34-60176
June 25, 2009
SR-NYSEAmex-2009-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Extend Through September 30, 2009, Its Waiver of Registered Representative Fees for New York Stock Exchange Member Organizations Comments Due: Federal Register version (74 FR 32021)
34-60174
June 25, 2009
SR-BX-2009-030
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program for Linkage Fees on the Boston Options Exchange Facility Comments Due: Federal Register version (74 FR 32027)
34-60175
June 25, 2009
SR-ISE-2009-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Linkage Fees Comments Due: Federal Register version (74 FR 32026)
34-60172
June 25, 2009
SR-FINRA-2009-040
Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2380 To Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions Comments Due: View Received Comments Rel. No. 34-61090 Federal Register version (74 FR 32022)
34-60173
June 25, 2009
SR-DTC-2009-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Voluntary Participants Fund Deposit Comments Due: Federal Register version (74 FR 31781)
34-60177
June 25, 2009
SR-CBOE-2009-037
Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Amend Its Minor Rule Violation Plan Comments Due: Rel. No. 34-60488 Federal Register version (74 FR 32015)
34-60168
June 24, 2009
SR-FINRA-2009-043
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility Comments Due: Federal Register version (74 FR 31471)
34-60165
June 23, 2009
SR-BX-2009-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Flash and Cancel Order Comments Due: Federal Register version (74 FR 31334)
34-60156
June 22, 2009
SR-Phlx-2009-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to $1 Strikes for Reduced Value Nasdaq 100 Options (MNX) Comments Due: Federal Register version (74 FR 31077)
34-60158
June 22, 2009
SR-BX-2009-028
Notice of Filing of Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan Comments Due: Rel. No. 34-60530 Federal Register version (74 FR 31081)
34-60159
June 22, 2009
SR-FINRA-2009-041
Notice of Filing of Proposed Rule Change To Amend Rules 12100, 12506, and 12902 of the Code of Arbitration Procedure for Customer Disputes and Rule 13100 of the Code of Arbitration Procedure for Industry Disputes To Implement Conforming Changes Comments Due: View Received Comments Rel. No. 34-60878 Federal Register version (74 FR 31779)
34-60143
June 19, 2009
SR-OC-2009-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Widening the Bid/Ask Spread for Quoting Market-Makers Comments Due: Federal Register version (74 FR 30345)
34-60151
June 19, 2009
SR-NYSEAmex-2009-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Floor Broker Agency Interest Containing Pegging and/or Discretionary Instructions, Eligible for Execution in the Closing Transaction, in the NYSE Amex Order Imbalance Information Datafeed Disseminated Prior to the Closing Transaction Comments Due: Federal Register version (74 FR 30653)
34-60150
June 19, 2009
SR-Phlx-2009-35
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Definition of "Narrow-Based Index" Comments Due: Federal Register version (74 FR 30658)
34-60144
June 19, 2009
SR-OCC-2009-11
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Ancillary Fee Changes Comments Due: Federal Register version (74 FR 31079)
34-60153
June 19, 2009
SR-NYSE-2009-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Floor Broker Agency Interest Containing Pegging and/or Discretionary Instructions, Eligible for Execution in the Closing Transaction, in the NYSE Order Imbalance Information Datafeed Disseminated Prior to the Closing Transaction Comments Due: Federal Register version (74 FR 30656)
34-60154
June 19, 2009
SR-CTA-2008-01
Notice of Filing of the Eleventh Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan To Waive the Automatic Annual Increase in the Enterprise Cap for 2008 Comments Due: Release No. 34-60639 Federal Register version (74 FR 31076)
34-60146
June 19, 2009
SR-ISE-2009-32
Notice of Filing of Proposed Rule Change Relating to the Penny Pilot Program Comments Due: View Received Comments Federal Register version (74 FR 30346)
34-60147
June 19, 2009
SR-ISE-2009-35
Notice of Filing of Proposed Rule Change Relating to Qualified Contingent Cross Orders Comments Due: View Received Comments Rel. No. 34-60584 Federal Register version (74 FR 30651)
34-60139
June 18, 2009
