34-64885
July 14, 2011
SR-NASDAQ-2011-093
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7027 of the NASDAQ Pricing Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 43364)
34-64884
July 14, 2011
SR-FINRA-2011-033
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt FINRA Rule 0180 (Application of Rules to Security-Based Swaps) Comments Due: Federal Register version (76 FR 42755)
34-64892
July 14, 2011
SR-FINRA-2011-034
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) Comments Due: Federal Register version (76 FR 43360)
34-64893
July 14, 2011
SR-CBOE-2011-068
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Credit Option Margin Pilot Program to January 17, 2012 Comments Due: Federal Register version (76 FR 43359)
34-64875
July 13, 2011
SR-NYSEArca-2011-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule by Adding Definitions for the Strategy Executions That Qualify for Transaction Fee Caps Comments Due: Exhibit 5 Federal Register version (76 FR 42759)
34-64876
July 13, 2011
SR-CBOE-2011-061
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Schedule Concerning Certain Orders of Certain Affiliates for Purposes of a Fee Cap and Sliding Scale Comments Due: Federal Register version (76 FR 42757)
34-64859
July 12, 2011
SR-NYSEAmex-2011-47
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) From August 1, 2011 to September 12, 2011 Comments Due: Exhibit 5 Federal Register version (76 FR 42147)
34-64863
July 12, 2011
SR-Phlx-2011-94
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy Comments Due: Exhibit 5 Federal Register version (76 FR 42143)
34-64857
July 12, 2011
SR-NYSEArca-2011-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amend NYSE Arca Equities Rule 7.31(b) To Add Text Describing How Limit Orders Priced a Specified Percentage Away From the National Best Bid or Offer Will Be Rejected by Exchange Systems Comments Due: Exhibit 5 Federal Register version (76 FR 41844)
34-64860
July 12, 2011
SR-NYSE-2011-32
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Rule 92(c)(3) From August 1, 2011 to September 12, 2011 Comments Due: Exhibit 5 Federal Register version (76 FR 42150)
34-64856
July 12, 2011
SR-NASDAQ-2011-092
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Fee Pilot Program for NASDAQ Last Sale Comments Due: View Received Comments Federal Register version (76 FR 41845)
34-64858
July 12, 2011
SR-NASDAQ-2011-094
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 To Extend the Waiver of Certain Co-Location Installation Fees for an Additional Month Comments Due: Exhibit 5 Federal Register version (76 FR 42152)
34-64861
July 12, 2011
SR-ISE-2011-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options Comments Due: Federal Register version (76 FR 42145)
34-64864
July 12, 2011
SR-DTC-2011-06
Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Early Redemption of Certificates of Deposit Comments Due: Rel. No. 34-65186 Federal Register version (76 FR 45309)
34-64850
July 11, 2011
SR-CHX-2011-16
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Its Fee Schedule To Increase its SRO, DEA and Off-Exchange Trader Fees Comments Due: Federal Register version (76 FR 41853)
34-64853
July 11, 2011
SR-ISE-2011-39
Notice of Filing of Proposed Rule Change Relating to Complex Orders Comments Due: View Received Comments Exhibit 5 , Rel. No. 34-65548 Federal Register version (76 FR 41850)
34-64851
July 11, 2011
SR-CBOE-2011-062
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fees Schedule Regarding Automated Improvement Mechanism Fees Comments Due: Federal Register version (76 FR 41842)
34-64848
July 8, 2011
SR-EDGX-2011-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule Comments Due: Federal Register version (76 FR 41544)
34-64847
July 8, 2011
SR-BATS-2011-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. Comments Due: Exhibit 5 Federal Register version (76 FR 41546)
34-64846
July 8, 2011
SR-BYX-2011-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. Comments Due: Federal Register version (76 FR 41541)
34-64842
July 8, 2011
SR-Phlx-2011-97
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Extend the Waiver of Certain Co-Location Installation Fees for an Additional Month Comments Due: Exhibit 5 Federal Register version (76 FR 41536)
34-64845
July 8, 2011
SR-Phlx-2011-90
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Board of Director Qualifications Comments Due: Rel. No. 34-65201
34-64840
July 8, 2011
SR-BX-2011-043
