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)
34-59935
May 18, 2009
SR-CBOE-2009-028
Notice of Filing of Proposed Rule Change Relating to Rebating Member Dues for Certain Members Comments Due: Rel. No. 34-60185 Federal Register version (74 FR 24888)
34-59934
May 15, 2009
SR-BATS-2009-013
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 24057)
34-59932
May 15, 2009
SR-NYSEArca-2009-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Regarding the Minimum Creation and Redemption Size Applicable to the MacroShares Major Metro Housing Trusts Comments Due: Federal Register version (74 FR 24055)
34-59925
May 14, 2009
SR-Phlx-2009-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Order Entry Port Fee Comments Due: Federal Register version (74 FR 24054)
34-59918
May 14, 2009
SR-BX-2009-024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Clerical Corrections of the Rules of the Boston Options Exchange Facility Comments Due: Federal Register version (74 FR 23908)
34-59919
May 14, 2009
SR-BX-2009-025
Notice of Filing of Proposed Rule Change To Retroactively Amend the Fee Schedule To Clarify and Correct References to the Volume Discount Given to Market Makers Comments Due: Rel. No. 34-60163 Federal Register version (74 FR 23915)
34-59923
May 14, 2009
SR-NASDAQ-2009-046
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Securities That Underlie Options Traded on the Exchange Comments Due: Federal Register version (74 FR 23902)
34-59921
May 14, 2009
SR-FINRA-2009-028
Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-67588 , Rel. No. 34-64969 , Rel. No. 34-64969A Federal Register version (74 FR 23912)
34-59917
May 14, 2009
SR-DTC-2009-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control File Nos.: Comments Due: View Received Comments Federal Register version (74 FR 23907)
34-59920
May 14, 2009
SR-CBOE-2009-029
Notice of Filing of a Proposed Rule Change To Permanently Establish the Quarterly Option Series Pilot Program Comments Due: Rel. No. 34-60164 Federal Register version (74 FR 23909)
34-59915
May 13, 2009
SR-NASDAQ-2009-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Nasdaq Listing Rules To Conform Those Rules With the Prior Marketplace Rules and Make Certain Technical Corrections Comments Due: Federal Register version (74 FR 23456)
34-59912
May 13, 2009
SR-ISE-2009-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, LLC Relating to Changes to the Fee Schedule Comments Due: Federal Register version (74 FR 23458)
34-59908
May 12, 2009
SR-BX-2009-021
Notice of Filing of Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of NASDAQ OMX BX, Inc. Comments Due: Rel. No. 34-60247 Federal Register version (74 FR 25796)
34-59907
May 12, 2009
SR-NASDAQ-2009-042
Notice of Filing of Proposed Rule Change To Amend Its Limited Liability Agreement Comments Due: Rel. No. 34-60276 Federal Register version (74 FR 23761)
34-59904
May 12, 2009
SR-ISE-2009-22
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange Relating to Far Away Market Maker Fees Comments Due: Federal Register version (74 FR 23224)
34-59896
May 11, 2009
SR-CBOE-2009-030
Notice of Filing of a Proposed Rule Change Regarding Appointments and Obligations of CBSX DPMs Comments Due: Rel. No. 34-60129 Federal Register version (74 FR 22991)
34-59893
May 8, 2009
SR-NYSEArca-2009-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fee Change Comments Due: Federal Register version (74 FR 22990)
34-59895
May 8, 2009
SR-NYSEArca-2009-40
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of ETFS Gold Trust Comments Due: Federal Register version (74 FR 22993)
34-59894
May 8, 2009
SR-BX-2009-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Implement a Cap on Certain Fees for Members Comments Due: Federal Register version (74 FR 23000)
34-59892
May 8, 2009
SR-CBOE-2009-027
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes Comments Due: Federal Register version (74 FR 22790)
34-59889
May 7, 2009
SR-BATS-2009-011
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 22791)
34-59890
May 7, 2009
SR-BATS-2009-010
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 22786)
34-59883
May 7, 2009
