34-59369
Feb. 6, 2009
SR-NASDAQ-2008-097
Order Data Recordation Requirements for Registered Options Market Makers Comments Due: View Received Comments Rel. No. 34-59163 Federal Register version (74 FR 7278)
34-59370
Feb. 6, 2009
SR-NASDAQ-2008-101
Order Approving 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. 34-59149 Federal Register version (74 FR 7276)
34-59361
Feb. 5, 2009
4-518
Order Approving Amendment To Add the BATS Exchange, Inc. as Participant to National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS Federal Register version (74 FR 6925)
34-59358
Feb. 4, 2009
SR-FINRA-2008-051
Order Approving Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure To Require Arbitrators To Provide an Explained Decision Upon the Joint Request of the Parties Rel. No. 34-58862 Federal Register version (74 FR 6928)
34-59359
Feb. 4, 2009
SR-CBOE-2008-123
Order Type for CBSX Comments Due: Rel. No. 34-59147 Federal Register version (74 FR 6927)
34-59353
Feb. 3, 2009
SR-NYSEALTR-2008-12
Order Approving Proposed Rule Change To Establish the Risk Management Gateway Service Comments Due: Rel. No. 34-59144 Federal Register version (74 FR 6935)
34-59354
Feb. 3, 2009
SR-NYSE-2008-101
Order Approving Proposed Rule Change To Establish the Risk Management Gateway Service Comments Due: Rel. No. 34-59145 Federal Register version (74 FR 6683)
34-59335
Feb. 2, 2009
SR-FINRA-2008-061
Order Approving Proposed Rule Change To Adopt FINRA Rule 5240 (Anti-Intimidation/Coordination) in the Consolidated FINRA Rulebook Rel. No. 34-59119 Federal Register version (74 FR 6335)
34-59340
Feb. 2, 2009
SR-FINRA-2008-047
Order Approving Proposed Rule Change To Amend the Codes of Arbitration Procedure To Raise the Amount in Controversy Heard by a Single Chair-Qualified Arbitrator to $100,000 Rel. No. 34-58651 Federal Register version (74 FR 6335)
34-59336
Feb. 2, 2009
SR-CBOE-2008-127
Order Approving Proposal To Eliminate the $3 Underlying Price Requirement for Continued Listing and Listing of Additional Series Comments Due: View Received Comments Rel. No. 34-59152 Federal Register version (74 FR 6332)
34-59332
Jan. 30, 2009
SR-NYSEArca-2008-136
Order Approving Proposed Rule Change Amending NYSE Arca Equities Rule 5.2(j)(6) Relating to the 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. 34-59146 Federal Register version (74 FR 6338)
34-59320
Jan. 30, 2009
SR-NYSE-2008-112
Order Granting Approval of Proposed Rule Change To Discontinue Policy of Prohibiting Transfer Agents From Charging Fees for Issuing Stock Certificates Comments Due: View Received Comments Rel. No. 34-59106 Federal Register version (74 FR 6934)
34-59321
Jan. 30, 2009
SR-NSCC-2008-08
Order Granting Approval of a Proposed Rule Change To Amend Rules To Add an Agreement From Fund Members That Submit Mutual Fund Profile Information Comments Due: Rel. No. 34-59105 Federal Register version (74 FR 6933)
34-59300
Jan. 27, 2009
SR-CBOE-2008-117
Order Approving a Proposed Rule Change To Amend Exchange Rule 4.21 Relating to Third Party Deposits Comments Due: Rel. No. 34-59104 Federal Register version (74 FR 5874)
34-59281
Jan. 22, 2009
SR-NYSE-2008-120
Order Approving Proposed Rule Change Relating to the Limited Liability Company Agreement of New York Block Exchange, a Facility of NYSE Comments Due: Rel. No. 34-58970 Federal Register version (74 FR 5014)
34-59265
Jan. 16, 2009
SR-BSE-2008-36
Order Approving Proposed Rule Change Relating to Delisting Standards Rel. No. 34-58942 Federal Register version (74 FR 4790)
34-59266
Jan. 16, 2009
