34-59284
Jan. 23, 2009
SR-BATS-2009-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.8, Entitled "Obligations of Market Makers." Comments Due: Federal Register version (74 FR 4990)
34-59292
Jan. 23, 2009
SR-BATS-2009-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 2.5, Entitled "Restrictions," and BATS Rule 11.4, Entitled "Authorized Traders." Comments Due: Federal Register version (74 FR 5690)
34-59283
Jan. 23, 2009
SR-Phlx-2009-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Margin Requirements for Foreign Currency Options Comments Due: Federal Register version (74 FR 5706)
34-59293
Jan. 23, 2009
SR-OCC-2008-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 1506 Comments Due: Federal Register version (74 FR 5713)
34-59294
Jan. 23, 2009
SR-OCC-2008-20
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating To Establishing a Market Loan Program Comments Due: Federal Register version (74 FR 5958)
34-59289
Jan. 23, 2009
SR-NYSEArca-2009-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a Pilot Program for NYSE Arca Trades Comments Due: Federal Register version (74 FR 5711)
34-59290
Jan. 23, 2009
SR-NYSE-2009-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a Pilot Program for NYSE Trades Comments Due:
34-59285
Jan. 23, 2009
SR-NSCC-2008-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Fee Structure Comments Due: Federal Register version (74 FR 5875)
34-59291
Jan. 23, 2009
SR-NASDAQ-2009-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Compliance Period Applicable to Companies That Fail To Meet the Market Value of Listed Securities Requirement Comments Due: Federal Register version (74 FR 5197)
34-59287
Jan. 23, 2009
SR-ISE-2006-26
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Professional Account Holders Comments Due: View Received Comments Rel. No. 34-57254 Federal Register version (74 FR 5694)
34-59288
Jan. 23, 2009
SR-ISE-2009-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes Comments Due: Federal Register version (74 FR 5704)
34-59286
Jan. 23, 2009
SR-DTC-2009-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to the Deposits Service Guide Comments Due: Federal Register version (74 FR 5876)
34-59282
Jan. 22, 2009
SR-NYSE-2008-119
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Trading Rules for the New York Block Exchange Comments Due: Rel. No. 34-58969 Federal Register version (74 FR 5009)
34-59275
Jan. 22, 2009
SR-NASDAQ-2008-104
Notice of Filing of Proposed Rule Change To Adopt a Modified Sponsored Access Rule Comments Due: View Received Comments Rel. No. 34-61345 Federal Register version (74 FR 5193)
34-59276
Jan. 22, 2009
SR-ISE-2009-02
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 5007)
34-59273
Jan. 22, 2009
SR-FINRA-2008-067
Notice of Filing of Proposed Rule Change to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-60933 Federal Register version (74 FR 8130)
34-59274
Jan. 22, 2009
SR-FINRA-2009-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exemptive Criteria in FINRA Rule 7470 Comments Due: Federal Register version (74 FR 5877)
34-59270
Jan. 21, 2009
SR-NYSEArca-2009-01
Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Relating to Reduction of Annual Fee for Certain Issues Listed Under Rule 5.2(j)(6). Comments Due: Rel. No. 34-59518 Federal Register version (74 FR 5880)
34-59264
Jan. 16, 2009
SR-NYSEArca-2009-02
Notice of Filing of and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Amend or Eliminate Unnecessary Rule Text Comments Due: Federal Register version (74 FR 4800)
34-59262
Jan. 16, 2009
SR-FINRA-2008-020
Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto Relating to Private Placements of Securities Issued by Members Comments Due: View Received Comments Rel. No. 34-59599 Federal Register version (74 FR 4487)
34-59258
Jan. 15, 2009
SR-BATS-2009-001
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 4788)
34-59255
Jan. 15, 2009
SR-NYSE-2009-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until March 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 4496)
34-59252
Jan. 15, 2009
SR-NSCC-2008-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Enhancement to Its Insurance and Retirement Services To Allow for the Electronic Exchange of Attachments to Messages Comments Due: Federal Register version (74 FR 4495)
34-59259
Jan. 15, 2009
SR-BX-2009-003
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Post-Only Order Comments Due: Federal Register version (74 FR 4491)
34-59261
Jan. 15, 2009