SR-NYSEAmex-2009-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 124 To Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good Til Cancelled Order During the Implementation of Exchange System Enhancements Comments Due: Federal Register version (74 FR 30342)
34-60140
June 18, 2009
SR-NYSEAmex-2009-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to WAIT Modifiers, PNP Plus Orders, and Attributable Orders Comments Due: Federal Register version (74 FR 30349)
34-60137
June 18, 2009
SR-NYSEArca-2009-54
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of Shares of the iShares MSCI All Peru Capped Index Fund Comments Due: Federal Register version (74 FR 30340)
34-60138
June 18, 2009
SR-NYSE-2009-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 124 To Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good 'Til Cancelled Order During the Implementation of Exchange System Enhancements Comments Due: Federal Register version (74 FR 30337)
34-60135
June 18, 2009
SR-FINRA-2009-014
Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rulebook Comments Due: Rel. No. 34-60701 Federal Register version (74 FR 30198)
34-60122
June 17, 2009
SR-NYSEAmex-2009-26
Notice of Filing of Proposed Rule Change to Charge a $500 Monthly Fee to Recipients of the NYSE Amex Order Imbalance Information Datafeed Comments Due: Rel. No. 34-60385 Federal Register version (74 FR 30184)
34-60123
June 17, 2009
SR-NYSEAmex-2009-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Available Without Charge the NYSE Amex OpenBookTM Comments Due: Federal Register version (74 FR 30192)
34-60128
June 17, 2009
SR-NYSEArca-2009-53
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of ProShares UltraShort MSCI Mexico Investable Market Fund Comments Due: Federal Register version (74 FR 30351)
34-60131
June 17, 2009
SR-NYSE-2009-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Until July 15, 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 30196)
34-60130
June 17, 2009
SR-CBOE-2009-038
Notice of Filing of Proposed Rule Change Related to the Complex Order Book Comments Due: Rel. No. 34-60381 Federal Register version (74 FR 30194)
34-60117
June 16, 2009
SR-NYSEAmex-2009-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees and Charges for Exchange Services by Adding a Ratio Threshold Fee Comments Due: Federal Register version (74 FR 30190)
34-60112
June 15, 2009
SR-FINRA-2009-039
Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-60645 Federal Register version (74 FR 29527)
34-60106
June 12, 2009
SR-CBOE-2009-033
Notice of Filing of Proposed Rule Change Regarding Statutory Disqualification Procedures Comments Due: Rel. No. 34-60370 Federal Register version (74 FR 29525)
34-60103
June 11, 2009
SR-Phlx-2009-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing Fees Comments Due: Federal Register version (74 FR 29252)
34-60099
June 11, 2009
SR-NYSEArca-2009-51
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 7.36 Governing Order Ranking and Display Comments Due: Federal Register version (74 FR 29254)
34-60101
June 11, 2009
SR-NYSEArca-2009-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, by NYSE Arca, Inc. Implementing Schedule of Fees and Charges for Exchange Services Comments Due: Federal Register version (74 FR 29249)
34-60102
June 11, 2009
SR-NYSEArca-2009-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, by NYSE Arca, Inc. Implementing Schedule of Fees and Charges for Exchange Services by adding a Ratio Threshold Fee Comments Due: Federal Register version (74 FR 29251)
34-60096
June 11, 2009
SR-DTC-2009-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Web Inquiry Notification System Comments Due: Federal Register version (74 FR 28745)
34-60083
June 10, 2009
SR-CHX-2009-02
Notice of Filing of Proposed Rule Change Relating to the Rejection of Undisplayed Odd-Lot Orders From the Exchange's Matching System Comments Due: Rel. No. 34-60353 Federal Register version (74 FR 28739)
34-60088
June 10, 2009
SR-NYSE-2009-56
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee for Use of a Hand Held Device Configured To Provide Only Opening and Closing Order Imbalance Data Comments Due: Federal Register version (74 FR 28748)
34-60094
June 10, 2009
SR-NASDAQ-2009-049
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NASDAQ Listing Rules To Reflect Changes to the Rules of the Commission Comments Due: Federal Register version (74 FR 28750)