SR-NYSEAmex-2009-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Making Certain Amendments to Its Price List Comments Due: Federal Register version (74 FR 22785)
34-59886
May 7, 2009
SR-NYSEArca-2009-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Regarding Amendments to NYSE Arca Equities Rule 8.3 ("Listing of Currency and Index Warrants") Comments Due: Federal Register version (74 FR 22779)
34-59884
May 7, 2009
SR-NYSE-2009-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete All References in the NYSE Rule Book to "Alternext" and "Alternext US" and Substitute References to "Amex" To Reflect the Recent Name Change of NYSE Alternext US LLC to NYSE Amex LLC Comments Due: Federal Register version (74 FR 22782)
34-59881
May 7, 2009
SR-MSRB-2009-05
Notice of Filing of Proposed Rule Change Relating to the Subscription Service for Continuing Disclosure Documents Through the Electronic Municipal Market Access System (EMMA) Comments Due: Rel. No. 34-60121 Federal Register version (74 FR 22615)
34-59882
May 7, 2009
SR-ISE-2009-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, LLC Relating To Changes to the Fee Schedule Comments Due: Federal Register version (74 FR 22618)
34-59887
May 7, 2009
SR-ISE-2009-24
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, 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 22792)
34-59888
May 7, 2009
SR-ISE-2009-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, by the International Securities Exchange, LLC Relating to Amending the Direct Edge ECN Fee Schedule To Increase the Super Tier Rebate in Securities Reported To Tape A and Tape C Comments Due: Federal Register version (74 FR 22783)
34-59880
May 7, 2009
SR-FINRA-2007-009
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Modernize and Simplify NASD Rule 2720 Comments Due: Rel. No. 34-60113 Federal Register version (74 FR 22600)
34-59885
May 7, 2009
SR-FINRA-2009-015
Notice of Filing of Proposed Rule Change Relating to Expedited Administration of Promissory Note Cases Comments Due: Rel. No. 34-60132 Federal Register version (74 FR 22788)
34-59869
May 6, 2009
SR-NYSE-2009-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until October 1, 2009 the Six-Month Pilot Program Which Established a New Class of NYSE Market Participants Referred to as "Supplemental Liquidity Providers" and Is Designated as Exchange Rule 107B Comments Due: Federal Register version (74 FR 22796)
34-59871
May 6, 2009
SR-NASDAQ-2009-045
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Trade Reporting File Upload Service and Related Fees Comments Due: Federal Register version (74 FR 22197)
34-59875
May 6, 2009
SR-NASDAQ-2009-043
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify DOT, SCAN and STGY Routing Strategies To Incorporate an Optional Pre-Routing Display Period Comments Due: View Received Comments Federal Register version (74 FR 22794)
34-59879
May 6, 2009
SR-NASDAQ-2009-041
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center and NASDAQ Options Market Comments Due: Federal Register version (74 FR 22619)
34-59873
May 6, 2009
SR-MSRB-2009-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to MSRB Rule G-8 Requiring Brokers, Dealers and Municipal Securities Dealers To Maintain Certain Records Relating to Auction Rate Securities and Variable Rate Demand Obligations Comments Due: Federal Register version (74 FR 22780)
34-59877
May 6, 2009
SR-ISE-2007-121
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to ISE's Margin Rule Comments Due: Rel. No. 34-60127 Federal Register version (74 FR 22611)
34-59872
May 6, 2009
SR-FINRA-2009-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Non-Substantive Changes to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes Comments Due: Federal Register version (74 FR 22621)
34-59876
May 6, 2009
SR-CBOE-2008-55
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, Related to Margin Requirements Comments Due: View Received Comments Rel. No. 34-60126 Federal Register version (74 FR 22613)
34-59861
May 5, 2009
SR-NYSEArca-2009-33
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 Dow Jones Industrial Average Comments Due: Federal Register version (74 FR 21839)