SR-BX-2009-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deferring Operation of Its Listing Standards for Primary Listings and Consolidating Into a Single Rule Certain Requirements for Products Traded on the Exchange Pursuant to Unlisted Trading Privileges Comments Due: Federal Register version (74 FR 4796)
34-59260
Jan. 15, 2009
SR-NASDAQ-2009-001
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7050 Governing Pricing for Nasdaq Members Using the NASDAQ Options Market ("NOM") Comments Due: Federal Register version (74 FR 4493)
34-59253
Jan. 15, 2009
SR-FINRA-2008-052
Notice of Filing of Proposed Rule Change Relating to the Adoption of FINRA Rule 2140 (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) in the Consolidated FINRA Rulebook Comments Due: Rel. No. 34-59495 , and Corrected Order Federal Register version (74 FR 4792)
34-59247
Jan. 14, 2009
SR-Phlx-2008-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Phlx Fee Schedule Comments Due: Federal Register version (74 FR 4063)
34-59243
Jan. 13, 2009
SR-Phlx-2008-86
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending the Phlx Fee Schedule Comments Due: Federal Register version (74 FR 4272)
34-59244
Jan. 13, 2009
SR-NASDAQ-2008-102
Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto To Establish a Pilot Program for NASDAQ Basic Data Feeds Comments Due: View Received Comments Rel. No. 34-59582 Federal Register version (74 FR 4065)
34-59233
Jan. 12, 2009
SR-NYSEALTR-2008-21
Notice From the Exchange of the Issuer's Impending Listing; and (2) Provide DMM Unit Marketing Materials to the Issuer Prior to the Scheduled Interview Rather Than the Day Before Comments Due: Federal Register version (74 FR 3123)
34-59234
Jan. 12, 2009
SR-NYSEArca-2008-140
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Adding Liquidity Only Order Comments Due: Federal Register version (74 FR 4274)
34-59229
Jan. 12, 2009
SR-NYSE-2009-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM Comments Due: Federal Register version (74 FR 3119)
34-59231
Jan. 12, 2009
SR-NYSE-2008-143
Notice From the Exchange of the Issuer's Impending Listing; (2) Provide DMM Unit Marketing Materials to the Issuer Prior to the Scheduled Interview Rather Than the Day Before; and (3) Allow an Issuer Transferring From NYSE Alternext U.S. LLC to the NYSE To Retain its DMM Unit if Such DMM Unit Is an Approved and Registered DMM on the NYSE Comments Due: Federal Register version (74 FR 3120)
34-59230
Jan. 12, 2009
SR-CTA/CQ-2008-05
Notice of Filing of the Thirteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Ninth Substantive Amendment to the Restated Consolidated Quotation Plan Comments Due: Release No. 34-59552 Federal Register version (74 FR 3659)
34-61323
Jan. 11, 2009
SR-NASDAQ-2009-116
Notice of Filing of Proposed Rule Change To Amend Rule 2240 and 2250 To Reflect Changes to Corresponding FINRA Rules Comments Due: Federal Register version (75 FR 3774)
34-59225
Jan. 9, 2009
4-533
Notice of Filing and Immediate Effectiveness of Amendment No. 1 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 Exchange US LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc. Comments Due: Federal Register. View Received Comments Federal Register version (74 FR 3117)
34-59217
Jan. 8, 2009
SR-NYSE-2008-138
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC To Memorialize an Interpretation of the Listed Company Manual Concerning Shareholder Approval Requirements and To Describe a Certain Application of its Audit Committee Rule Comments Due: Federal Register version (74 FR 3117)
34-59219
Jan. 8, 2009
SR-NASDAQ-2008-099
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 April 19, 2009 Comments Due: Federal Register version (74 FR 2640)
34-59216
Jan. 8, 2009
SR-FINRA-2008-065
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program Comments Due: Federal Register version (74 FR 2147)
34-59222
Jan. 8, 2009
SR-FINRA-2009-002
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes to FINRA Rules 6380B and 6730 To Reflect Amendments Proposed Pursuant to SR-FINRA-2008-060 Comments Due: Federal Register version (74 FR 2145)
34-61319
Jan. 8, 2009
SR-FINRA-2009-093
Notice of Filing of Proposed Rule Change To Repeal NASD Rule 2450 (Installment or Partial Sales), NASD Interpretive Material 2830-2 ("IM-2830-2") (Maintaining the Public Offering Price) and Incorporated NYSE Rule 413 (Uniform Forms) as Part of the Process of Developing a Consolidated FINRA Rulebook Comments Due: Exhibit 5 , Rel. No. 34-61542 Federal Register version (75 FR 2897)