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 To Extend the Waiver of Certain Co-Location Installation Fees for an Additional Month Comments Due: Exhibit 5 Federal Register version (76 FR 41534)
34-64841
July 8, 2011
SR-FINRA-2011-032
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Revolving Door Restrictions on Former Officers of FINRA Comments Due: Federal Register version (76 FR 41537)
34-64835
July 7, 2011
SR-BATS-2011-020
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Extend the Availability of a Data Feed Comments Due: Federal Register version (76 FR 41315)
34-64836
July 7, 2011
SR-BYX-2011-014
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend the Availability of a Data Feed Comments Due: Federal Register version (76 FR 41316)
34-64833
July 7, 2011
SR-Phlx-2011-95
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations Comments Due: Federal Register version (76 FR 41317)
34-64834
July 7, 2011
SR-CBOE-2011-057
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PAR Official Fees in Volatility Index Options Comments Due: Federal Register version (76 FR 41839)
34-64822
July 6, 2011
SR-Phlx-2011-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Routing Priority Comments Due: Federal Register version (76 FR 40976)
34-64820
July 6, 2011
SR-NYSEArca-2011-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Introduce Two New Pricing Tiers, Step-Up Tier 1 and Step-Up Tier 2 Comments Due: Exhibit 5 Federal Register version (76 FR 40974)
34-64823
July 6, 2011
SR-NYSEArca-2011-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Correcting the Numbering of a Recently Adopted NYSE Arca Equities Rule Comments Due: Exhibit 5 Federal Register version (76 FR 40973)
34-64819
July 6, 2011
SR-OPRA-2011-02
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Adopt a New Hosted Solution Fee and Other Changes to the Comments Due: Federal Register version (76 FR 40967)
34-64821
July 6, 2011
SR-NASDAQ-2011-088
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Priority Comments Due: Federal Register version (76 FR 40971)
34-64826
July 6, 2011
SR-NASDAQ-2011-090
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the NASDAQ Stock Market LLC Regarding Expansion of the Short Term Option Series Program Comments Due: Exhibit 5 Federal Register version (76 FR 40969)
34-64817
July 6, 2011
SR-CBOE-2011-059
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Waiver of the Transaction Fee for Public Customer Orders in SPY Options Executed in Open Outcry or in the Automated Improvement Mechanism Comments Due: Federal Register version (76 FR 40948)
34-64818
July 6, 2011
SR-CBOE-2011-060
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Schedule Relating to the Marketing Fee Comments Due: Federal Register version (76 FR 40978)
34-64824
July 6, 2011
SR-CBOE-2011-063
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees Comments Due: Federal Register version (76 FR 44079)
34-64825
July 6, 2011
SR-C2-2011-014
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees Comments Due: Federal Register version (76 FR 40964)
34-64803
July 5, 2011
SR-Phlx-2011-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Modify Its Fee Schedule Regarding Co-Location Fees to Establish Fees for Access to Market Data Feeds From the Toronto Stock Exchange and the TSX Venture Exchang Comments Due: Exhibit 5 Federal Register version (76 FR 40760)
34-64809
July 5, 2011
SR-NYSE-2011-20
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Add New Section 907.00 to the Listed Company Manual That Sets Forth Certain Complimentary Products and Services That Are Offered to Currently and Newly Listed Issuer Comments Due: View Received Comments Rel. No. 34-65127 , Rel. No. 34-64506 Federal Register version (76 FR 40758)
34-64802
July 5, 2011
SR-BX-2011-038
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Co-Location Fee Schedule To Establish Fees for Access to Market Data Feeds From the Toronto Stock Exchange and the TSX Venture Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 40761)
34-64804
July 5, 2011
SR-MSRB-2011-07
Notice of Filing and Immediate Effectiveness of Revisions to the Study Outline for the Municipal Fund Securities Limited Principal Qualification Examination (Series 51) Comments Due: Federal Register version (76 FR 40756)
34-64806
July 5, 2011
SR-CBOE-2011-058
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Changes To Its Fees Schedule Related to Qualified Contingent Cross Orders Comments Due: Federal Register version (76 FR 40763)
34-64791
July 1, 2011