34-59863
May 5, 2009
SR-NYSE-2009-47
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 22798)
34-59864
May 5, 2009
SR-NYSE-2009-44
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 MatchPointSM Comments Due: Federal Register version (74 FR 22194)
34-59865
May 5, 2009
SR-BX-2009-022
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Volume Discount Given to Market Makers Comments Due: Federal Register version (74 FR 22198)
34-59866
May 5, 2009
SR-CBOE-2009-026
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 22195)
34-59857
May 4, 2009
SR-Phlx-2009-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Elimination of Options Transaction Charge for Customer Executions in Options on RUT, RMN, MNX and NDX Comments Due: Federal Register version (74 FR 22190)
34-59858
May 4, 2009
SR-NASDAQ-2009-039
Notice of Filing of Proposed Rule Change To Amend the Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc. Comments Due: Rel. No. 34-60183 Federal Register version (74 FR 22191)
34-59854
May 1, 2009
SR-NYSEArca-2009-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. That Suspends NYSE Arca's Stock Price Continued Listing Standard Comments Due: Federal Register version (74 FR 21730)
34-59852
April 30, 2009
SR-Phlx-2009-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating To Trading Post/Booth and Registration Fees Comments Due: Federal Register version (74 FR 21424)
34-59841
April 29, 2009
SR-Phlx-2009-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Payment for Order Flow Comments Due: Federal Register version (74 FR 21035)
34-59842
April 29, 2009
SR-Phlx-2009-37
Notice of Filing of Proposed Rule Change Relating to Quoting Requirements for Streaming Quote Traders, Remote Streaming Quote Traders and Specialists Comments Due: Rel. No. 34-60084 Federal Register version (74 FR 21037)
34-59845
April 29, 2009
SR-OCC-2009-08
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Stock as Margin Comments Due: Federal Register version (74 FR 21039)
34-59846
April 29, 2009
SR-NYSEArca-2009-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.76A Order Execution-OX Comments Due: Federal Register version (74 FR 21033)
34-59843
April 29, 2009
SR-NASDAQ-2009-035
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 21046)
34-59834
April 28, 2009
SR-NYSEAmex-2009-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rules 1000, 60 and 123C To Be More Consistent With the Trading Characteristics of Securities Traded on NYSE Amex Comments Due: Federal Register version (74 FR 20764)
34-59835
April 28, 2009
SR-NYSEArca-2009-30
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Adoption of Listing Standards for Managed Trust Securities and the Listing and Trading of Shares of the iShares Diversified Alternatives Trust Comments Due: Rel. No. 34-60064 Federal Register version (74 FR 21041)
34-59838
April 28, 2009
SR-NYSEArca-2009-36
Notice of Filing of Proposed Rule Change Relating to NYSE Arca Equities Rule 7.10 Governing Clearly Erroneous Executions Comments Due: Federal Register version (74 FR 20767)
34-59836
April 28, 2009
SR-FINRA-2009-011
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend the Panel Composition Rules of the Code of Arbitration Procedure for Industry Disputes Comments Due: Rel. No. 34-60061 Federal Register version (74 FR 20519)
34-59825
April 27, 2009
SR-NYSEAmex-2009-15
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending Rule 935NY-Order Exposure Requirements Comments Due: Rel. No. 34-59956 Federal Register version (74 FR 20771)
34-59823
April 27, 2009
SR-NYSE-2009-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending the Exchange's Timely Alert Policy Comments Due: Federal Register version (74 FR 20516)
34-59822
April 27, 2009
SR-NASDAQ-2009-034
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying Rule 7050 Governing Pricing for The NASDAQ Options Market ("NOM") Comments Due: Federal Register version (74 FR 20514)
34-59819
April 23, 2009
SR-SCCP-2009-02
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 20773)
34-59818
April 23, 2009
SR-BSECC-2009-03
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 20774)
34-59816
April 23, 2009
