Notice

Release Number SEC Issue Date File Number Details
34-57011 SR-Amex-2007-25 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Allow Registered Options Traders to Quote Remotely From Off the Amex's Trading Floor on a Limited Basis
Comments Due: January 18, 2008
See Also - Rel. No. 34-57248
Federal Register version (72 FR 73910)
34-57016 SR-Amex-2006-31 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Annual Shareholder Meeting Requirements
Comments Due: January 18, 2008
See Also - Rel. No. 34-57268
Federal Register version (72 FR 73911)
34-57022 SR-Amex-2007-138 Notice of Filing of Proposed Rule Change To Establish a New Class of Off Floor Market Makers in ETFs Called Designated Amex Remote Traders
Comments Due: January 22, 2008
See Also - Rel. No. 34-57241
Federal Register version (72 FR 74375)
34-57007 SR-CHX-2007-17 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Elimination of Provisions Relating to Rule 10a-1
Comments Due: January 18, 2008
Federal Register version (72 FR 73926)
34-57018 SR-Phlx-2007-68 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Customized U.S. Dollar-Settled Foreign Currency Options
Comments Due: January 22, 2008
See Also - Rel. No. 34-57265
Federal Register version (72 FR 74392)
34-57017 SR-NYSEArca-2007-108 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Trade Shares of 11 Funds of the ProShares Trust Pursuant to Unlisted Trading Privileges
Comments Due: January 18, 2008
Federal Register version (72 FR 73955)
34-57000 SR-NYSE-2007-101 Notice of Filing of a Proposed Amendment to NYSE Rule 104.21 ("Specialist Organizations-Additional Capital Requirements")
Comments Due: January 18, 2008
See Also - Rel. No. 34-57272
Federal Register version (72 FR 73947)
34-57003 SR-NYSE-2007-112 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 15 (ITS and Pre-Opening Applications)
Comments Due: January 18, 2008
Federal Register version (72 FR 73949)
34-57006 SR-NYSE-2007-116 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the New York Stock Exchange LLC Relating to NYSE Rule 300 (Trading Licenses)
Comments Due: January 18, 2008
Federal Register version (72 FR 73951)
34-57009 SR-NYSE-2007-108 Notice of Filing and Immediate Effectiveness of Proposed Change To Exchange Rule 325 Relating to Financial Responsibility Requirements of Member Organizations
Comments Due: January 18, 2008
Federal Register version (72 FR 73953)
34-57001 SR-NASDAQ-2007-099 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fee for Registering and Transferring Registration of Associated Persons
Comments Due: January 22, 2008
View Received Comments
Federal Register version (72 FR 74385)
34-57002 SR-MSRB-2007-07 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule G-14, Reports of Sales or Purchases, to Extend the Expiration Date of the Three-Hour Exception to the Fifteen-Minute Reporting Deadline
Comments Due: January 18, 2008
Federal Register version (72 FR 73939)
34-57004 SR-MSRB-2007-06 Notice of Filing of Proposed Rule Change Relating to an Amendment to the Municipal Securities Information Library System To Establish a Pilot System for Consolidated Dissemination of Disclosure Documents and Related Information Through an Internet-Based Public Access Portal
Comments Due: January 18, 2008
View Received Comments
Federal Register version (72 FR 73941)
34-57014 SR-ISE-2007-111 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To List and Trade Options on the iShares MSCI Mexico Index Fund
Comments Due: January 18, 2008
Federal Register version (72 FR 73934)
34-57015 SR-ISE-2007-117 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendment of the Exchange's Amended and Restated Constitution
Comments Due: January 18, 2008
Federal Register version (72 FR 73936)
34-57019 SR-ISE-2007-120 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 710, Minimum Trading Increments
Comments Due: January 18, 2008
Federal Register version (72 FR 73937)
34-57021 SR-ISE-2007-116 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Open the Exchange's Equity Trading Platform at 9 a.m.