SR-EDGX-2011-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Available Without Charge the EDGX Book Feed and To Add a Description of the EDGX Book Feed to New Rule 13.8 Comments Due: Exhibit 5 Federal Register version (76 FR 39944)
34-64792
July 1, 2011
SR-EDGA-2011-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Available Without Charge the EDGA Book Feed and To Add a Description of the EDGA Book Feed to New Rule 13.8 Comments Due: Exhibit 5 Federal Register version (76 FR 39959)
34-64797
July 1, 2011
SR-NYSEAmex-2011-46
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1000(a)(iv) To Provide for a Different Liquidity Replenishment Point Value Range During the First Day of Trading of an Initial Public Offering on the Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 40410)
34-64788
July 1, 2011
SR-Phlx-2011-89
Notice of Filing of Proposed Rule Change Relating to Alpha Index Options Comments Due: Rel. No. 34-65149 Federal Register version (76 FR 40415)
34-64790
July 1, 2011
SR-Phlx-2011-84
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Transaction Fees Comments Due: Exhibit 5 Federal Register version (76 FR 40417)
34-64793
July 1, 2011
SR-NYSE-2011-31
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1000(a)(iv) To Provide for a Different Liquidity Replenishment Point Value Range During the First Day of Trading of an Initial Public Offering on the Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 40413)
34-64798
July 1, 2011
SR-NSCC-2011-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Associated With the Obligation Warehouse Service Comments Due: Federal Register version (76 FR 40409)
34-64789
July 1, 2011
SR-NASDAQ-2011-087
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Co-Location Fee Schedule To Establish Fees for Access to Market Data Feeds From the Toronto Stock Exchange and the TSX Venture Exchange Comments Due: Exhibit 5 Federal Register version (76 FR 39942)
34-64781
June 30, 2011
SR-BATS-2011-009
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Create, on a Six-Month Pilot Basis, a Directed Order Program Comments Due: View Received Comments Withdrawal of Petition for Review , Petition for Review , Rel. No. 34-64132 Federal Register version (76 FR 39953)
34-64783
June 30, 2011
SR-NYSEAMEX-2011-41
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of Rule 409(f)-NYSE Amex Equities and Adopting the Text of FINRA Rule 2232 Comments Due: Federal Register version (76 FR 39949)
34-64784
June 30, 2011
SR-NYSEAMEX-2011-42
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Amex Equities Rule 351(a)-(d) and Supplementary Material .10 and .13, Adopting the Text of FINRA Rule 4530, and Making Certain Conforming Changes Comments Due: Federal Register version (76 FR 39947)
34-64780
June 30, 2011
SR-NYSEArca-2011-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Rules and Adding New Rules so That They Remain Substantially Similar to Corresponding Financial Industry Regulatory Authority Rules in Accordance With a Rule 17d-2 Agreement Comments Due: Exhibit 5 Federal Register version (76 FR 39960)
34-64782
June 30, 2011
SR-NYSE-2011-26
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of NYSE Rule 409(f) and Adopting the Text of FINRA Rule 2232 and Deleting the Rule Interpretations to NYSE Rule 346 Comments Due: Federal Register version (76 FR 39951)
34-64785
June 30, 2011
SR-NYSE-2011-27
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 351(a)-(d) and Supplementary Material .10 and .13, Adopting the Text of FINRA Rule 4530, and Making Certain Conforming Changes Comments Due: Federal Register version (76 FR 39946)
34-64779
June 30, 2011
SR-BX-2011-041
Notice of Filing and Immediate Effectiveness of a Proposal To Extend a Pilot Program That Permits BOX to Have No Minimum Size Requirement for Orders Entered Into the Price Improvement Period (PIP) Process Until July 18, 2012 Comments Due: Federal Register version (76 FR 39940)
34-64777
June 30, 2011
SR-FINRA-2011-030
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules Comments Due: Exhibit 5 Federal Register version (76 FR 40412)
34-64772
June 29, 2011
SR-NYSEAmex-2011-44
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 39455)
34-64773
June 29, 2011
SR-NYSEAmex-2011-43
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 39453)
34-64771
June 29, 2011
SR-CHX-2011-14
Notice of Filing and Immediate Effectiveness of Proposed Rule Concerning the CHX Connect Service Comments Due: Federal Register version (76 FR 39451)
34-64770
June 29, 2011
SR-Phlx-2011-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Listing and Trading Various Russell Products Comments Due: Exhibit 5 Federal Register version (76 FR 39457)