SR-NASDAQ-2008-016
Order Approving Proposed Rule Change To Create the Nasdaq Market Pathfinders Service and Establish Fees for the Service Comments Due: View Received Comments Rel. No. 34-58145 Federal Register version (74 FR 4799)
34-59254
Jan. 15, 2009
SR-FINRA-2008-054
Order Approving Proposed Rule Change To Adopt FINRA Rule 5280 (Trading Ahead of Research Reports) in the Consolidated FINRA Rulebook Rel. No. 34-58905 Federal Register version (74 FR 4271)
34-59250
Jan. 14, 2009
SR-ISE-2008-90
Order Approving Proposed Rule Change Relating to Alternative Primary Market Makers Comments Due: Rel. No. 34-59053 Federal Register version (74 FR 4062)
34-59238
Jan. 13, 2009
SR-NSCC-2006-17
Order Approving Proposed Rule Change To Reorganize Membership Rules and Procedures Comments Due: Rel. No. 34-58100 Federal Register version (74 FR 3661)
34-59218
Jan. 8, 2009
4-575
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Boston Stock E Comments Due: Rel. No. 34-59101 Federal Register version (74 FR 2143)
34-59214
Jan. 7, 2009
SR-NASDAQ-2008-096
Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Generic Listing Standards for Index Multiple Exchange Traded Fund Shares and Index Inverse Exchange Traded Fund Shares Comments Due: Rel. No. 34-59098 Federal Register version (74 FR 2149)
34-59212
Jan. 7, 2009
SR-MSRB-2008-07
Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Relating to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, to Establish a Transparency System for Municipal Auction Rate Securities and Municipal Variable Rate Demand Obligations Comments Due: View Received Comments Rel. No. 34-58998 Federal Register version (74 FR 1741)
34-59210
Jan. 7, 2009
SR-CBOE-2008-118
Order Granting Approval of Proposed Rule Change Related to Obvious Error Rules Comments Due: Rel. No. 34-59038 Federal Register version (74 FR 1737)
34-59203
Jan. 6, 2009
SR-NASDAQ-2008-084
Order Approving Proposed Rule Change to Require Limited Partnerships to Obtain Shareholder Approval for the Use of Equity Compensation and Make Other Clarifying Changes to the Listing Requirements for Limited Partnerships Comments Due: Rel. No. 34-59014 Federal Register version (74 FR 1743)
34-59194
Jan. 5, 2009
SR-NYSEArca-2008-135
Order Exposure Period From Three Seconds to One Second Comments Due: Rel. No. 34-59082 Federal Register version (74 FR 976)
34-59189
Dec. 31, 2008
SR-FINRA-2007-021
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes To Address Motions To Dismiss and To Amend the Eligibility Rule Related to Dismissals Rel. No. 34-57497 Federal Register version (74 FR 731)
34-59180
Dec. 30, 2008
SR-NYSEArca-2008-121
Order Approving Proposed Rule Change Amending Rule 5.2(j)(6) To Increase the Permissible Aggregate Weight of Underlying Foreign Country Securities Comments Due: Rel. No. 34-58984 Federal Register version (74 FR 754)
34-59161
Dec. 24, 2008
SR-NYSEArca-2008-118
Order Approving Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services Comments Due: Rel. No. 34-58945 Federal Register version (74 FR 488)
34-59154
Dec. 23, 2008
SR-BSE-2008-48
Order Granting an Exemption for the Boston Stock Exchange, Incorporated From Section 11A(b) of the Securities Exchange Act of 1934 Rel. No. 34-58927 Federal Register version (73 FR 80468)
34-59148
Dec. 23, 2008
SR-DTC-2008-12
Order Approving Proposed Rule Change As Amended To Increase Liquidity Resources Comments Due: Rel. No. 34-58757A Federal Register version (73 FR 80481)
34-59139
Dec. 22, 2008
SR-NYSE-2008-109