Comments Due: January 22, 2008
Federal Register version (72 FR 74373)
34-57010 SR-FINRA-2007-020 Notice of Filing of Proposed Rule Change To Create Exception to Principal Approval Requirements for Certain Filed Sales Material
Comments Due: January 18, 2008
View Received Comments
See Also - Rel. No. 34-57257
Federal Register version (72 FR 73928)
34-57020 SR-FINRA-2007-012 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Amend Trade Reporting Rules to Require Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA
Comments Due: January 18, 2008
View Received Comments
See Also - Rel. No. 34-59905
Federal Register version (72 FR 73930)
34-57005 SR-CBOE-2007-122 Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Amending Its Obvious Error Rule for Options on Indices, ETFs, and HOLDRS
Comments Due: January 18, 2008
See Also - Rel. No. 34-57286
Federal Register version (72 FR 73919)
34-57012 SR-CBOE-2007-03 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Amending its Obvious Error Rule for Options on Indices, ETFs, and HOLDRS
Comments Due: January 18, 2008
See Also - Rel. No. 34-57355
Federal Register version (72 FR 73921)
34-57013 SR-CBOE-2007-140 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to List and Trade Options on Shares of the iShares MSCI Mexico Index Fund
Comments Due: January 18, 2008
Federal Register version (72 FR 73923)
34-56998 SR-Amex-2007-104 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of Eleven Funds of the ProShares Trust
Comments Due: January 17, 2008
Federal Register version (72 FR 73404)
34-56991 SR-OCC-2007-15 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cleared Contracts Carried in a Proprietary Account
Comments Due: January 17, 2008
Federal Register version (72 FR 73401)
34-56992 SR-ISE-2007-119 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendment of International Securities Exchange Holdings, Inc.'s Certificate of Incorporation and Trust Agreement
Comments Due: January 18, 2008
Federal Register version (72 FR 73932)
34-56993 SR-CBOE-2007-104 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Range Options
Comments Due: January 18, 2008
See Also - Rel. No. 34-57376
Federal Register version (72 FR 73913)
34-56982 SR-Amex-2007-79 Notice of Filing of Proposed Rule Change as Modified by Amendments No. 1 and 2 Relating to Independent Directors and Audit Committee Members
Comments Due: January 17, 2008
See Also - Rel. No. 34-57393
Federal Register version (72 FR 73386)
34-56983 SR-NYSEArca-2007-128 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the iShares MSCI Japan Small Cap Index Fund
Comments Due: January 17, 2008
Federal Register version (72 FR 73394)
34-56987 SR-NYSEArca-2007-119 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade the BearLinxSM
Comments Due: January 17, 2008
Federal Register version (72 FR 73397)
34-56984 SR-NYSE-2007-110 Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Amend Listing Fees for Structured Products, Short-Term Securities, and Debt Securities
Comments Due: January 17, 2008
See Also - Rel. No. 34-57223
Federal Register version (72 FR 73392)
34-56985 SR-NASDAQ-2007-098 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Trading of Certain Securities Outside of the Regular Market Session
Comments Due: January 17, 2008
Federal Register version (72 FR 73388)
34-56977 SR-CBOE-2007-148 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Equity Options Obvious Error Rule
Comments Due: January 16, 2008
Federal Register version (72 FR 73052)
34-56974 SR-Amex-2007-132 Statement of Policy for Section 19 of the Federal Deposit Insurance Act
File Nos.: SR-Amex-2007-132, SR-NYSE-2008-01 Comments Due: January 11, 2008
See Also - Rel. No. 34-57181
Federal Register version (73 FR 5270)
34-56976 SR-NYSE-2007-98 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Reduce From Six Months to Three Months the Period for Which a Company's Average Global Market Capitalization Must Exceed the Levels Established by the Exchange's Pure Valuation/Revenue Test
Comments Due: January 16, 2008
See Also - Rel. No. 34-57239
Federal Register version (72 FR 73055)
34-56973 SR-ISE-2007-109 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Rule 2213, Market Maker Trading Licenses
Comments Due: January 11, 2008
See Also - Rel. No. 34-57182
Federal Register version (72 FR 72808)
34-56968 SR-NYSE-2007-114 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to NYSE Rule 92 and Riskless Principal Trading at the Exchange
Comments Due: January 10, 2008
Federal Register version (72 FR 72432)
34-56971 SR-CBOE-2007-106 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Relating to CBOE Rules Governing Doing Business With the Public
Comments Due: January 11, 2008
View Received Comments
See Also - Rel. No. 34-56492
Federal Register version (72 FR 72804)
34-56959 SR-Amex-2007-46 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Require Specialists To Yield Orally Agreed Upon Proprietary Trades to Later-Arriving Customer System Orders
Comments Due: January 10, 2008
Federal Register version (72 FR 72421)
34-56956 SR-ISE-2007-110 Notice of Filing of Proposed Rule Change Relating to the $1 Strike Pilot Program
Comments Due: January 9, 2008
See Also - Rel. No. 34-57169
Federal Register version (72 FR 71986)
34-56957 SR-ISE-2007-115 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Historical ISE Open/Close Trade Profile Fees
Comments Due: January 9, 2008
Federal Register version (72 FR 71988)
34-56960 SR-ISE-2007-118 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Fee Changes
Comments Due: January 10, 2008
Federal Register version (72 FR 72429)
34-56947 SR-Amex-2007-134 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Commentary .10 to Amex Rule 584 To Delete the Reference to the Weekly Bulletin
Comments Due: January 10, 2008
Federal Register version (72 FR 72419)
34-56948 SR-BSE-2007-52 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
Comments Due: January 10, 2008
Federal Register version (72 FR 72426)
34-56953 SR-NYSE-2007-115 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 2 ("Member," "Membership," "Member Firm," etc.)
