 FR 40253)
34-60425
Aug. 4, 2009
SR-NYSEAMEX-2009-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 103B to Modify the Composition of the Exchange Selection Panel; and Prohibit any Ex Parte Communications During and Regarding the Selection Process between the DMM Units and the Individuals Serving on the Exchange Selection Panel Comments Due: Federal Register version (74 FR 40271)
34-60428
Aug. 4, 2009
SR-NYSEAmex-2009-46
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 1000 To Allow Exchange Systems to Access CCS Interest to Partially Fill an Incoming Limit Order Comments Due: Rel. No. 34-60670 Federal Register version (74 FR 40273)
34-60431
Aug. 4, 2009
SR-Phlx-2009-59
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to the Exchange's By-Laws, Regulatory Oversight Committee and Referee Program Comments Due: Rel. No. 34-60687 Federal Register version (74 FR 40265)
34-60426
Aug. 4, 2009
SR-NYSE-2009-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 103B to Modify the Composition of the Exchange Selection Panel; and Prohibit Any Ex Parte Communications During and Regarding the Selection Process Between the DMM Units and the Individuals Serving on the Exchange Selection Panel Comments Due: Federal Register version (74 FR 40247)
34-60429
Aug. 4, 2009
SR-NYSE-2009-71
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 1000 To Allow Exchange Systems To Access CCS Interest To Partially Fill an Incoming Limit Order Comments Due: Rel. No. 34-60671 Federal Register version (74 FR 40259)
34-60427
Aug. 4, 2009
SR-BX-2009-043
Notice of Filing of Proposed Rule Change To Extend Fee Holiday for Registration of Associated Persons Comments Due: Rel. No. 34-60668 Federal Register version (74 FR 39986)
34-60430
Aug. 4, 2009
SR-NASDAQ-2009-072
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Fee Schedule for Members Using the NASDAQ Market Center Comments Due: Federal Register version (74 FR 40279)
34-60424
Aug. 4, 2009
SR-FINRA-2009-049
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Selection Specifications and Study Outline for the Limited Representative-Investment Banking ("Series 79") Examination Program Comments Due: Federal Register version (74 FR 39984)
34-60432
Aug. 4, 2009
SR-FINRA-2009-053
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Incorporated NYSE Rules 12 and 282 To Conform to Amendments Made by NYSE Comments Due: Federal Register version (74 FR 40278)
34-60418
Aug. 3, 2009
SR-NYSEAmex-2009-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Duplicate in the NYSE Amex Equities Price List the Section of the NYSE Amex Options Price List Setting Forth Regulatory Fees Applicable to Member Organizations Comments Due: Federal Register version (74 FR 39983)
34-60419
Aug. 3, 2009
SR-NYSE-2009-79
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Until August 10, 2009 the Operation of Interim NYSE Rule 128, Which Permits the Exchange To Cancel or Adjust Clearly Erroneous Executions Comments Due: Federal Register version (74 FR 39987)
34-60422
Aug. 3, 2009
SR-FINRA-2009-048
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5230 (Payments Involving Publications that Influence the Market Price of a Security) in the Consolidated FINRA Rulebook Comments Due: Rel. No. 34-60648 Federal Register version (74 FR 39725)
34-60421
Aug. 3, 2009
SR-FICC-2009-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Haircuts Applied to Eligible Clearing Fund Securities and Eligible Participant Fund Securities Comments Due: Federal Register version (74 FR 39723)
34-60420
Aug. 3, 2009
SR-CBOE-2009-052
Notice of Filing of a Proposed Rule Change Related to the Hybrid Matching Algorithms Comments Due: Rel. No. 34-60665 Federal Register version (74 FR 39989)
34-60416
July 31, 2009
SR-BX-2009-045
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Fee Schedule of the Boston Options Exchange Group, LLC Comments Due: Federal Register version (74 FR 39981)
34-60414
July 31, 2009
SR-FINRA-2009-051
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of Multiple Market Participant Symbols When Quoting or Trading OTC Equity Securities Comments Due: Federal Register version (74 FR 39721)
34-60397
July 30, 2009
SR-NYSEAmex-2009-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) from July 31, 2009 to December 31, 2009 Comments Due: Federal Register version (74 FR 39128)
34-60398
July 30, 2009
NYSEAmex-2009-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Disciplinary Rule 476A To Add Rule 104(a)(1)(A)-NYSE Amex Equities To Its "List of Exchange Rule Violations and Fines Applicable Thereto" Comments Due: Federal Register version (74 FR 39130)
34-60396
July 30, 2009
SR-NYSE-2009-73
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operative Date of NYSE Rule 92(c)(3) From July 31, 2009 to December 31, 2009 Comments Due: Federal Register version (74 FR 39126)
34-60399
July 30, 2009
SR-NYSE-2009-72
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 476A To Add Rule 104(a)(1)(A) to Its "List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A" Comments Due: Federal Register version (74 FR 39124)
34-60407
July 30, 2009
SR-NASDAQ-2009-073
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Related to Orders Routed to Nasdaq via the Options Intermarket Linkage Comments Due: Federal Register version (74 FR 39720)
34-60408
July 30, 2009
SR-MSRB-2009-11
Notice of Filing and Immediate Effectiveness of Amendments to Rule A-3, on Membership on the Board, Rule A-4, on Meetings of the Board, Rule A-5, on Officers and Employees of the Board, and Rule A-6, on Committees of the Board Comments Due: Federal Register version (74 FR 39372)
34-60409
July 30, 2009
4-587
Notice of Filing and Order Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., New Yor Comments Due: Federal Register version (74 FR 39353)
34-60395
July 28, 2009
SR-CHX-2009-10
Notice of Filing of a Proposed Rule Change To Add the Quote@CHX and Reprice@CHX Order Types to Brokerplex System Comments Due: Rel. No. 34-60620 Federal Register version (74 FR 38678)
34-60392
July 28, 2009