34-59211
Jan. 7, 2009
SR-BSE-2008-56
Notice of Filing of Proposed Rule Change Relating to BOX Rules Governing Doing Business With the Public Comments Due: Rel. No. 34-59434 Federal Register version (74 FR 1734)
34-59209
Jan. 7, 2009
SR-CBOE-2008-132
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by Chicago Board Options Exchange, Incorporated Regarding Fees for the CBOE Stock Exchange Comments Due: Federal Register version (74 FR 1736)
34-59213
Jan. 7, 2009
SR-CBOE-2008-134
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 2638)
34-59202
Jan. 6, 2009
SR-NYSE-2008-132
Notice of Filing of Proposed Rule Change to Introduce a NYSE Order Imbalance Information Fee Comments Due: Rel. No. 34-59543 Federal Register version (74 FR 1744)
34-59207
Jan. 6, 2009
SR-NYSE-2008-134
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1500 ("MatchPoint") To Clarify the Functionality of the Intra-Day Matching Sessions in Relation to Order Entry, Correction and Cancellation Capabilities, and When the MatchPoint System Cancels Unexecuted Orders Back to the User and Disseminates Intra-Day and After Hours Trade Reports Comments Due: Federal Register version (74 FR 1746)
34-59201
Jan. 6, 2009
SR-ISE-2008-101
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, LLC Relating to Amending the Fee Schedule Comments Due: Federal Register version (74 FR 1740)
34-59208
Jan. 6, 2009
SR-FINRA-2008-045
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, To Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications Comments Due: Rel. No. 34-59586 Federal Register version (74 FR 1738)
34-59199
Jan. 6, 2009
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Existing Operational Arrangements Comments Due: View Received Comments Federal Register version (74 FR 5193)
34-59200
Jan. 6, 2009
SR-CBOE-2008-125
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Affiliations With Broker-Dealers Comments Due: Federal Register version (74 FR 1264)
34-59197
Jan. 5, 2009
SR-BSE-2008-52
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rules Relating to Obvious Error Provisions To Address Catastrophic Errors, Erroneous Quotes or Prints in the Underlying Security, and Some Additional Modifications Comments Due: Federal Register version (74 FR 969)
34-59198
Jan. 5, 2009
SR-NYSE-2008-131
Notice of Filing of Proposed Rule Change To Introduce a NYSE OpenBook Nonprofessional Subscriber Fee and To Revise the Unit of Count That Determines the Device Fees Payable by Data Recipients Comments Due: View Received Comments Rel. No. 34-59544 Federal Register version (74 FR 1268)
34-59196
Jan. 5, 2009
SR-ISE-2008-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendment of International Securities Exchange Holdings, Inc.'s Certificate of Incorporation Comments Due: Federal Register version (74 FR 975)
34-59193
Jan. 2, 2009
SR-CBOE-2008-128
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees for Fiscal Year 2009 Comments Due: Federal Register version (74 FR 972)
34-59191
Dec. 31, 2008
SR-NYSEArca-2008-139
Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending the Minor Rule Plan To Increase Certain Sanctions Comments Due: Rel. No. 34-59376 Federal Register version (74 FR 757)
34-59176
Dec. 30, 2008
SR-NYSEALTR-2008-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC Extending the Implementation of the NYSE Alternext Book Clerk Program From January 1, 2009 Through March 31, 2009 Comments Due: Federal Register version (74 FR 751)
34-59179
Dec. 30, 2008
SR-NYSEALTR-2008-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent the NYSE Alternext Bonds System Fee Schedule Which Is Currently Set To Expire on December 31, 2008 as Well as Make Technical Amendments to the Fee Schedule Comments Due: Federal Register version (74 FR 753)
34-59184
Dec. 30, 2008
SR-NYSEArca-2008-143
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Program for NYSE Arca Realtime Reference Prices Service Comments Due: Federal Register version (74 FR 755)
34-59177
Dec. 30, 2008
SR-NYSE-2008-136
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Liquidity Provider Credit on the NYSE Bonds System Comments Due: Federal Register version (74 FR 747)
34-59178
Dec. 30, 2008
SR-NYSE-2008-137
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program That Offers Liquidity Takers a Reduced Transaction Fee Structure for Certain Bond Trades Executed on the NYSE Bonds System Comments Due: Federal Register version (74 FR 748)
34-59185
Dec. 30, 2008
