34-59601
March 19, 2009
SR-CBOE-2009-018
Notice of Filing of a Proposed Rule Change Related to Short Term Option Series Comments Due: Rel. No. 34-59824 Federal Register version (74 FR 13281)
34-59591
March 17, 2009
SR-NSX-2009-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Fee Schedule To Implement a Program To Award Rebates for Liquidity Adding Zero Display Orders and Clarify the Definition of "Liquidity Adding Average Daily Volume" Comments Due: Federal Register version (74 FR 12426)
34-59593
March 17, 2009
NYSEALTR-2009-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC Amending NYSE Alternext Rules To Delete References to Specific Exchange Systems and To Remove the Requirement that Opening Transactions Receive Specific Designations Pursuant to NYSE Alternext Rules 79A and 115A. These Amendments are Proposed To Conform to Amendments Filed by the New York Stock Exchange LLC 1 Comments Due: Federal Register version (74 FR 12420)
34-59590
March 17, 2009
SR-Phlx-2009-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Related to the $1 Strike Price Program Comments Due: Federal Register version (74 FR 12412)
34-59592
March 17, 2009
SR-NYSE-2009-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending the NYSE Rule Book To Delete References to Specific Exchange Systems and To Remove the Requirement That Opening Transactions Receive Specific Designations Pursuant to NYSE Rules 79A and 115A Comments Due: Federal Register version (74 FR 12417)
34-59589
March 17, 2009
SR-BX-2009-016
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the $1 Strike Price Program on the Boston Options Exchange Facility Comments Due: Federal Register version (74 FR 12408)
34-59588
March 17, 2009
SR-NASDAQ-2009-025
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Related To the $1 Strike Price Program Comments Due: Federal Register version (74 FR 12410)
34-59585
March 17, 2009
SR-CBOE-2009-017
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Complex Order Book Comments Due: Federal Register version (74 FR 12416)
34-59581
March 16, 2009
SR-NYSE-2009-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until June 9, 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 12431)
34-59575
March 13, 2009
SR-NYSEALTR-2009-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certificate of Formation, Amended and Restated Operating Agreement, Rules, and Company Guide To Change the Name of the Exchange to NYSE Amex LLC Comments Due: Federal Register version (74 FR 11803)
34-59574
March 13, 2009
4-533
Notice of Filing and Immediate Effectiveness of Amendment No. 2 to the National Market System Plan for the Selection and Reservation of Securities Symbols To Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC., the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., the NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Alternext U.S. LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc. Comments Due: View Received Comments Federal Register version (74 FR 11981)
34-59576
March 13, 2009
SR-ISE-2009-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fee Changes Comments Due: Federal Register version (74 FR 11982)
34-59571
March 12, 2009
SR-BSECC-2009-02
Notice of Filing of Proposed Rule Change To Amend the Articles of Organization and By-Laws of Boston Stock Exchange Clearing Corporation Comments Due: Rel. No. 34-59839 Federal Register version (74 FR 11983)
34-59566
March 12, 2009
SR-Phlx-2009-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Caps on Equity Option Transaction Charges on Dividend, Merger and Short Stock Interest Strategies Comments Due: Federal Register version (74 FR 11793)
34-59562
March 12, 2009
SR-NYSEArca-2009-20
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Safety First Trust Certificates Linked to the S&P 500 Index Comments Due: Rel. No. 34-59747 Federal Register version (74 FR 11794)
34-59570
March 12, 2009
SR-NYSE-2009-28
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Rules 13, 902, 903, 904, 905 and Rule 906 To Eliminate Certain Order Types From the Off-Hours Trading Facility Comments Due: Federal Register version (74 FR 11800)
34-59567
March 12, 2009
SR-ISE-2009-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes Comments Due: Federal Register version (74 FR 11622)
34-59563
March 12, 2009
SR-FINRA-2009-009
Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook Comments Due: Rel. No. 34-59789 Federal Register version (74 FR 11792)
34-59569
March 12, 2009
SR-FICC-2009-03
Notice of Filing of Proposed Rule To Impose a Charge on Members With a Fail-to-Deliver in Treasury Securities Comments Due: View Received Comments Rel. No. 34-59802 Federal Register version (74 FR 11797)
34-59561
March 11, 2009