SR-NYSEAmex-2009-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rules 15 and 123C Regarding the Operation of Its NYSE Amex Order Imbalance Information Service To Modify the Reference Price at Which the Exchange Reports the Order Imbalance Information and Clarify What Information Is Included and Excluded From the Order Imbalance Information Reports Comments Due: Federal Register version (74 FR 19614)
34-59815
April 23, 2009
SR-NYSE-2009-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rules 15 and 123C Regarding the Operation of Its NYSE Order Imbalance Information Service To Modify the Reference Price at Which the Exchange Reports the Order Imbalance Information and Clarify What Information Is Included and Excluded From the Order Imbalance Information Reports Comments Due: Federal Register version (74 FR 19609)
34-59814
April 23, 2009
SR-MSRB-2009-04
Notice of Filing of Proposed Rule Change Relating to the Voluntary Submission of Continuing Disclosure Documents to Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA) Comments Due: View Received Comments Rel. No. 34-60033 Federal Register version (74 FR 19612)
34-59808
April 21, 2009
SR-NYSEArca-2009-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fee Change Comments Due: Federal Register version (74 FR 19253)
34-59804
April 21, 2009
SR-BX-2009-020
Notice of Filing of Proposed Rule Change Regarding Market Maker Obligations Comments Due: Rel. No. 34-60026 Federal Register version (74 FR 19256)
34-59807
April 21, 2009
SR-NASDAQ-2009-036
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing Comments Due: Federal Register version (74 FR 19251)
34-59806
April 21, 2009
SR-ISE-2009-19
Notice of Filing and Immediate Effectiveness by International Securities Exchange, LLC of a Proposed Rule Change To Amend Exchange Rules Related to Confirmations to Customers Comments Due: Federal Register version (74 FR 19254)
34-59805
April 21, 2009
SR-FINRA-2009-027
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Non-Substantive, Technical Changes to FINRA Trade Reporting Rules Upon Implementation of SR-FINRA-2008-011 Comments Due: Federal Register version (74 FR 19249)
34-59799
April 20, 2009
SR-NYSEAmex-2009-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules 13, 902, 903, 904, 905 and 906 To Eliminate Certain Order Types From the Off-Hours Trading Facility Comments Due: Federal Register version (74 FR 19257)
34-59790
April 20, 2009
SR-NYSEArca-2009-32
Notice of Filing of Proposed Rule Change Implementing the NYSE Arca Realtime Reference Prices Service on a Permanent Basis Comments Due: Rel. No. 34-60002 Federal Register version (74 FR 18758)
34-59791
April 20, 2009
SR-NYSE-2009-42
Notice of Filing of Proposed Rule Change Implementing NYSE Realtime Reference Price Service on a Permanent Basis Comments Due: Rel. No. 34-60004 Federal Register version (74 FR 18755)
34-59793
April 20, 2009
SR-CBOE-2009-024
Notice of Filing of a Proposed Rule Change Related to Its Obvious Error Rules Comments Due: Rel. No. 34-59981 Federal Register version (74 FR 18762)
34-59782
April 17, 2009
SR-BATS-2009-009
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 18767)
34-59781
April 17, 2009
SR-NYSEArca-2009-28
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Listing and Trading of Shares of the ETFS Silver Trust Comments Due: Federal Register version (74 FR 18771)
34-59786
April 17, 2009
SR-NASDAQ-2009-033
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish InterACT, a New Service, and Related Fees. Comments Due: View Received Comments Federal Register version (74 FR 18769)
34-59784
April 17, 2009
SR-FINRA-2009-019
Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 1010 (Electronic Filing Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-60348 Federal Register version (74 FR 18779)
34-59788
April 17, 2009
SR-FINRA-2007-024
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments Involving Best Execution and Interpositioning Comments Due: Rel. No. 34-60635 Federal Register version (74 FR 18777)
34-59778
April 16, 2009
SR-NYSEAmex-2009-12
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC 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 18597)