Order Approving Proposed Rule Change To Clarify Amendments to "Other Securities" Initial Listing Standards Comments Due: Rel. No. 34-58928 Federal Register version (73 FR 80490)
34-59135
Dec. 22, 2008
SR-ISE-2008-85
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Purchase by International Securities Exchange Holdings, Inc., of an Ownership Interest in Direct Edge Holdings, Inc. Comments Due: Rel. No. 34-58918 Federal Register version (73 FR 79954)
34-59134
Dec. 22, 2008
4-574
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the Financial Industry Re Rel. No. 34-59003 Federal Register version (73 FR 79943)
34-59111
Dec. 17, 2008
SR-FICC-2007-04
Order Approving a Proposed Rule Change Relating to Applicant and Member Disqualification Criteria Comments Due: View Received Comments Rel. No. 34-58128 Federal Register version (73 FR 79528)
34-59102
Dec. 15, 2008
SR-DTC-2008-11
Order Approving a Proposed Rule Change To Implement a New Service To Allow Issuers To Track and Limit the Number of Beneficial Owners for an Individual CUSIP Comments Due: View Received Comments Rel. No. 34-58436 Federal Register version (73 FR 78411)
34-59091
Dec. 12, 2008
SR-FINRA-2008-031
Order Approving Proposed Rule Change To Amend the Arbitration Uniform Submission Agreement and Related Rules Rel. No. 34-58648 Federal Register version (73 FR 77086)
34-59096
Dec. 12, 2008
SR-FINRA-2008-044
Order Granting Approval of Proposed Rule Change Relating to the Supervision of Market Letters Rel. No. 34-58648 Federal Register version (73 FR 77085)
34-59081
Dec. 11, 2008
SR-Phlx-2008-79
Order Exposure Periods From Three Seconds to One Second Comments Due: Rel. No. 34-58949 Federal Register version (73 FR 76432)
34-59076
Dec. 10, 2008
SR-FINRA-2008-053
Order Approving a Proposed Rule Change To Amend Section 4(c) of Schedule A of the FINRA By-Laws To Increase Certain Qualification Examination Fees Rel. No. 34-58832 Federal Register version (73 FR 76431)
34-59066
Dec. 8, 2008
SR-ISE-2008-78
Order Approving Proposed Rule Change Relating to Quoting Obligations for Competitive Market Makers Comments Due: Rel. No. 34-58861 Federal Register version (73 FR 76080)
34-59063
Dec. 5, 2008
SR-NYSEArca-2008-114
Order Approving Proposed Rule Change To Revise the Listing and Annual Fees Applicable to Paired Trust Shares Comments Due: Rel. No. 34-58878 Federal Register version (73 FR 76084)
34-59064
Dec. 5, 2008
SR-NYSE-2008-91
Order Approving 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: Rel. No. 34-58736 Federal Register version (73 FR 76082)
34-59051
Dec. 4, 2008
SR-NYSEArca-2008-123
Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Trust Certificates Comments Due: Rel. No. 34-59051 Federal Register version (73 FR 75155)
34-59050
Dec. 3, 2008
SR-Amex-2008-70
Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto, To Revise Its Initial Listing Process To Eliminate the Current Appeal Process for Initial Listing Decisions, Add a New Confidential Pre-Application Eligibility Review Process, and Upgrade Its Listing Requirements by Eliminating the Alternative Listing Standards Comments Due: View Received Comments Rel. No. 34-58570 Federal Register version (73 FR 75144)
34-59046
Dec. 3, 2008
SR-OCC-2007-16
Order Granting Approval of a Proposed Rule Change Relating to Late Exercises Comments Due: Rel. No. 34-57584 , Rel. No. 34-57584 Federal Register version (73 FR 75486)
34-59044
Dec. 3, 2008
SR-NSCC-2007-08
Order Approving Proposed Rule Change To Amend Membership Disqualification Criteria Rules Comments Due: Rel. No. 34-58123 Federal Register version (73 FR 74769)
34-59039
