34-59722
April 7, 2009
SR-FINRA-2009-022
Notice on the FINRA Rule 9520 Series (Eligibility Proceedings) Comments Due: Federal Register version (74 FR 17267)
34-59709
April 6, 2009
SR-BATS-2009-008
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 16899)
34-59715
April 6, 2009
SR-NYSEAmex-2009-08
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing a New Transaction Fee for Floor Brokers Comments Due: Federal Register version (74 FR 17242)
34-59714
April 6, 2009
SR-CHX-2009-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits Comments Due: Federal Register version (74 FR 17264)
34-59710
April 6, 2009
SR-NYSE-2009-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Revised Liquidity Credits for Supplemental Liquidity Providers Comments Due: Federal Register version (74 FR 17241)
34-59706
April 6, 2009
SR-NASDAQ-2009-029
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 16903)
34-59712
April 6, 2009
SR-NASDAQ-2009-028
Notice of Filing of Proposed Rule Change To Reduce Fees for NASDAQ Basic Data Feeds Comments Due: Rel. No. 34-59933 Federal Register version (74 FR 17273)
34-59713
April 6, 2009
SR-FINRA-2009-024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting Transfers of Proprietary Securities Positions in Connection With Certain Corporate Control Transactions Comments Due: Federal Register version (74 FR 17271)
34-59704
April 3, 2009
SR-Phlx-2009-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Options Transactions Charge for Customer Executions and To Remove the Per Trade Per Side Fee Cap in U.S. Dollar-Settled Foreign Currency Options Comments Due: Federal Register version (74 FR 16434)
34-59705
April 3, 2009
SR-Phlx-2009-28
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Option Floor Broker Subsidy Comments Due: Federal Register version (74 FR 16906)
34-59701
April 3, 2009
SR-ISE-2009-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Quoting Obligations of Second Market Competitive Market Makers Comments Due: Federal Register version (74 FR 16247)
34-59697
April 2, 2009
SR-Phlx-2009-23
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto To Amend the By-Laws, Rules and Option Floor Procedure Advices of NASDAQ OMX PHLX, Inc. Comments Due: Rel. No. 34-59924 Federal Register version (74 FR 16249)
34-59691
April 2, 2009
SR-ISE-2009-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, LLC Relating to Amending the Fee Schedule Comments Due: Federal Register version (74 FR 16023)
34-59692
April 2, 2009
SR-ISE-2009-17
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, LLC Relating to Amending the Direct Edge ECN Fee Schedule Applicable to International Securities Exchange Members Comments Due: Federal Register version (74 FR 16024)
34-59696
April 2, 2009
SR-FINRA-2009-020
Notice of Filing of Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws Comments Due: Rel. No. 34-59962 Federal Register version (74 FR 16020)
34-59690
April 2, 2009
SR-CBOE-2009-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Cancellation Fees Comments Due: Federal Register version (74 FR 16243)
34-59694
April 2, 2009
SR-CBOE-2009-023
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 16245)
34-59685
April 1, 2009
SR-NYSEAmex-2009-04
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Modify Its Annual Report Distribution Requirements Comments Due: Federal Register version (74 FR 16031)
34-59669
April 1, 2009
SR-Phlx-2009-24
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Increasing Linkage Inbound Principal Orders and Principal Acting as Agent Orders Comments Due: Rel. No. 34-59891 Federal Register version (74 FR 16026)
34-59675
April 1, 2009
SR-OCC-2009-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Flexibly Structured Options Comments Due: Federal Register version (74 FR 15794)
34-59677
April 1, 2009
SR-NYSE-2009-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Transaction Fees for the New York Block Exchange Comments Due: Federal Register version (74 FR 15800)
34-59681
April 1, 2009
SR-NYSE-2009-37
Notice of Filing of Proposed Rule Change Implementing a Cap on Vendors' Administrative Charges for NYSE OpenBook Comments Due: Rel. No. 34-59898 Federal Register version (74 FR 16017)
34-59684
April 1, 2009
SR-NYSE-2009-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Extend Until August 31, 2009, the Application of the NYSE Arca Transfer Standard Comments Due: Federal Register version (74 FR 16029)
34-59682
April 1, 2009
SR-BX-2009-018
Notice of Filing of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System Comments Due: Federal Register version (74 FR 16015)
34-59673
April 1, 2009
SR-NASDAQ-2009-031
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules Comments Due: Federal Register version (74 FR 16027)
34-59679
April 1, 2009
SR-ISE-2007-97
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Market Data Fees Comments Due: Rel. No. 34-59949 Federal Register version (74 FR 15795)
34-59680
April 1, 2009
SR-ISE-2009-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of "Primary Market" Comments Due: Federal Register version (74 FR 15788)
34-59672
April 1, 2009
SR-FINRA-2009-013
Notice of Filing of Proposed Rule Change To Amend the Tolling Provisions in Rules 12206 and 13206 of the Codes of Arbitration Procedure for Customer and Industry Disputes Comments Due: View Received Comments Rel. No. 34-59906 Federal Register version (74 FR 15806)