SR-NYSEALTR-2009-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Eliminating the Ability To Enter Orders on the Exchange With the Settlement Instructions of "Cash", "Next Day" and "Seller's Option" To Conform to Amendments Filed by the New York Stock Exchange Comments Due: Federal Register version (74 FR 11393)
34-59556
March 11, 2009
SR-NYSEArca-2009-17
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 6.87-Obvious Errors Comments Due: Federal Register version (74 FR 11396)
34-59557
March 11, 2009
SR-NASDAQ-2009-017
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 11389)
34-59558
March 11, 2009
SR-FICC-2009-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Debt Securities That Are Issued Under the Debt Guarantee Program Component of the Federal Deposit Insurance Corporation's Temporary Liquidity Guarantee Program to the GCF Repo Service Comments Due: Federal Register version (74 FR 11385)
34-59551
March 10, 2009
SR-NYSE-2009-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending for Two Months to May 31, 2009 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 Comments Due: Federal Register version (74 FR 11624)
34-59547
March 10, 2009
SR-NASDAQ-2009-014
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Rules Applicable to the Nasdaq Market Center and Nasdaq Options Market That Explicitly Require Members To Input Accurate Information Into Nasdaq Systems Comments Due: Federal Register version (74 FR 11386)
34-59549
March 10, 2009
SR-NASDAQ-2009-021
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ Stock Market LLC Regarding a Clerical Change to Nasdaq Rules Comments Due: Federal Register version (74 FR 11387)
34-59548
March 10, 2009
SR-ISE-2009-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Obvious Error Rules Comments Due: Federal Register version (74 FR 11147)
34-59553
March 10, 2009
SR-ISE-2009-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enable the Listing and Trading of Options on Managed Fund Shares Comments Due: Federal Register version (74 FR 11149)
34-59546
March 10, 2009
SR-CBOE-2009-016
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Hybrid Rule Pertaining to Orders Represented in Open Outcry Comments Due: Federal Register version (74 FR 11144)
34-59537
March 9, 2009
SR-Phlx-2009-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto by NASDAQ OMX PHLX, Inc. To Amend the Exchange's Fee Schedule Relating to the Market Access Provider Subsidy Comments Due: Federal Register version (74 FR 11151)
34-59538
March 9, 2009
SR-Phlx-2009-17
Notice of Filing of a Proposed Rule Change Relating to the Nomination and Election of Candidates for Governor and Independent Governor Comments Due: Rel. No. 34-59794 Federal Register version (74 FR 11152)
34-59545
March 9, 2009
SR-Phlx-2009-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Elimination of Sector Index Options From Monthly Firm Cap Comments Due: Federal Register version (74 FR 11158)
34-59542
March 9, 2009
SR-NYSEArca-2009-14
Notice of Filing of Proposed Rule Change Relating to the Leverage Factor Applicable to the MacroShares Major Metro Housing Trusts Comments Due: Rel. No. 34-59678 Federal Register version (74 FR 11167)
34-59540
March 9, 2009
SR-DTC-2009-05
Notice of Filing of a Proposed Rule Change Relating To Expanding the Scope and Timing To Collect and Pass-Through Fees Owed by Participants to American Depositary Receipt Agents Comments Due: Rel. No. 34-59821 Federal Register version (74 FR 11146)
34-59539
March 9, 2009
SR-CBOE-2009-015
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Two Pilot Programs Comments Due: Federal Register version (74 FR 11143)
34-59525
March 6, 2009
SR-NYSEArca-2009-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges Applicable to the Option Strategy Executions Pilot Program Comments Due: Federal Register version (74 FR 10980)
34-59534
March 6, 2009
SR-FINRA-2008-024
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Discovery Guide To Update the Document Production Lists Comments Due: View Received Comments Federal Register version (74 FR 10973)
34-59524
March 6, 2009
SR-CBOE-2009-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Dividend, Merger and Short Stock Interest Strategies Fee Cap Pilot Program Until March 1, 2010 Comments Due: Federal Register version (74 FR 10972)
34-59516
March 5, 2009
SR-BATS-2009-007
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 10625)
34-59517
March 5, 2009
SR-NYSEALTR-2009-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC To Permit Two Trading Officials To Modify the Required Bid/Ask Differentials Comments Due: Federal Register version (74 FR 10981)
34-59521
March 5, 2009
SR-NYSEArca-2009-15