Dec. 2, 2008
SR-NYSEArca-2006-21
Order Setting Aside Action by Delegated Authority and Approving Proposed Rule Change Relating to NYSE Arca Data Comments Due: View Received Comments Federal Register version (73 FR 74770)
34-59036
Dec. 1, 2008
SR-OCC-2008-06
Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Stock Loan/Hedge Program Comments Due: Rel. No. 34-58901 , Rel. No. 34-58901 Federal Register version (73 FR 74554)
34-59033
Dec. 1, 2008
SR-DTC-2008-08
Order Granting Approval of a Proposed Rule Change To Eliminate the Ability To Obtain a Physical Certificate From DTC for Issues That Are Eligible and Participating in the Direct Registration System Comments Due: View Received Comments Rel. No. 34-58404 Federal Register version (73 FR 74544)
34-59035
Dec. 1, 2008
SR-DTC-2007-07
Order Approving Proposed Rule Change To Amend the Applicant Disqualification Criteria Contained in Its Rules Comments Due: Rel. No. 34-58122 Federal Register version (73 FR 75161)
34-59004
Nov. 24, 2008
SR-NYSEArca-2008-108
Order Granting Approval of Proposed Rule Change Revising NYSE Arca Rule 5.3 To Enable the Listing and Trading of Options on Managed Fund Shares Comments Due: Rel. No. 34-58799 Federal Register version (73 FR 72882)
34-58977
Nov. 19, 2008
SR-OCC-2008-09
Order Granting Approval of a Proposed Rule Change Relating to Eligible Margin Assets Comments Due: Rel. No. 34-58347 , Rel. No. 34-58347 Federal Register version (73 FR 72097)
34-58968
Nov. 17, 2008
SR-NYSEArca-2008-111
Order To Add the CBOE Volatility Index ("VIX") Futures ("VIX Futures") to the Definition of Futures Reference Asset Comments Due: Rel. No. 34-58855 Federal Register version (73 FR 71082)
34-58948
Nov. 14, 2008
SR-NYSEArca-2008-105
Order Approving Proposed Rule Change Relating to Listing Certain Derivative Products Pursuant to Continued Listing Criteria Comments Due: Rel. No. 34-58734 Federal Register version (73 FR 71073)
34-58903A
Nov. 13, 2008
SR-FINRA-2008-011
Order Approving Proposed Rule Change to Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports that Identify Other Members Who Participated in Agency and Riskless Principal Transactions as Modified by Amendments No. 1 and 2 Rel. No. 34-58903 , Rel. No. 34-57681 Federal Register version (73 FR 69700)
34-58944
Nov. 13, 2008
SR-DTC-2008-09
Order Granting Approval of a Proposed Rule Change to Expand DTC's Debit Cap Look-Ahead Processing Comments Due: Rel. No. 34-58730 Federal Register version (73 FR 70686)
34-58931
Nov. 12, 2008
SR-NYSE-2008-97
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt an Initial Listing Standard Applicable Only to Companies Transferring From NYSE Arca Comments Due: Rel. No. 34-58741 Federal Register version (73 FR 69710)
34-58934
Nov. 12, 2008
SR-NYSE-2008-98
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt an Additional Initial Listing Standard for Operating Companies Comments Due: Rel. No. 34-58740 Federal Register version (73 FR 69708)
34-58923
Nov. 10, 2008
SR-Amex-2008-51
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Related to Amendments to Rule 991 (Communications to Customers) and Rule 921 (Opening of Accounts) Comments Due: Rel. No. 34-58625 Federal Register version (73 FR 69683)
34-58925
Nov. 10, 2008
SR-NYSEArca-2008-104
Order Granting Approval of a Proposed Rule Change Relating to Continued Listing Criteria Applicable to Equity Linked Notes and "Other Securities" Comments Due: Rel. No. 34-58720 Federal Register version (73 FR 68487)
34-58924
Nov. 10, 2008
SR-CBOE-2008-96