34-59676
April 1, 2009
SR-CBOE-2009-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Close of Trading Hours on the Last Day of Trading in Expiring Quarterly Index Expirations Comments Due: View Received Comments Federal Register version (74 FR 16018)
34-59658
March 31, 2009
SR-NYSEAmex-2009-01
Notice of Filing and Immediate Effectiveness 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 15569)
34-59660
March 31, 2009
SR-NYSEAmex-2009-03
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Deleting Rule 936C, Cancellation and Adjustment of Index Option Transactions Comments Due: Federal Register version (74 FR 15802)
34-59665
March 31, 2009
SR-NYSEAmex-2009-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending 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 15804)
34-59664
March 31, 2009
SR-OCC-2009-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Commodity Options Comments Due: Federal Register version (74 FR 15789)
34-59662
March 31, 2009
SR-NYSEArca-2009-25
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 2 Thereto To Extend the Pilot Program for NYSE Arca Realtime Reference Prices Service Comments Due: Federal Register version (74 FR 15571)
34-59659
March 31, 2009
SR-NYSE-2009-36
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending to September 1, 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 (74 FR 15538)
34-59666
March 31, 2009
SR-NYSE-2009-35
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 15792)
34-59661
March 31, 2009
SR-NASDAQ-2009-026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market Through July 19, 2009 Comments Due: Federal Register version (74 FR 15561)
34-59663
March 31, 2009
SR-NASDAQ-2009-018
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions and Restructuring of the NASDAQ Listing Rules Comments Due: View Received Comments Exhibit 5 Federal Register version (74 FR 15552)
34-59667
March 31, 2009
SR-CBOE-2009-022
Notice of Filing of Proposal To List and Trade S&P 500 Dividend Index Options Comments Due: View Received Comments Rel. No. 34-61136 Federal Register version (74 FR 15528)
34-59656
March 30, 2009
SR-NYSEALTR-2009-26
Notice of Filing of Proposed Rule Change by NYSE Alternext US LLC, as Modified by Amendment No. 1, Changing Certain NYSE Amex Equities Rules To Conform Them With Changes to Corresponding Rules Submitted in a Companion Filing by the New York Stock Exchange LLC Comments Due: Rel. No. 34-59975 Federal Register version (74 FR 15540)
34-59650
March 30, 2009
SR-NYSEArca-2009-24
Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. To Adopt a Policy With Respect to the Treatment of Aberrant Trades Comments Due: Rel. No. 34-59937 Federal Register version (74 FR 15545)
34-59651
March 30, 2009
SR-NYSEArca-2009-22
Notice of Filing of Proposed Rule Change To List and Trade Shares of the Grail American Beacon Large Cap Value ETF Comments Due: Rel. No. 34-59826 Federal Register version (74 FR 15548)
34-59653
March 30, 2009
SR-NYSE-2009-34
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Extend the Pilot Period for the NYSE Realtime Reference Prices Pilot Program Comments Due:
34-59655
March 30, 2009
SR-NYSE-2009-25
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC, as Modified by Amendment No. 2, Changing Certain NYSE Rules and Rule Interpretations To Harmonize Them With Changes to Corresponding Rules Recently Filed by the Financial Industry Regulatory Authority, Inc. Comments Due: Rel. No. 34-59965 Federal Register version (74 FR 15563)
34-59647
March 30, 2009
4-546
Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc.; Notice of Filing of Proposed Options Order Protection and Locked/Crossed Market Plan Comments Due: View Received Comments Release No. 34-60405 Federal Register version (74 FR 15010)
34-59652
March 30, 2009
SR-NASDAQ-2009-027
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Program for NASDAQ Last Sale Data Feeds and To Reduce the Monthly Cap on Fees Comments Due: Federal Register version (74 FR 15533)
34-59642
March 27, 2009
SR-NYSEAmex-2009-06
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending the Option Trading Rules in Order To Extend the Penny Pilot Program Comments Due: Federal Register version (74 FR 15568)
34-59641
March 27, 2009
SR-Phlx-2009-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Permit Fees Comments Due: Federal Register version (74 FR 15024)
34-59636
March 27, 2009
SR-MSRB-2009-02
Notice of Filing of Proposed Rule Change Relating to the Establishment of a Primary Market Disclosure Service and Trade Price Transparency Service of the Electronic Municipal Market Access System (EMMA) and Amendments to MSRB Rules G-32 and G-36 Comments Due: View Received Comments Rel. No. 34-59966 Federal Register version (74 FR 15189)
34-59643
March 27, 2009
SR-MSRB-2009-03
Notice of Filing of Proposed Rule Change Relating to the Establishment of a Pilot Phase of Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access system (EMMA) Comments Due: View Received Comments Rel. No. 34-59964 Federal Register version (74 FR 15530)
34-59631
March 26, 2009
SR-Phlx-2009-25
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Penny Pilot Program Comments Due: Federal Register version (74 FR 15022)
34-59635
March 26, 2009
SR-OCC-2009-03