SR-Phlx-2009-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a Pilot Program for U.S. Dollar-Settled Foreign Currency Options Comments Due: Federal Register version (74 FR 38477)
34-60394
July 28, 2009
SR-DTC-2009-13
Notice of Filing of Proposed Rule Change Relating to Municipal Bonds Redemption Process Comments Due: View Received Comments Rel. No. 34-60889 Federal Register version (74 FR 38677)
34-60387
July 24, 2009
SR-BATS-2009-025
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.9, Entitled "Orders and Modifiers" Comments Due: Federal Register version (74 FR 38241)
34-60386
July 24, 2009
SR-OCC-2009-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Clearance and Settlement of Treasury Futures Contracts Comments Due: Federal Register version (74 FR 38252)
34-60383
July 24, 2009
SR-BX-2009-042
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality Comments Due: Federal Register version (74 FR 38065)
34-60384
July 24, 2009
SR-NASDAQ-2009-071
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality Comments Due: Federal Register version (74 FR 38247)
34-60382
July 24, 2009
SR-ISE-2009-45
Notice of Filing of Proposed Rule Change by International Securities Exchange, LLC Relating to Changes to Rule 312 in Connection With the Purchase of Equity Interests by International Securities Exchange Holdings, Inc. in Optifreeze, LLC Comments Due: Rel. No. 34-60598 Federal Register version (74 FR 38068)
34-60378
July 23, 2009
SR-NYSEAmex-2009-38
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Implementing the Schedule of Fees and Charges for Exchange Services Comments Due: Federal Register version (74 FR 38245)
34-60380
July 23, 2009
SR-OCC-2009-12
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Cash-Settled Foreign Currency Index Options Comments Due: Federal Register version (74 FR 38242)
34-60379
July 23, 2009
SR-NYSEArca-2009-62
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Schedule of Fees and Charges for Exchange Services Comments Due: Federal Register version (74 FR 38244)
34-60371
July 23, 2009
SR-NASDAQ-2009-070
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NASDAQ Rule 4751 To Provide System Functionality That Will Cancel Any Portion of Most Types of Unpriced Orders Comments Due: View Received Comments Federal Register version (74 FR 38075)
34-60374
July 23, 2009
SR-NASDAQ-2009-069
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market Through July 31, 2009 Comments Due: View Received Comments Federal Register version (74 FR 38073)
34-60375
July 23, 2009
SR-CBOE-2009-047
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding the CBSX Floor Post Comments Due: Rel. No. 34-60589 Federal Register version (74 FR 38071)
34-60376
July 23, 2009
SR-CBOE-2009-044
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Chicago Board Options Exchange Stock Exchange Fees Schedule To Establish Facility Fees Comments Due: Federal Register version (74 FR 38070)
34-60364
July 22, 2009
SR-BATS-2009-026
Notice of Filing of Proposed Rule Change To Amend BATS Fee Schedule to Impose Fees for Ports Used for Order Entry and Receipt of Market Data Comments Due: Rel. No. 34-60586 Federal Register version (74 FR 37285)
34-60363
July 22, 2009
SR-Phlx-2009-61
Notice of Filing of Proposed Rule Change Relating to Exchange Rules for the Options Order Protection and Locked/Crossed Market Plan Comments Due: Rel. No. 34-60550 Federal Register version (74 FR 37270)
34-60368
July 22, 2009
SR-NSCC-2009-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Haircuts Applied to Eligible Clearing Fund Securities Comments Due: Federal Register version (74 FR 37275)
34-60365
July 22, 2009
4-443
Notice of Filing of Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options Comments Due: View Received Comments Release No. 34-60531 Federal Register version (74 FR 37266)
34-60362
July 22, 2009
SR-FINRA-2009-046
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules Comments Due: Federal Register version (74 FR 37280)
34-60360
July 21, 2009
4-429
Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc.; Notice of Filing of Amendments to the Intermarket Options Linkage Plan To Withdraw From the Plan Comments Due: View Received Comments Release No. 34-60582 Federal Register version (74 FR 37265)
34-60358
July 21, 2009
SR-BX-2009-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Amending the By-Laws of The NASDAQ OMX Group, Inc., Their Parent Company File Nos.: Comments Due: Federal Register version (74 FR 37277)
34-60352
July 21, 2009
SR-NASDAQ-2009-059
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying Fees for Members Using the NASDAQ Options Market Comments Due: Federal Register version (74 FR 37067)
34-60354
July 21, 2009
SR-NASDAQ-2009-065
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Modify Routing of Orders From NASDAQ Options Market to an Affiliate Exchange Comments Due: Federal Register version (74 FR 37074)
34-60359
July 21, 2009
SR-MSRB-2009-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Guidance on Disclosure and Other Sales Practice Obligations to Individual and Other Retail Investors in Municipal Securities Comments Due: View Received Comments Federal Register version (74 FR 37079)
34-60349
July 20, 2009
SR-BX-2009-035
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Procedures To Prevent Information Advantages Resulting From the Affiliation Between BOX and NOS Comments Due: Federal Register version (74 FR 37071)
34-60337
July 17, 2009
SR-BX-2009-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program That Allows for No Minimum Size Order Requirement for the Price Improvement Period Process on the Boston Options Exchange Facility Comments Due: Federal Register version (74 FR 36805)
34-60335
July 17, 2009
SR-NASDAQ-2009-066
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Processing of Orders on the NASDAQ Options Market Comments Due: Federal Register version (74 FR 36790)
34-60333
July 17, 2009
SR-ISE-2009-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Price Improvement Mechanism Pilot Program Comments Due: Federal Register version (74 FR 36792)