Order Granting Approval of Proposed Rule Change To Permit $1 Strikes for MNX Options Comments Due: Rel. No. 34-58659 Federal Register version (73 FR 68464)
34-58904
Nov. 6, 2008
4-533
Order Approving the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by the Chicago Stock Exchange, Inc., The Nasdaq Stock Market, Inc., National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.), National Stock Exchange, Inc., and Philadelphia Stock Exchange, Inc. Comments Due: View Received Comments Federal Register version (73 FR 67218)
34-58909
Nov. 6, 2008
SR-FINRA-2008-046
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Realign the Representation of Industry Members on the National Adjudicatory Council To Follow More Closely the Categories of Industry Representation on the FINRA Board Rel. No. 34-58626 Federal Register version (73 FR 68467)
34-58910
Nov. 6, 2008
SR-DTC-2008-07
Order Granting Approval of a Proposed Rule Change To Implement Processing Enhancements to the Profile Modification System Used in the Direct Registration System Comments Due: Rel. No. 34-58292 Federal Register version (73 FR 68465)
34-58903
Nov. 5, 2008
SR-FINRA-2008-011
Order Approving Proposed Rule Change To Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports That Identify Other Members Who Participated in Agency and Riskless Principal Transactions as Modified by Amendments Nos. 1 and 2 Rel. No. 34-58903A , Rel. No. 34-57681 Federal Register version (73 FR 67905)
34-58897
Nov. 3, 2008
SR-NASDAQ-2008-018
Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto to Remove from Rule 7019 the Fees for Receiving Index Values Comments Due: Rel. No. 34-58666 Federal Register version (73 FR 66952)
34-58891
Oct. 30, 2008
SR-NASDAQ-2008-072
Order Approving a Proposed Rule Change To Establish a PORTAL Reference Database and Related Fees Comments Due: Rel. No. 34-58622 Federal Register version (73 FR 66090)
34-58886
Oct. 30, 2008
SR-FINRA-2008-010
Order Approving a Proposed Rule Change Amending the Codes of Arbitration Procedure To Establish Procedures for Arbitrators To Follow When Considering Requests for Expungement Relief Rel. No. 34-57572 Federal Register version (73 FR 66086)
34-58864
Oct. 27, 2008
SR-BSE-2008-45
Order Granting Approval of a Proposed Rule Change To Amend the By-Laws of the Boston Stock Exchange, Inc. Rel. No. 34-58547 Federal Register version (73 FR 65430)
34-58857
Oct. 24, 2008
SR-NYSE-2008-52
Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2 and 3 Thereto, To Modify the Method by Which Securities Are Allocated and Reallocated to Designated Market Maker Units and To Establish an Allocation System Based on a Single Objective Measure To Determine a Designated Market Maker Unit's Eligibility To Participate in the Allocation Process Comments Due: Rel. No. 34-58363 Federal Register version (73 FR 65435)
34-58778A
Oct. 23, 2008
SR-CBOE-2008-90
Order Granting Approval of a Proposed Rule Change Related to Trades in Restricted Classes; Correction Comments Due: Rel. No. 34-58778 , Rel. No. 34-58460 Federal Register version (73 FR 64002)
34-58825
Oct. 21, 2008
SR-NYSEArca-2008-89
Order Approving Proposed Rule Change Amending NYSE Arca Equities Rule 5.2(j)(3) in Connection With Generic Listing Standards for Multiple Fund Shares and Inverse Fund Shares Comments Due: Rel. No. 34-58484 Federal Register version (73 FR 63756)
34-58823
Oct. 21, 2008
SR-CBOE-2007-30
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Amendments to Rule 9.21 (Communications to Customers) Comments Due: View Received Comments Rel. No. 34-58138 Federal Register version (73 FR 63747)