34-60087
June 10, 2009
SR-ISE-2009-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes Comments Due: Federal Register version (74 FR 28746)
34-60085
June 10, 2009
SR-FINRA-2009-030
Notice of Filing of Proposed Rule Change To Amend Rule 6440 To Require Members To Create a Contemporaneous Record of Certain Customer and Order Information Comments Due: Rel. No. 34-60366 Federal Register version (74 FR 28741)
34-60093
June 10, 2009
SR-CBOE-2009-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Federal Register version (74 FR 28749)
34-60077
June 9, 2009
SR-NYSEAmex-2009-22
Notice of Filing and Immediate Effectiveness of Rule Change by NYSE Amex, Inc. Implementing Schedule of Fees and Charges for Exchange Services Comments Due: Federal Register version (74 FR 28737)
34-60072
June 9, 2009
SR-NYSEArca-2009-46
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Safety First Trust Certificates Linked to the S&P 500 Index Comments Due: Federal Register version (74 FR 28294)
34-60068
June 8, 2009
SR-NSX-2009-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule To (i) Increase From 50,000 to 5 Million the Liquidity Adding Average Daily Volume Thresholds in the Automatic Execution Mode of Order Interaction ("AutoEx"); (ii) Include Securities Less Than One Dollar in the Calculation of Liquidity Adding and Total Average Volume Thresholds in AutoEx; and (iii) Eliminate the Two Lower Tiers With Respect to the AutoEx Liquidity Adding Zero Display Order Rebate Comments Due: Federal Register version (74 FR 28305)
34-60063
June 8, 2009
SR-OCC-2009-10
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Cross-Margining Agreement Between OCC and CME Comments Due: Federal Register version (74 FR 28738)
34-60065
June 8, 2009
SR-NYSEArca-2009-47
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Generic Listing Rules for Currency Trust Shares Comments Due: Federal Register version (74 FR 28310)
34-60067
June 8, 2009
SR-NYSEArca-2009-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services Comments Due: Federal Register version (74 FR 28307)
34-60062
June 8, 2009
SR-NYSE-2009-53
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers Pursuant to NYSE Rule 107A and Competitive Traders Pursuant to NYSE Rule 110 to the Earlier of the Approval of SR-NYSE-2009-08 or June 30, 2009 Comments Due: Federal Register version (74 FR 28297)
34-60069
June 8, 2009
SR-NASDAQ-2009-051
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Pricing for NASDAQ "Flash" Functionality for Routable Orders Comments Due: Federal Register version (74 FR 28304)
34-60066
June 8, 2009
SR-FINRA-2009-036
Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2124 (Net Transactions With Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-60534 Federal Register version (74 FR 28308)
34-60070
June 8, 2009
SR-FINRA-2009-038
Notice of Filing of Proposed Rule Change To Repeal Incorporated NYSE Rule 134 (Differences and Omissions-Cleared Transactions) and NYSE Rule 440I (Records of Compensation Arrangements-Floor Brokerage) as Part of the Process To Develop the Consolidated FINRA Rulebook Comments Due: Rel. No. 34-60367 Federal Register version (74 FR 28302)
34-60055
June 5, 2009
SR-NYSEAmex-2009-24
Notice of Filing of a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-side Liquidity To Trigger the Execution of a d-Quote Comments Due: Rel. No. 34-60252 Federal Register version (74 FR 28299)
34-60054
June 5, 2009
SR-NYSEArca-2009-45
Notice of Filing of Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan Comments Due: Rel. No. 34-60527 Federal Register version (74 FR 28078)
34-60053
June 5, 2009
SR-MSRB-2009-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Termination of the CDINet System Comments Due: Federal Register version (74 FR 28081)
34-60046
June 4, 2009
SR-Phlx--2009-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee Comments Due: Federal Register version (74 FR 28083)
34-60045
June 4, 2009
SR-NYSE-2009-55
Notice of Filing of a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-side Liquidity To Trigger the Execution of a d-Quote Comments Due: Rel. No. 34-60251 Federal Register version (74 FR 27854)
34-60048
June 4, 2009
SR-CBOE-2009-035
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 27856)
34-60040
June 3, 2009