Comments Due: January 9, 2008
Federal Register version (72 FR 71990)
34-56949 SR-OPRA-2007-03 Notice of Filing and Order Approving on a Temporary Basis Not To Exceed 120 Days a Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information, as Modified by Amendment No. 1 Thereto, To Modify Various Provisions of the OPRA Plan and the OPRA Fee Schedule To Reflect the Elimination of Separate Fees for Access to Market Data Concerning Certain Foreign Currency Options
Comments Due: January 8, 2008
See Also - Release No. 34-57230
Federal Register version (72 FR 71720)
34-56950 SR-OPRA-2007-04 Notice of Filing and Immediate Effectiveness of Proposed Amendment To Revise OPRA's Fee Schedule
Comments Due: January 8, 2008
Federal Register version (72 FR 71722)
34-56952 SR-NASDAQ-2007-097 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Trade the Shares of 45 Funds of the Rydex ETF Trust Based on Numerous Domestic Securities Indexes Pursuant to Unlisted Trading Privileges
Comments Due: January 11, 2008
Federal Register version (72 FR 72809)
34-56943 SR-CBOE-2007-133 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Class Quoting Limits
Comments Due: January 8, 2008
Federal Register version (72 FR 71726)
34-56940 SR-NASDAQ-2007-095 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the Nasdaq Market Center
Comments Due: January 8, 2008
Federal Register version (72 FR 71727)
34-56936 SR-FINRA-2007-022 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA's NYSE Rule 342.13 and the General Securities Principal Examination
Comments Due: January 7, 2008
Federal Register version (72 FR 71467)
34-56937 SR-CBOE-2007-127 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Cancellation Fees
Comments Due: January 7, 2008
Federal Register version (72 FR 71465)
34-56928 SR-Amex-2007-133 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce Certain Clearing Fees
Comments Due: January 3, 2008
Federal Register version (72 FR 70909)
34-56931 SR-OCC-2007-07 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Yield-Based Treasury Securities
Comments Due: January 7, 2008
Federal Register version (72 FR 71464)
34-56924 SR-NYSEArca-2007-98 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Definition of and Listing Standards for Equity-Linked Notes under NYSE Arca Equities Rules 5.1(b)(14) and 5.2(j)(2)
Comments Due: January 3, 2008
Federal Register version (72 FR 70918)
34-56932 SR-NYSEArca-2007-112 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to List and Trade Shares of the iShares S&P GSCI Commodity-Indexed Trust
Comments Due: January 4, 2008
Federal Register version (72 FR 71178)
34-56926 SR-OPRA-2007-05 Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Adopt New Form of Rider to OPRA's Vendor Agreement for Use by Television Companies T
Comments Due: January 3, 2008
See Also - Release No. 34-57233
Federal Register version (72 FR 70907)
34-56929 SR-NASDAQ-2007-086 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Step-Outs and Transfers of Sales Fees
Comments Due: January 4, 2008
Federal Register version (72 FR 71176)
34-56925 SR-CBOE-2007-141 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE Rule 2.1 Relating to the Appointment of the Chairman and Members of CBOE's Business Conduct Committee
Comments Due: January 3, 2008
Federal Register version (72 FR 70911)
34-56927 SR-CBOE-2007-145 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Hybrid Electronic Quoting Fee
Comments Due: January 3, 2008
Federal Register version (72 FR 70912)
34-56918 SR-NYSEArca-2007-125 Notice of Filing of Proposed Rule Change Relating to the Continued Listing Standards for Equity Index-Linked Securities
Comments Due: January 2, 2008
See Also - Rel. No. 34-57132
Federal Register version (72 FR 70635)
34-56920 SR-NYSE-2007-111 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Rule 48 Permitting the Exchange to Declare an Extreme Market Volatility Condition
Comments Due: January 3, 2008
Federal Register version (72 FR 70915)
34-56919 SR-ISE-2007-114 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes
Comments Due: January 3, 2008
Federal Register version (72 FR 70914)
34-56923 SR-CBOE-2007-146 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for the CBOE Stock Exchange
Comments Due: January 3, 2008
Federal Register version (72 FR 70910)
34-56901 SR-Amex-2007-20 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Related To Amending Complex Orders Procedures