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Period for the NYSE Realtime Reference Prices Pilot Program Comments Due: Federal Register version (74 FR 5199)
34-59187
Dec. 30, 2008
4-533
Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add NASDAQ OMX BX, Inc., as a Party Thereto Comments Due: Federal Register. View Received Comments Federal Register version (74 FR 729)
34-59186
Dec. 30, 2008
SR-NASDAQ-2008-103
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Program for NASDAQ Last Sale Data Feeds Comments Due: Federal Register version (74 FR 743)
34-59175
Dec. 30, 2008
SR-FINRA-2008-066
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect the Closing of the FINRA/NSX Trade Reporting Facility on December 31, 2008 Comments Due: Federal Register version (74 FR 840)
34-59183
Dec. 30, 2008
SR-FINRA-2008-68
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Regarding the Use of Multiple MPIDs on the Trade Reporting Facilities and the Alternative Display Facility Comments Due: Federal Register version (74 FR 842)
34-59182
Dec. 30, 2008
SR-CBOE-2008-130
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee Comments Due: Federal Register version (74 FR 730)
34-59188
Dec. 30, 2008
SR-CBOE-2008-133
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Trades for Less Than $1 Comments Due: Federal Register version (74 FR 480)
34-59169
Dec. 29, 2008
SR-NYSEALTR-2008-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending NYSE Alternext US, LLC Equities Rule 48.10 To Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange To Declare an Extreme Market Volatility Condition and Suspend Certain Exchange Requirements Relating to the Closing of Securities at the Exchange Comments Due: Federal Register version (74 FR 485)
34-59170
Dec. 29, 2008
SR-NYSEALTR-2008-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC To Amend Certain Regulatory Fees Applicable to Its Member Organizations Comments Due: Federal Register version (74 FR 486)
34-59166
Dec. 29, 2008
SR-Phlx-2008-82
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Rule 1028 (Confirmations) Comments Due: Federal Register version (74 FR 328)
34-59167
Dec. 29, 2008
SR-NYSEArca-2008-141
Notice of Filing and Immediate Effectiveness of Rule Change by NYSE Arca, Inc. Implementing Fee Change Comments Due: Federal Register version (74 FR 488)
34-59173
Dec. 29, 2008
SR-NYSEArca-2008-125
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 Units of the United States Short Oil Fund Comments Due: Rel. No. 34-58994 Federal Register version (74 FR 490)
34-59168
Dec. 29, 2008
SR-NYSE-2008-139
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 48.10 To Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange to Declare an Extreme Market Volatility Condition and Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange Comments Due: Federal Register version (74 FR 483)
34-59171
Dec. 29, 2008
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Fee Changes Comments Due: Federal Register version (74 FR 5193)
34-59162
Dec. 24, 2008
4-533
Notice of Filing and Immediate Effectiveness of Amendments to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add New York Stock Exchange LLC, NYSE Arca, Inc., NYSE Alternext US LLC and Chicago Board Options Exchange, Incorporated as Parties Thereto Comments Due: Federal Register. View Received Comments Federal Register version (74 FR 132)
34-59163
Dec. 24, 2008
SR-NASDAQ-2008-097
Notice of Filing of Proposed Rule Change by The NASDAQ Stock Market LLC Adopting a Limited Exemption From OATS Order Data Recordation Requirements for Registered Options Market Makers Comments Due: View Received Comments Rel. No. 34-59369 Federal Register version (74 FR 160)
34-59149
Dec. 23, 2008
SR-NASDAQ-2008-101
Notice of Filing of Proposed Rule Change To Adopt a Policy Relating to Its Treatment of Trade Reports That It Determines To Be Inconsistent With the Prevailing Market Retroactive to September 1, 2008 Comments Due: Rel. No. 34-59370 Federal Register version (74 FR 155)
34-59151
Dec. 23, 2008
SR-NASDAQ-2008-100
Notice of Filing and Immediate Effectiveness of Proposed Rule Change 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 158)
34-59153
Dec. 23, 2008
SR-Nasdaq-2008-098
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Routing to an Affiliated Exchange Comments Due: Federal Register version (73 FR 80485)
34-59159
Dec. 23, 2008
SR-ISE-2008-97
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Amendment of the International Securities Exchange Holdings, Inc.'s Certificate of Incorporation Comments Due: Federal Register version (74 FR 154)