SR-BATS-2009-014
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend BATS Rule 11.13, Entitled "Order Execution" Comments Due: View Received Comments Federal Register version (74 FR 27577)
34-60041
June 3, 2009
SR-BATS-2009-017
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 27581)
34-60037
June 3, 2009
SR-NASDAQ-2009-048
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, Thereto To Establish a New Voluntary Flash and Cancel Order Comments Due: View Received Comments Federal Register version (74 FR 27367)
34-60039
June 3, 2009
SR-NASDAQ-2009-050
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Reduce the Length of the Optional Pre-Routing Display Period for Its DOT, SCAN and STGY Routing Strategies Comments Due: Federal Register version (74 FR 27365)
34-60030
June 3, 2009
SR-ISE-2009-31
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 (74 FR 27373)
34-60031
June 3, 2009
SR-ISE-2009-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, LLC Relating to Amending the Direct Edge ECN Fee Schedule To Expand the Applicability of the Super Tier Rebate to All Securities Priced at or Above $1.00 and To Increase the Take Fee Comments Due: Federal Register version (74 FR 27371)
34-60034
June 3, 2009
SR-FINRA-2009-037
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD IM-2110-2 (Trading Ahead of Customer Limit Order) To Clarify the Scope of the Minimum Price Improvement Obligations Comments Due: Federal Register version (74 FR 27579)
34-60035
June 3, 2009
SR-FINRA-2009-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend FINRA's Authority Under the Cease and Desist Pilot Program Comments Due: Federal Register version (74 FR 27360)
34-60036
June 3, 2009
SR-DTC-2009-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish an Alternate Choice in DTC's Profile Modification System Indemnity Insurance Program Comments Due: Federal Register version (74 FR 28085)
34-60038
June 3, 2009
SR-CBOE-2009-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Modifying the CBOE Stock Exchange Rule Regarding Processing of Round-Lot Orders Comments Due: Federal Register version (74 FR 27580)
34-60028
June 2, 2009
SR-FINRA-2009-035
Notice of Filing of Proposed Rule Change To Adopt a Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis Comments Due: Rel. No. 34-60306 Federal Register version (74 FR 27364)
34-60019
June 1, 2009
SR-BATS-2009-018
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Criteria for Becoming a Member of the Nominating Committee Comments Due: Federal Register version (74 FR 27222)
34-60015
June 1, 2009
SR-NYSEAmex-2009-19
Notice of Filing of Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan Comments Due: Rel. No. 34-60526 Federal Register version (74 FR 27375)
34-60021
June 1, 2009
SR-Phlx-2009-40
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Listing and Trading New Currencies Comments Due: Rel. No. 34-60169 Federal Register version (74 FR 27217)
34-60014
June 1, 2009
SR-ISE-2009-27
Notice of Filing of Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan Comments Due: Rel. No. 34-60559 Federal Register version (74 FR 27224)
34-60022
June 1, 2009
SR-FINRA-2009-031
Notice of Filing of Proposed Rule Change Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours Comments Due: Rel. No. 34-60377 Federal Register version (74 FR 27361)
34-60018
June 1, 2009
SR-CBOE-2009-031
Notice of Filing of Proposed Rule Change Amending CBOE Rules Relating to the Penny Pilot Program Comments Due: View Received Comments Federal Register version (74 FR 27211)
34-60020
June 1, 2009
SR-CBOE-2009-034
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trades for Less Than $1 Comments Due: Federal Register version (74 FR 27220)
34-60001
May 29, 2009
SR-NYSEAmex-2009-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123E To Be More Consistent With the Exchange's Current Designated Market Maker System Comments Due: Federal Register version (74 FR 26907)
34-60008
May 29, 2009
SR-FINRA-2009-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule Cross-References in FINRA Rules Comments Due: Federal Register version (74 FR 27215)
34-60012
May 29, 2009
SR-FINRA-2008-062
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 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-59160 Federal Register version (74 FR 27214)
34-59990
May 28, 2009
SR-BATS-2009-016