Notice of Filing and Immediate Effectiveness of Rule Change by NYSE Arca, Inc. Implementing Fee Change Comments Due: Federal Register version (74 FR 10640)
34-59519
March 5, 2009
SR-FINRA-2009-004
Notice of Filing of Proposed Rule Change To Amend the Definition of TRACE-Eligible Security To Include Securities Eligible for Public Sale and Additional Securities That Are Restricted Securities Comments Due: View Received Comments Rel. No. 34-59768 Federal Register version (74 FR 10630)
34-59515
March 5, 2009
SR-CBOE-2009-014
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 10628)
34-59510
March 4, 2009
SR-NYSE-2009-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Temporarily Suspend Its Price Continued Listing Standard and Extend the Period of the Temporary Lowering of Its Average Global Market Capitalization Continued Listing Standard Comments Due: Federal Register version (74 FR 10636)
34-59497
March 4, 2009
SR-BX-2009-015
Notice of Filing of Proposed Rule Change Relating to Order Handling and Exposure Periods on the Boston Options Exchange Facility Comments Due: Rel. No. 34-59638 Federal Register version (74 FR 10634)
34-59498
March 4, 2009
SR-FICC-2009-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Modifying the Appendix of the GSD-CME Cross-Margining Agreement, Deletion of the GSD-TCC Cross-Margining Arrangement, and Technical Changes and Corrections Comments Due: Federal Register version (74 FR 10321)
34-59509
March 4, 2009
SR-CBOE-2009-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the CBSX Direct Connectivity Charge and the Trading Permit Application Fee Comments Due: Federal Register version (74 FR 10629)
34-59494
March 3, 2009
SR-SCCP-2009-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc. Comments Due: Federal Register version (74 FR 10642)
34-59496
March 3, 2009
SR-BSECC-2009-01
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc. Comments Due: Federal Register version (74 FR 10626)
34-59488
March 3, 2009
SR-NYSEAltr-2009-15
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 123C To Provide the Exchange With the Ability To Temporarily Suspend Certain Exchange Requirements Relating to the Closing of Securities at the Exchange Comments Due: Rel. No. 34-59755 Federal Register version (74 FR 10334)
34-59493
March 3, 2009
SR-NYSEArca-2009-18
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of Bear Market Strategic Accelerated Redemption Securities Linked to the S&P Small Cap Regional Banks Index Comments Due: Federal Register version (74 FR 10111)
34-59489
March 3, 2009
SR-NYSE-2009-18
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 123C To Provide the Exchange With the Ability To Temporarily Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange Comments Due: Rel. No. 34-59755 Federal Register version (74 FR 10330)
34-59491
March 3, 2009
SR-NYSE-2009-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPoint SM Comments Due: Federal Register version (74 FR 10107)
34-59492
March 3, 2009
SR-ISE-2009-08
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, by International Securities Exchange, LLC Relating to Changes to the Third Amended and Restated Limited Liability Company Operating Agreement of Direct Edge Holdings LLC Comments Due: Rel. No. 34-59756 Federal Register version (74 FR 10322)
34-59490
March 3, 2009
SR-FINRA-2009-007
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Incorporated NYSE Rules 12 ("Business Day") and 282 (Buy-in Procedures) and To Delete Incorporated NYSE Rule 177 (Delivery Time-"Cash" Contracts) Relating to the Elimination of NYSE Members' Ability To Enter Orders on the NYSE With Settlement Instructions of "Cash," "Next Day" and "Seller's Option" Comments Due: Federal Register version (74 FR 10319)
34-59480
March 2, 2009
SR-NYSEALTR-2009-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Adopting New Rule 6A-NYSE Alternext Equities and Amending Existing Rule 36-NYSE Alternext Equities Concerning the Use of Personal Portable or Wireless Communication Devices and the Use or Possession of Wireless Trading Devices On and Off the Exchange Trading Floor Comments Due: Federal Register version (74 FR 10109)
34-59481
March 2, 2009
SR-NYSEALTR-2009-20
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Amending Its Schedule of Fees and Charges for Exchange Services Comments Due: Federal Register version (74 FR 9856)
34-59482
March 2, 2009
SR-NYSEALTR-2009-13
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Alternext Equities Rule 17 To Address Issues Related to Vendor Liability and To Make Amendments and Conforming Changes to NYSE Alternext Equities Rule 18 Comments Due: Federal Register version (74 FR 10114)
34-59479
March 2, 2009