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Schedule of Fees Comments Due: Federal Register version (74 FR 15573)
34-59628
March 26, 2009
SR-NYSEArca-2009-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Option Trading Rules in Order To Extend the Penny Pilot Program Comments Due: Federal Register version (74 FR 15025)
34-59629
March 26, 2009
SR-BX-2009-017
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program on the Boston Options Exchange Facility Comments Due: Federal Register version (74 FR 15021)
34-59632
March 26, 2009
SR-NASDAQ-2009-030
Notice of Filing and Immediate Effectiveness of a Proposal To Extend the Options Penny Pilot for The NASDAQ Options Market Comments Due: Federal Register version (74 FR 14829)
34-59633
March 26, 2009
SR-ISE-2009-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Penny Pilot Program Comments Due: Federal Register version (74 FR 15018)
34-59630
March 26, 2009
SR-CBOE-2009-021
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program Comments Due: View Received Comments Federal Register version (74 FR 15017)
34-59627
March 25, 2009
SR-NYSEAmex-2009-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Formally Adopting and Codifying Its Wireless Data Communications Initiatives Comments Due: Federal Register version (74 FR 16028)
34-59626
March 25, 2009
SR-NYSE-2009-33
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Wireless Data Communications Initiatives and Codifying the Wireless Policy Comments Due: Federal Register version (74 FR 14831)
34-59620
March 23, 2009
SR-NYSEALTR-2009-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of Rule 92(c)(3) From March 31, 2009 to July 31, 2009 Comments Due: Federal Register version (74 FR 14176)
34-59621
March 23, 2009
SR-NYSE-2009-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Rule 92(c)(3) From March 31, 2009 to July 31, 2009 Comments Due: Federal Register version (74 FR 14179)
34-59622
March 23, 2009
SR-FICC-2009-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Modifications Comments Due: Federal Register version (74 FR 14175)
34-59614
March 20, 2009
SR-NYSEALTR-2009-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC Amending NYSE Alternext Equities Rule 124 To Execute the Odd-Lot Portion of a Part of a Round-Lot Order Pursuant to the Same Pricing Methodology Used for Odd-Lot Orders Comments Due: Federal Register version (74 FR 13501)
34-59611
March 20, 2009
SR-Phlx-2009-22
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Administration of Certain Rules in Respect of Index Data Dissemination Comments Due: Federal Register version (74 FR 13498)
34-59609
March 20, 2009
SR-NYSEArca-2009-23
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.47 To Remove Obsolete Text Related to the SizeQuote Pilot Program Comments Due: Federal Register version (74 FR 13503)
34-59617
March 20, 2009
SR-NYSEArca-2009-19
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 6.37A-Obligations of Market Makers-OX Comments Due: Federal Register version (74 FR 13505)
34-59613
March 20, 2009
SR-NYSE-2009-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 124 To Execute the Odd-Lot Portion of a Part of a Round-Lot Order Pursuant to the Same Pricing Methodology Used for Odd-Lot Orders Comments Due: View Received Comments Federal Register version (74 FR 13486)
34-59610
March 20, 2009
SR-NASDAQ-2009-023
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading the Two-Character Ticker Symbol "UG" Comments Due: Federal Register version (74 FR 13290)
34-59616
March 20, 2009
SR-FINRA-2009-008
Notice of Filing of Proposed Rule Change Relating to Proposed Changes to Forms U4 and U5 Comments Due: View Received Comments Rel. No. 34-59916 Federal Register version (74 FR 13491)
34-59612
March 20, 2009
SR-DTC-2009-06
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Amend Certificate of Incorporation To Increase Preferred Shares Issuance Comments Due: Federal Register version (74 FR 13488)
34-59603
March 19, 2009
SR-NYSEArca-2009-21
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.62 To Provide Additional Order Types Comments Due: Federal Register version (74 FR 13279)
34-59608
March 19, 2009
SR-NYSE-2009-31
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending the Listed Company Manual Section 902.08 To Establish an Initial Listing Fee and an Annual Listing Fee for Securities Listed Under Section 102.03 and Traded on the NYSE Bonds System Comments Due: Rel. No. 34-59844 Federal Register version (74 FR 13278)
34-59607
March 19, 2009
SR-NSCC-2009-02
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Tiered Trade Netting Fee Comments Due: Federal Register version (74 FR 13292)
34-59602
March 19, 2009
SR-MSRB-2009-01
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Electronic Municipal Market Access System Pilot Comments Due: View Received Comments Federal Register version (74 FR 13289)
34-59600
March 19, 2009
SR-ISE-2009-09
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 623 (Communications to Customers) Comments Due: Federal Register version (74 FR 13286)
34-59605
March 19, 2009
SR-FINRA-2008-055
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rule 2114 (Recommendations to Customers in OTC Equity Securities) in the Consolidated FINRA Rulebook Comments Due: Rel. No. 34-59075 Federal Register version (74 FR 13283)
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)