34-59160
Dec. 23, 2008
SR-FINRA-2008-062
Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-60012 Federal Register version (74 FR 152)
34-59152
Dec. 23, 2008
SR-CBOE-2008-127
Notice of Filing of Proposal To Eliminate $3 Underlying Price Requirement for Continued Listing and Listing of Additional Series Comments Due: View Received Comments Rel. No. 34-59336 Federal Register version (74 FR 149)
34-59129
Dec. 22, 2008
SR-BSE-2008-57
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. To List Options on the Mini-Nasdaq-100 Index at $1 Strike Price Intervals Comments Due: Federal Register version (73 FR 79945)
34-59142
Dec. 22, 2008
SR-NYSEALTR-2008-14
Notice of Filing of Proposed Rule Change Amending Rules Governing the Trading of Listed Options on NYSE Amex Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-59472 Federal Register version (73 FR 80494)
34-59144
Dec. 22, 2008
SR-NYSEALTR-2008-12
Notice of Filing of Proposed Rule Change To Establish Its New Risk Management Gateway Service Comments Due: Rel. No. 34-59353 Federal Register version (73 FR 80502)
34-59117
Dec. 22, 2008
SR-NYSEArca-2008-134
Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. To Amend the Sanctioning Guidelines Comments Due: Rel. No. 34-59522 Federal Register version (73 FR 79964)
34-59146
Dec. 22, 2008
SR-NYSEArca-2008-136
Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending NYSE Arca Equities Rule 5.2(j)(6), the Exchange's Initial Listing Standards for Equity Index-Linked Securities, Commodity-Linked Securities, Currency-Linked Securities, Fixed Income Index-Linked Securities, Futures-Linked Securities and Multifactor Index-Linked Securities Comments Due: Rel. No. 34-59332 Federal Register version (73 FR 80504)
34-59140
Dec. 22, 2008
SR-NYSE-2008-130
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Establish a Trading License Fee for 2009 and Amend Certain Other Floor Fees Comments Due: Federal Register version (73 FR 80488)
34-59143
Dec. 22, 2008
SR-NYSE-2008-135
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Extend to March 27, 2009, the Operative Date of New York Stock Exchange Rule 2 Requirement That NYSE-Only Member Organizations Apply for and Be Approved as a Member of the Financial Industry Regulatory Authority, Inc. Comments Due: Federal Register version (73 FR 80491)
34-59145
Dec. 22, 2008
SR-NYSE-2008-101
Notice of Filing of Proposed Rule Change To Establish Its New Risk Management Gateway Service Comments Due: Rel. No. 34-59354 Federal Register version (73 FR 80492)
34-59136
Dec. 22, 2008
SR-ISE-2008-95
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Close of Trading on the ISE Stock Exchange Comments Due: Federal Register version (73 FR 80484)
34-59138
Dec. 22, 2008
SR-FINRA-2008-064
Notice of Proposed Rule Change To Amend NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order) Comments Due: Rel. No. 34-59382 Federal Register version (73 FR 80482)
34-59147
Dec. 22, 2008
SR-CBOE-2008-123
Notice of Filing of a Proposed Rule Change To Adopt a Trade, Flash and Cancel Order Type for CBSX Comments Due: Rel. No. 34-59359 Federal Register version (74 FR 150)
34-59123
Dec. 19, 2008
SR-NYSE-2008-128
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Amend the Requirements of Section 203.01 of the Listed Company Manual with respect to Annual Reports Comments Due: Federal Register version (73 FR 79961)
34-59127
Dec. 19, 2008
SR-ISE-2008-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes Comments Due: Federal Register version (73 FR 79952)
34-59126
Dec. 19, 2008
SR-FINRA-2008-060
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting of Transfers of Securities Subject to an Asset Purchase Agreement Comments Due: Federal Register version (73 FR 79948)
34-59121
Dec. 19, 2008
SR-CBOE-2008-126
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Duration of the Hybrid Rule Pertaining to Orders Represented in Open Outcry Comments Due: Federal Register version (73 FR 79946)
34-59120
Dec. 18, 2008
SR-NYSEALTR-2008-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Minimum Price Variation of $0.01 for Orders and Quotations in Bonds Admitted to Dealings on NYSE Alternext Comments Due: Federal Register version (73 FR 79962)
34-59118
Dec. 18, 2008
SR-NYSE-2008-129
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Minimum Price Variation of $0.01 for Orders and Quotations in Bonds Admitted to Dealings on NYSE Comments Due: Federal Register version (73 FR 79535)