SR-NYSE-2009-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting New NYSE Rule 6A and Amending Existing NYSE Rule 36 Concerning the Use of Personal Portable or Wireless Communication Devices and the Use or Possession of Wireless Trading Devices On and Off the Exchange Trading Floor Comments Due: Federal Register version (74 FR 10325)
34-59483
March 2, 2009
SR-NYSE-2009-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain Equity Transaction Fees and Rebates Comments Due: Federal Register version (74 FR 10328)
34-59486
March 2, 2009
SR-NYSE-2009-16
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NYSE Rule 17 To Address Issues Related to Vendor Liability and To Make Amendments and Conforming Changes to NYSE Rule 18 Comments Due: Federal Register version (74 FR 10104)
34-59485
March 2, 2009
SR-Nasdaq-2009-016
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC To Eliminate the $3 Price Requirement for Continued Approval for an Underlying Security and Listing Additional Series of Options Comments Due: Federal Register version (74 FR 10324)
34-59484
March 2, 2009
SR-FINRA-2009-006
Notice of Filing of Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals Comments Due: View Received Comments Rel. No. 34-59757 Federal Register version (74 FR 10317)
34-59478
Feb. 27, 2009
SR-NYSEALTR-2009-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Schedule of Fees and Charges for Exchange Services Comments Due: Federal Register version (74 FR 9857)
34-59468
Feb. 27, 2009
SR-NYSEALTR-2009-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Rule 300.10T-NYSE Alternext Equities To Provide a Grace Period Under That Rule for Member Organizations That Have Applied for a Trading License To Comply With Certain Exchange Rules Comments Due: Federal Register version (74 FR 12921)
34-59473
Feb. 27, 2009
SR-NYSEALTR-2009-18
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Use Its Broker Dealer Affiliate, Archipelago Securities, LLC, as Its Routing Broker for Options Orders Comments Due: Federal Register version (74 FR 9853)
34-59472
Feb. 27, 2009
SR-NYSEALTR-2008-14
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Establish Rules for the Trading of Listed Options Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-59142 Federal Register version (74 FR 9843)
34-59471
Feb. 27, 2009
SR-NYSEArca-2009-13
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 Index Fund Comments Due: Federal Register version (74 FR 9862)
34-59469
Feb. 27, 2009
SR-NYSE-2009-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 300.10T To Provide a Grace Period Under That Rule for NYSE Alternext U.S. LLC Member Organizations That Have Applied for a Trading License to Comply With Certain Exchange Rules Comments Due: Federal Register version (74 FR 9648)
34-59475
Feb. 27, 2009
SR-BX-2009-014
Notice of Filing of Proposed Rule Change Relating to Zero Bid Orders on the Boston Options Exchange Facility Comments Due: Rel. No. 34-59742 Federal Register version (74 FR 9840)
34-59457
Feb. 26, 2009
SR-BATS-2009-006
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 9452)
34-59459
Feb. 26, 2009
SR-NYSEArca-2009-12
Notice of Filing of Proposed Rule Change Relating to SPDR Barclays Capital Convertible Bond ETF Comments Due: Rel. No. 34-59708 Federal Register version (74 FR 9860)
34-59464
Feb. 26, 2009
SR-NYSE-2006-92
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 4, To Amend NYSE Rule 452 and Listed Company Manual Section 402.08 To Eliminate Broker Discretionary Voting for the Election of Directors and Codify Two Previously Published Interpretations That Do Not Permit Broker Discretionary Votes for Material Amendments to Investment Advisory Contracts Comments Due: View Received Comments Rel. No. 34-60215 Federal Register version (74 FR 9864)
34-59460
Feb. 26, 2009
SR-NASDAQ-2009-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc. File Nos.: Comments Due: Federal Register version (74 FR 9841)
34-59463
Feb. 26, 2009
SR-FICC-2009-02
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Allow for Direct Membership for Non-Domestic Entities Comments Due: Federal Register version (74 FR 9455)
34-59462
Feb. 26, 2009
SR-CBOE-2009-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Regulatory Circular RG02-101 Issued Under Rule 17.50(g)(6)-Imposition of Fines for Minor Rule Violations Comments Due: Federal Register version (74 FR 9839)
34-59451
Feb. 25, 2009
SR-NYSEALTR-2009-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by NYSE Alternext US LLC Amending Rule 472-NYSE Alternext Equities (Communications With the Public) Comments Due: Federal Register version (74 FR 9450)
34-59454
Feb. 25, 2009
SR-NYSEALTR-2009-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC To Delete Certain Rules Governing the Trading of Listed Options Comments Due: Exhibit 5 Federal Register version (74 FR 9461)