34-58814
Oct. 20, 2008
SR-AMEX-2008-53
Order Granting Approval of Proposed Rule Change Related to Amendments to Rule 925 (Confirmations) and Rule 921 (Opening of Accounts) Comments Due: Rel. No. 34-58466 Federal Register version (73 FR 63527)
34-58779
Oct. 14, 2008
SR-NYSE-2008-78
Order Granting Approval of Proposed Rule Change Amending NYSE Rule 18 To Allow NYSE Alternext US LLC To Participate in the Compensation Fund Established by NYSE To Reimburse Claimants for Losses Associated With NYSE-Operated System Failures Comments Due: Rel. No. 34-58450 Federal Register version (73 FR 63224)
34-58778
Oct. 14, 2008
SR-CBOE-2008-90
Order Granting Approval of a Proposed Rule Change Related to Trades in Restricted Classes Comments Due: Rel. No. 34-58778A , Rel. No. 34-58460 Federal Register version (73 FR 65432)
34-58745
Oct. 7, 2008
SR-NYSEArca-2008-94
Order Granting Accelerated Approval of a Proposed Rule Change Amending NYSE Arca Equities Rules 5.1(b)(14) and 5.2(j)(2) To Permit the Listing of Equity Linked Notes That Are Linked to Securities Issued by Companies Registered Under the Investment Company Act of 1940 Comments Due: Rel. No. 34-58518 Federal Register version (73 FR 60745)
34-58716
Oct. 2, 2008
SR-Amex-2008-60
Order Granting Approval of a Proposed Rule Change Relating to Margin Requirements for Fixed Return Options Comments Due: Rel. No. 34-58341 Federal Register version (73 FR 60369)
34-58705
Oct. 1, 2008
SR-Amex-2008-63
Order Granting Approval of Proposed Rule Change To Establish New Membership, Member Firm Conduct, and Equity Trading Rules Following the Exchange's Acquisition by NYSE Euronext Comments Due: Rel. No. 34-58265 Federal Register version (73 FR 58995)
34-58704
Oct. 1, 2008
SR-NYSEArca-2008-92
Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Listing of MacroShares Major Metro Housing Trusts Comments Due: Rel. No. 34-58469 Federal Register version (73 FR 59026)
34-58710
Oct. 1, 2008
SR-ISE-2008-63
Order Approving Proposed Rule Change Relating to the Price Improvement Mechanism Comments Due: Rel. No. 34-58401 Federal Register version (73 FR 59008)
34-58707
Oct. 1, 2008
SR-FINRA-2008-043
Order Granting Approval of Proposed Rule Change To Establish a Membership Waive-in Process and Fee Waiver for Certain NYSE Alternext U.S. LLC Member Organizations Rel. No. 34-58291 Federal Register version (73 FR 59001)
34-58687
Sept. 30, 2008
SR-BSE-2008-42
Order Granting Approval of a Proposed Rule Change Relating to the Appointment of Market Makers on the Boston Options Exchange Facility Rel. No. 34-58408 Federal Register version (73 FR 58997)
34-58694
Sept. 30, 2008
SR-NSCC-2008-07
Order Approving Proposed Rule Change To Enhance Processing of Exchange-Traded Funds Rel. No. 34-58314 Federal Register version (73 FR 59013)
34-58678
Sept. 29, 2008
SR-Amex-2008-64
Order Approving the Adoption of New Rule 478T To Set Forth the Temporary Procedures That Will Apply To Disciplinary Proceedings Pending as of the Closing Date of the Acquisition of Amex by NYSE Euronext Comments Due: Rel. No. 34-58286 Federal Register version (73 FR 57705)
34-58681
Sept. 29, 2008
SR-NYSEArca-2008-90
Order and Amending NYSE Arca Equities Rule 14.3 to Establish Procedures Designed To Manage Potential Informational Advantages Resulting From the Affiliation Between the Exchange and Archipelago Securities L.L.C. Comments Due: Rel. No. 34-58431 Federal Register version (73 FR 58285)
34-58673
Sept. 29, 2008
SR-NYSE-2008-60
Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Acquisition of the Amex by NYSE Euronext Comments Due: Rel. No. 34-58285 , Rel. No. 34-58284 Federal Register version (73 FR 57707)
34-58673
Sept. 29, 2008
SR-Amex-2008-62
Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Acquisition of the Amex by NYSE Euronext Comments Due: Rel. No. 34-58285 , Rel. No. 34-58284 Federal Register version (73 FR 57707)
34-58680
Sept. 29, 2008
SR-NYSE-2008-76
Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending NYSE Rule 2B To Establish Procedures Designed To Manage Potential Informational Advantages Resulting From the Affiliation Between the Exchange and Archipelago Securities L.L.C. Comments Due: Rel. No. 34-58430 Federal Register version (73 FR 58283)
34-58660
Sept. 26, 2008
SR-FINRA-2008-027
Order Approving Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook Rel. No. 34-58308 Federal Register version (73 FR 57393)
34-58661
Sept. 26, 2008
SR-FINRA-2008-030
Order Approving Proposed Rule Change to Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook Rel. No. 34-58118
34-58650
Sept. 25, 2008
SR-Amex-2008-65
Order Approving Proposed Rule Change to Allow Issuers of Exchange-Traded Funds ("ETFs") and Structured Products Who Are Voluntarily Delisting the Securities From the Exchange and Re-Listing on Another National Securities Exchange to Submit to the Exchange a Letter from an Authorized Officer of the Issuer Rather Than a Certified Copy of Board of Directors Resolutions Comments Due: Rel. No. 34-58364
34-58643
Sept. 25, 2008
SR-FINRA-2008-021
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Repeal NASD Rule 1130 and Incorporated Rules 405A, 440F, 440G and 447 as Part of the Process of Developing the Consolidated FINRA Rulebook File Nos.: Rel. No. 34-58176 , Rel. No. 34-58206 , Rel. No. 34-58245 , Rel. No. 34-58095 , Rel. No. 34-58244 Federal Register version (73 FR 57174)
34-58630
Sept. 24, 2008
4-443
Order Granting Permanent Approval to Amendment No. 2 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options View Received Comments Release No. 34-58385 , Release No. 34-58205 , Release No. 34-57848 , Release No. 34-57546 Federal Register version (73 FR 57166)
34-58604
Sept. 19, 2008
SR-ODD-2008-04
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Changes to Disclosure Regarding Certain Variability Index Options, Strategy-Based Index Options, and Adjustments of Stock Option Contracts Federal Register version (73 FR 55890)
34-58598
Sept. 19, 2008
SR-NYSEArca-2008-78
Order Approving Proposed Rule Change To Waive Annual Fees for Securities Transferring to NYSE Arca From NYSE Alternext US Comments Due: Rel. No. 34-58297 Federal Register version (73 FR 55888)
34-58599
Sept. 19, 2008
SR-NYSE-2008-56
Order Approving Proposed Rule Change To Amend Section 902.09 of the Listed Company Manual To Establish Fees for Securities Listed Under Sections 703.21 and 703.22 of the Listed Company Manual and Traded on NYSE Bonds and To Waive Fees for Structured Products Transferred From the Amex to the NYSE Comments Due: Rel. No. 34-58301 Federal Register version (73 FR 55883)
34-58601
Sept. 19, 2008
SR-NYSE-2008-74
Order Approving Proposed Rule Change To Enable the Exchange To Waive Annual Listing Fees for Securities Transferring From the Amex or NYSE Arca, Inc. Comments Due: Rel. No. 34-58311 Federal Register version (73 FR 55885)
34-58586
Sept. 18, 2008
SR-OCC-2008-16
Order Granting Approval of a Proposed Rule Change Relating to the Cash Dividend Threshold Comments Due: Rel. No. 34-58353 , Rel. No. 34-58353 Federal Register version (73 FR 55582)