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 26899)
34-59995
May 28, 2009
SR-Phlx-2009-32
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II Comments Due: View Received Comments Rel. No. 34-59721 , Rel. No. 34-59779 Federal Register version (74 FR 26750)
34-59996
May 28, 2009
SR-NYSE-2009-48
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending the Exchange's Continued Listing Standards on a Pilot Program Basis Comments Due: Federal Register version (74 FR 26912)
34-59997
May 28, 2009
SR-NYSEAmex-2009-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Comparison of Executed Transactions File Nos.: Comments Due: Federal Register version (74 FR 28086)
34-59999
May 28, 2009
SR-BX-2009-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing Comments Due: Federal Register version (74 FR 26903)
34-59978
May 27, 2009
SR-NYSEArca-2009-41
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules Related to Doing a Public Business in Options Comments Due: Federal Register version (74 FR 26451)
34-59979
May 27, 2009
SR-NYSE-2009-52
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees Charged for the Floor Member Continuing Education Program for Qualified Floor Members Pursuant to NYSE Rule 103A Comments Due: Federal Register version (74 FR 26454)
34-59983
May 27, 2009
SR-BX-2009-027
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing Exchange's Directed Order Process on the Boston Options Exchange Comments Due: Federal Register version (74 FR 26445)
34-59974
May 26, 2009
SR-NSX-2009-03
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) in Order to Include Securities Priced at Less Than One Dollar in the Calculation of Volume Thresholds Used To Determine Rebates Payable for Displayed Order Liquidity Adding Tape A and C Securities Executed at One Dollar or Above Comments Due: Federal Register version (74 FR 26453)
34-59975
May 26, 2009
SR-NYSEALTR-2009-26
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Changing Certain NYSE Amex Equities Rules To Conform Them With Changes to Corresponding Rules Filed by the New York Stock Exchange LLC Comments Due: Rel. No. 34-59656 Federal Register version (74 FR 26449)
34-59955
May 22, 2009
SR-FINRA-2009-012
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Implement an Interim Pilot Program With Respect to Margin Requirements for Certain Transactions in Credit Default Swaps Comments Due: View Received Comments Federal Register version (74 FR 25586)
34-59963
May 21, 2009
SR-BATS-2009-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rules To Offer an After Hours Trading Session Comments Due: Federal Register version (74 FR 25787)
34-59967
May 21, 2009
SR-BATS-2009-015
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.13, Entitled "Order Execution" Comments Due: Federal Register version (74 FR 25793)
34-59945
May 20, 2009
SR-OCC-2009-09
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cross-Margining of Security Futures on Exchange-Traded Funds Based on Broad-Based Stock Indices Comments Due: Federal Register version (74 FR 25786)
34-59944
May 20, 2009
SR-NYSEArca-2009-44
Notice of Filing of Proposed Rule Change Amending Rule 6.72 Governing Trading Differentials and Proposing To Expand the Penny Pilot Comments Due: View Received Comments Rel. No. 34-60711 , Rel. No. 34-61061 Federal Register version (74 FR 25294)
34-59948
May 20, 2009
SR-NASDAQ-2009-047
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing Comments Due: Federal Register version (74 FR 25784)
34-59943
May 20, 2009
SR-ISE-2009-28
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 (74 FR 25296)
34-59946
May 20, 2009
SR-FINRA-2009-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA Rule 2360 (Options) Regarding Position Limits for Options on Exchange-Traded Funds and Registration Qualifications With Respect to Options Discretionary Accounts Comments Due: Federal Register version (74 FR 25584)
34-59939
May 19, 2009
SR-NYSEAmex-2009-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Revising Rules Governing the Use of Telephones on the Options Trading Floor Comments Due: Federal Register version (74 FR 25779)
34-62119
May 18, 2009
SR-DTC-2010-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Its Procedures Regarding the Participant Tender Offer Program Function Comments Due: Federal Register version (75 FR 29374)