34-64769
June 29, 2011
SR-NSCC-2011-04
Notice of Filing of Proposed Rule Change To Amend Rules Relating to Discontinuing Dividend Settlement Service, Funds Only Settlement Service, Data Distribution Box Services, and Changes to the Envelope Settlement Service Comments Due: Rel. No. 34-65032 Federal Register version (76 FR 39463)
34-64768
June 29, 2011
SR-BX-2011-040
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend the BOX Fee Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 39450)
34-64761
June 28, 2011
SR-NYSE-2011-29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 39147)
34-64762
June 28, 2011
SR-NYSE-2011-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or January 31, 2012 Comments Due: Exhibit 5 Federal Register version (76 FR 39145)
34-64760
June 28, 2011
SR-ISE-2011-34
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position and Exercise Limit for Options on the Standard & Poor's Depository Receipts (SPDRs) Comments Due: Federal Register version (76 FR 39143)
34-64755
June 27, 2011
SR-BX-2011-037
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 Regarding Co-Location Fees for Additional Power and Cable Options Comments Due: Exhibit 5 Federal Register version (76 FR 38710)
34-64746
June 24, 2011
SR-NYSEAmex-2011-45
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operation of the Pilot Program That Allows Nasdaq Stock Market Securities To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Comments Due: Federal Register version (76 FR 38446)
34-64745
June 24, 2011
SR-Phlx-2011-086
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Regarding Co-Location Fees for Additional Power and Cable Options Comments Due: Exhibit 5 Federal Register version (76 FR 38444)
34-64744
June 24, 2011
SR-NASDAQ-2011-086
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 Regarding Co-Location Fees for Additional Power and Cable Options Comments Due: Exhibit 5 Federal Register version (76 FR 38715)
34-64743
June 24, 2011
SR-ISE-2011-35
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Fee Discount Pilot Program for Large-Sized Foreign Currency Options Comments Due: Exhibit 5
34-64728
June 23, 2011
SR-NYSEAmex-2011-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 17-NYSE Amex Equities To Codify Inbound Routing Functions Performed by Its Affiliate Broker-Dealer, Archipelago Securities LLC Comments Due: Exhibit 5 Federal Register version (76 FR 38223)
34-64732
June 23, 2011
SR-NYSEAmex-2011-40
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Text in Its Options Rules Governing the Use of Its Affiliate Broker-Dealer, Archipelago Securities LLC for Outbound Routing of Option Orders, and To Adopt Text in Its Options Rules To Permit the Exchange To Receive Inbound Routes of Option Orders From Arca Securities, Acting as the Outbound Router for NYSE Arca, Inc. Comments Due: Exhibit 5 Federal Register version (76 FR 38240)
34-64733
June 23, 2011
SR-Phlx-2011-85
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols Comments Due: Exhibit 5 Federal Register version (76 FR 37866)
34-64730
June 23, 2011
SR-NYSEArca-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE Arca Equities Rule 7.41 to Codify Outbound and Inbound Routing Functions Performed by Its Affiliate Broker-dealer, Archipelago Securities LLC Comments Due: Exhibit 5 Federal Register version (76 FR 38235)
34-64731
June 23, 2011
SR-NYSEArca-2011-39
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Text in Its Options Rules Governing the Use of Its Affiliate Broker-Dealer, Archipelago Securities LLC for Outbound Routing of Option Orders, and To Adopt Text in Its Options Rules To Permit the Exchange To Receive Inbound Routes of Option Orders From Arca Securities, Acting as the Outbound Router for NYSE Amex LLC Comments Due: Exhibit 5 Federal Register version (76 FR 38237)
34-64729
June 23, 2011
SR-NYSE-2011-24
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 17 To Codify Inbound Routing Functions Performed by Its Affiliate Broker-Dealer, Archipelago Securities LLC Comments Due: Exhibit 5 Federal Register version (76 FR 38232)
34-64734
June 23, 2011
SR-BX-2011-034
Notice of Filing of Proposed Rule Change Relating to Amending the BOX Trading Rules To Establish Facilitation and Solicitation Auction Mechanisms Comments Due: Exhibit 5 , Rel. No. 34-65387 Federal Register version (76 FR 38226)
34-64736
June 23, 2011
SR-FINRA-2011-028
Notice of Filing of Proposed Rule Change To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-65477 Federal Register version (76 FR 38245)