Comments Due: January 2, 2008
See Also - Rel. No. 34-57160
Federal Register version (72 FR 70625)
34-56899 SR-NYSEArca-2007-120 Notice of Filing of a Proposed Rule Change Relating to Restrictions on Acting as Market Makers and Floor Broker
Comments Due: January 2, 2008
See Also - Rel. No. 34-57158
Federal Register version (72 FR 70367)
34-56906 SR-NYSEArca-2007-103 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Initial Listing Standards for Other Securities
Comments Due: January 2, 2008
Federal Register version (72 FR 70636)
34-56907 SR-NYSEArca-2007-122 Notice of Filing of Proposed Rule Change Relating to Certain Modifications to the Initial Listing Standards for Index-Linked Securities
Comments Due: January 2, 2008
See Also - Rel. No. 34-57149
Federal Register version (72 FR 70640)
34-56908 NYSEArca-2007-121 Notice of Filing of Proposed Rule Change Relating to Rule 6.37B and the Quoting Obligations of Lead Market Makers
Comments Due: January 2, 2008
See Also - Rel. No. 34-57186
Federal Register version (72 FR 70639)
34-56904 SR-CTA-2007-02 Notice of Filing of the Eleventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan
Comments Due: January 2, 2008
See Also - Release No. 34-57113
Federal Register version (72 FR 70621)
34-56905 SR-NASDAQ-2007-087 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments Due: January 16, 2008
Federal Register version (72 FR 73053)
34-56910 SR-NASDAQ-2007-071 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to Generic Listing and Trading Rules for Securities Linked to the Performance of Indexes, Commodities, and Currencies
Comments Due: January 2, 2008
Federal Register version (72 FR 70628)
34-56898 SR-Amex-2007-124 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Linkage Orders
File Nos.: SR-Phlx-2007-88, SR-NYSEArca-2007-116, SR-ISE-2007-108, SR-CBOE-2007-144, SR-BSE-2007-50, SR-Amex-2007-124 Comments Due: January 2, 2008
Federal Register version (72 FR 70354)
34-56890 SR-NSX-2007-13 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Market Data and Liquidity Provider Rebate Programs for Transactions Through NSX BLADE
Comments Due: January 2, 2008
Federal Register version (72 FR 70360)
34-56894 SR-NYSE-2007-107 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Exchange's NYSE BondsSM
Comments Due: January 2, 2008
Federal Register version (72 FR 70362)
34-56895 SR-NYSE-2007-109 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the NYSE Rule 98 Guidelines for Approved Persons Associated With a Specialist's Member Organization
Comments Due: January 2, 2008
Federal Register version (72 FR 70363)
34-56893 4-429 Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 25 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage, and Notice of Filing of Such Amendment
Comments Due: January 2, 2008
View Received Comments
See Also - Release Nos. 34-57238, Release Nos. 34-56806, 34-56780, 34-56605, 34-56596, and 34-55744, and 34-55436
Federal Register version (72 FR 70353)
34-56889 SR-BSE-2007-49 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Position and Exercise Limits
Comments Due: December 31, 2007
Federal Register version (72 FR 69720)
34-56883 SR-NSX-2007-11 Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto, To Modify Rebate Programs for Automatic Execution Transactions in Certain Designated ETFs
Comments Due: December 28, 2007
Federal Register version (72 FR 69269)
34-56881 SR-Phlx-2007-72 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 3 and 4 Thereto, Relating to Delisting Securities Underlying Low ADV Options
Comments Due: December 28, 2007
Federal Register version (72 FR 69276)
34-56885 SR-NYSEArca-2007-123 Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Relating to the Extension of the Pilot Program for Initial and Continued Financial Listing Standards for Common Stock of Operating Companies Until May 31, 2008
Comments Due: December 28, 2007
Federal Register version (72 FR 69272)
34-56888 SR-NYSEArca-2007-124 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Closing Auction Time for Exchange Traded Funds
Comments Due: January 2, 2008
Federal Register version (72 FR 70366)
34-56873 SR-CBOT-2007-01 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to the Renumbering and Reorganization of Rules Relating to Listing Standards for Security Futures Products
Comments Due: December 28, 2007