34-59453
Feb. 25, 2009
SR-NYSEArca-2009-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Adopt a Policy Relating to its Treatment of Trade Reports That it Determines To Be Inconsistent With the Prevailing Market Comments Due: Federal Register version (74 FR 9463)
34-59446
Feb. 25, 2009
SR-NYSE-2009-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Eliminating the Ability To Enter Orders on the Exchange With the Settlement Instructions of "Cash", "Next Day" and "Seller's Option" Comments Due: Federal Register version (74 FR 9323)
34-59450
Feb. 25, 2009
SR-NYSE-2009-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by New York Stock Exchange LLC Amending NYSE Rule 472 (Communications With the Public) Comments Due: Federal Register version (74 FR 9459)
34-59452
Feb. 25, 2009
SR-BX-2009-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System Comments Due: Federal Register version (74 FR 9456)
34-59455
Feb. 25, 2009
SR-NASDAQ-2009-013
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 9457)
34-59448
Feb. 25, 2009
SR-CBOE-2009-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Simple Auction Liaison (SAL) Comments Due: Federal Register version (74 FR 9320)
34-59442
Feb. 24, 2009
SR-OCC-2009-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amended Interpretative Guidance on the New Methodology for Adjusting Option Contracts for Cash Dividends and Distributions Comments Due: Federal Register version (74 FR 9654)
34-59440
Feb. 24, 2009
SR-NYSEArca-2009-11
Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.69-Reporting Duties Comments Due: Rel. No. 34-59716 Federal Register version (74 FR 9325)
34-59432
Feb. 23, 2009
SR-FINRA-2009-005
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 9121)
34-59435
Feb. 23, 2009
SR-CBOE-2009-007
Notice of Filing of Proposed Rule Change Relating to Tied Hedge Transactions Comments Due: View Received Comments Rel. No. 34-60499 Federal Register version (74 FR 9115)
34-59429
Feb. 20, 2009
SR-NYSEALTR-2009-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Its New Risk Management Gateway Service Comments Due: Federal Register version (74 FR 9016)
34-59430
Feb. 20, 2009
SR-NYSE-2009-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Its New Risk Management Gateway Service Comments Due: Federal Register version (74 FR 9014)
34-59427
Feb. 20, 2009
SR-CBOE-2009-008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Federal Register version (74 FR 9013)
34-59419
Feb. 19, 2009
SR-BX-2009-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the $3 Underlying Price Requirement for Continued Listing and Listing of Additional Series on the Boston Options Exchange Facility Comments Due: Federal Register version (74 FR 8596)
34-59420
Feb. 19, 2009
SR-NASDAQ-2009-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Exchange Direct Order for the NASDAQ Options Market Comments Due: Federal Register version (74 FR 8597)
34-59424
Feb. 19, 2009
SR-NASDAQ-2009-009
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Nasdaq's Definition of "Controlled Company" Comments Due: Federal Register version (74 FR 8831)
34-59425
Feb. 19, 2009
SR-CBOE-2009-009
Notice of Filing of a Proposed Rule Change To Amend Its Rules Prohibiting Members From Functioning as Market-Makers Comments Due: Rel. No. 34-59700 Federal Register version (74 FR 8829)
34-59416
Feb. 18, 2009
SR-NYSEALTR-2009-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Certain NYSE Alternext Equities Rules To Reflect That Designated Market Makers ("DMMs") on the Exchange No Longer Act as Agents for Orders Entered on the Exchange Comments Due: Federal Register version (74 FR 8603)
34-59418
Feb. 18, 2009
SR-NYSEALTR-2009-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Instructions as to the Payment of Listing Fees in Connection With the Listing of Additional Securities Comments Due: Federal Register version (74 FR 8605)
34-59415
Feb. 18, 2009
SR-NYSE-2009-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Certain NYSE Rules To Reflect That Designated Market Makers on the Exchange No Longer Act as Agents for Orders Entered on the Exchange Comments Due: Federal Register version (74 FR 8600)
34-59413
Feb. 18, 2009
SR-NSCC-2009-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Addendum O To Allow Admission of Entities That Are Organized in a Country Other Than the U.S. for Admission as Limited Members Comments Due: Federal Register version (74 FR 8298)
34-59417
Feb. 18, 2009
SR-CBOE-2008-115
Notice of Filing of Amendments No. 1 and 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, Relating to FLEX Options Expirations Comments Due: Rel. No. 34-59060 Federal Register version (74 FR 8591)