34-64724
June 22, 2011
SR-NASDAQ-2011-085
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Order Timer Comments Due: Federal Register version (76 FR 37872)
34-64719
June 22, 2011
SR-ISE-2011-33
Notice of Filing of Proposed Rule Change Relating to Appointments to Competitive Market Makers Comments Due: Exhibit 5 , Rel. No. 34-65100 Federal Register version (76 FR 37863)
34-64722
June 22, 2011
SR-CBOE-2011-055
Notice of Filing of Proposed Rule Change to Trade Options on the CBOE Silver ETF Volatility Index Comments Due: Federal Register version (76 FR 37868)
34-64713
June 21, 2011
SR-NASDAQ-2011-082
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Certain Disclosure Requirements in Nasdaq's Corporate Governance Rules with Similar Disclosure Requirements in the Commission's Rules Comments Due: Federal Register version (76 FR 37388)
34-64715
June 21, 2011
SR-NASDAQ-2011-084
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4763 Comments Due: Federal Register version (76 FR 37386)
34-64717
June 21, 2011
SR-FINRA-2011-029
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements Comments Due: Federal Register version (76 FR 37384)
34-64705
June 20, 2011
SR-Phlx-2011-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to a Remote Specialist Fee Comments Due: Exhibit 5 Federal Register version (76 FR 37163)
34-64706
June 20, 2011
SR-FINRA-2011-027
Notice of Filing of Proposed Rule Change To Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities That Are Part of a Distribution and Transfers of Equity Securities To Create or Redeem Instruments Such as ADRs and ETFs Comments Due: Exhibit 5 , Rel. No. 34-65025 Federal Register version (76 FR 37382)
34-64697
June 17, 2011
SR-OCC-2011-07
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide an Interpretation to Rule 401 To Allow Clearing Members To Use OCC Systems To Update Certain Non-critical Trade Data With Respect to Exchange Transactions Involving Securities Options Comments Due: Federal Register version (76 FR 36943)
34-64696
June 17, 2011
SR-NASDAQ-2011-083
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Anti-Internalization Functionality for Registered Market Makers on the NASDAQ Options Market Comments Due: Federal Register version (76 FR 36950)
34-64699
June 17, 2011
SR-CBOE-2011-056
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Selection Specifications and Content Outline for the Proprietary Traders Examination Program (Series 56) Comments Due: View Received Comments Federal Register version (76 FR 36945)
34-64693
June 16, 2011
SR-NYSEAmex-2011-38
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 903G To Permit the Exchange To List Flexible Exchange Options on Index and Equity Securities That Are Eligible for Non-FLEX Options Trading, and That Have Non-FLEX Options on Such Index and Equity Securities Listed and Traded on at Least One National Securities Exchange, Even if the Exchange Does Not List Such Non-FLEX Options Comments Due: Federal Register version (76 FR 36598)
34-64692
June 16, 2011
SR-NYSEArca-2011-37
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 5.30 and 5.32 To Permit the Exchange To List Flexible Exchange Options on Index and Equity Securities That Are Eligible for Non-FLEX Options Trading, and That Have Non-FLEX Options on Such Index and Equity Securities Listed and Traded on at Least One National Securities Exchange, Even if the Exchange Does Not List Such Non-FLEX Options Comments Due: Federal Register version (76 FR 36604)
34-64691
June 16, 2011
SR-NASDAQ-2011-079
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Several Rules in Connection With Trading System Enhancements Comments Due: Federal Register version (76 FR 36610)
34-64687
June 16, 2011
SR-FINRA-2011-013
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Establishing a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-64080 Federal Register version (76 FR 36586)
34-64675
June 15, 2011
SR-EDGA-2011-18
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule Comments Due: Exhibit 5 Federal Register version (76 FR 35924)
34-64677
June 15, 2011
SR-Phlx-2011-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing of Opening Orders Comments Due: Federal Register version (76 FR 36161)
34-64674
June 15, 2011
SR-CBOE-2011-054
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Sales Value Fee Comments Due: Federal Register version (76 FR 35926)
34-64673
June 15, 2011
SR-C2-2011-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Sales Value Fee Comments Due: Federal Register version (76 FR 35928)