Federal Register version (72 FR 69262)
34-56870 SR-NYSE-2007-105 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Charged to Member Organizations for the Use of the On-Line Comparison System
Comments Due: December 27, 2007
Federal Register version (72 FR 68934)
34-56876 SR-NASDAQ-2007-068 Notice of Filing of Amendment No. 2 to a Proposed Rule Change To Amend the Limited Liability Company Agreement of The NASDAQ Stock Market LLC; and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment Nos. 1 and 2
Comments Due: January 2, 2008
See Also - Rel. No. 34-56581
Federal Register version (72 FR 70357)
34-56871 SR-ISE-2007-87 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Criteria for Securities That Underlie Options Traded on the Exchange
Comments Due: December 27, 2007
Federal Register version (72 FR 68924)
34-56861 SR-Amex-2007-127 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Conforming Changes to Amex Rules Relating to the Amex Book Clerk Program
Comments Due: December 27, 2007
Federal Register version (72 FR 68909)
34-56868 SR-Amex-2007-125 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Riskless Principal and Other Exceptions to Amex Rules Prohibiting Members' Proprietary Trading While in Possession of Like or Better-Priced Customer Orders
Comments Due: December 27, 2007
Federal Register version (72 FR 68911)
34-56865 SR-NSCC-2007-06 Notice of Filing of Proposed Rule Change To Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them With Similar Rules of Its Affiliates
Comments Due: December 21, 2007
See Also - Rel. No. 34-57404
Federal Register version (72 FR 68930)
34-56867 SR-NASDAQ-2007-065 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform SRO Rules to Changes to Rule 10a-1 and Regulation SHO
Comments Due: December 28, 2007
Federal Register version (72 FR 69263)
34-56866 SR-ISE-2007-102 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Permit Trading of Shares of 93 Funds of the ProShares Trust Pursuant to Unlisted Trading Privileges
Comments Due: December 27, 2007
Federal Register version (72 FR 68926)
34-56864 SR-FICC-2007-06 Notice of Filing of Proposed Rule Change To Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them With Similar Rules of Its Affiliates
Comments Due: December 21, 2007
See Also - Rel. No. 34-57405
Federal Register version (72 FR 68922)
34-56863 SR-DTC-2007-06 Notice of Filing of Proposed Rule Change To Amend the Hearing Procedures Afforded to an Interested Person and Harmonize Them With Similar Rules of Its Affiliates
Comments Due: December 21, 2007
See Also - Rel. No. 34-57406
Federal Register version (72 FR 68920)
34-56862 SR-CBOE-2007-135 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Transaction Fee Waiver for Options on the Mini-SPX
Comments Due: December 27, 2007
Federal Register version (72 FR 68918)
34-56853 SR-Amex-2007-94 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Notes Linked to the Performance of the CBOE S&P 500 PutWrite Index (PUTSM
Comments Due: December 21, 2007
See Also - Rel. No. 34-57057
Federal Register version (72 FR 68914)
34-56856 SR-OCC-2007-13 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Delayed Start Options
Comments Due: December 27, 2007
Federal Register version (72 FR 68937)
34-56851 SR-NYSE-2007-106 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Exchange Rule 103A(a)(3) To Address Changes in the Way the Exchange Delivers Education Programs to its Members and To Clarify That the Mandatory Education Requirement Applies to All Individuals Qualified To Use a Trading License
Comments Due: December 27, 2007
Federal Register version (72 FR 68932)
34-56858 SR-NYSE-2007-103 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 124 (Odd-Lot Orders)
Comments Due: December 27, 2007
Federal Register version (72 FR 68935)
34-56852 SR-CBOE-2007-139 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for Trading on the FLEX Hybrid Trading System
Comments Due: December 27, 2007
Federal Register version (72 FR 68226)
34-56850 SR-Amex-2007-123 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No.1 Thereto, To Send P/A Orders Through Linkage Prior to the Opening of Trading
Comments Due: December 26, 2007
Federal Register version (72 FR 68225)
34-56845 SR-OCC-2007-14 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Descriptions of OCC's Assignment Procedures
Comments Due: December 21, 2007
Federal Register version (72 FR 67991)