34-59126
Dec. 19, 2008
SR-FINRA-2008-060
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting of Transfers of Securities Subject to an Asset Purchase Agreement Comments Due: Federal Register version (73 FR 79948)
34-59121
Dec. 19, 2008
SR-CBOE-2008-126
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Duration of the Hybrid Rule Pertaining to Orders Represented in Open Outcry Comments Due: Federal Register version (73 FR 79946)
34-59120
Dec. 18, 2008
SR-NYSEALTR-2008-13
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Minimum Price Variation of $0.01 for Orders and Quotations in Bonds Admitted to Dealings on NYSE Alternext Comments Due: Federal Register version (73 FR 79962)
34-59118
Dec. 18, 2008
SR-NYSE-2008-129
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Minimum Price Variation of $0.01 for Orders and Quotations in Bonds Admitted to Dealings on NYSE Comments Due: Federal Register version (73 FR 79535)
34-59119
Dec. 18, 2008
SR-FINRA-2008-061
Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5240 (Anti Intimidation / Coordination) in the Consolidated FINRA Rulebook Comments Due: Rel. No. 34-59335 Federal Register version (73 FR 79527)
34-59114
Dec. 17, 2008
SR-BATS-2008-013
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Name of BATS Holdings, Inc. Comments Due: Federal Register version (73 FR 79524)
34-59112
Dec. 17, 2008
SR-NYSE-2008-125
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC That the $8,000,000 Annual Trading Floor Regulatory Fee Allocated Among the Designated Market Maker Firms, Formerly Referred to as the "Specialist Trading Floor Regulatory Fee," Be Reduced by 50% for 2008, and Eliminated Thereafter Comments Due: Federal Register version (73 FR 79533)
34-59106
Dec. 16, 2008
SR-NYSE-2008-112
Notice of Filing 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. 34-59320 Federal Register version (73 FR 79531)
34-59105
Dec. 16, 2008
SR-NSCC-2008-08
Notice of Filing of Proposed Rule Change to Amend Rules to Add an Agreement from Fund Members that Submit Mutual Fund Profile Information Comments Due: Rel. No. 34-59321 Federal Register version (73 FR 79530)
34-59108
Dec. 16, 2008
SR-FINRA-2008-063
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Adoption of NASD Rules 12805 and 13805 as FINRA Rules in the New Consolidated FINRA Rulebook Comments Due: Federal Register version (73 FR 79525)
34-59104
Dec. 15, 2008
SR-CBOE-2008-117
Notice of Filing of Proposed Rule Change to Amend Exchange Rule 4.21 Relating to Third Party Deposits Comments Due: Rel. No. 34-59300 Federal Register version (73 FR 78862)
34-59101
Dec. 15, 2008
4-575
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Boston Stock Exchange, Inco Comments Due: Rel. No. 34-59218 Federal Register version (73 FR 78402)
34-59095
Dec. 12, 2008
SR-BATS-2008-012
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of the Exchange Comments Due: Federal Register version (73 FR 78409)
34-59098
Dec. 12, 2008
SR-NASDAQ-2008-096
Notice of Filing of 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. 34-59214 Federal Register version (73 FR 78415)
34-59092
Dec. 12, 2008
SR-ISE-2008-93
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes Comments Due: Federal Register version (73 FR 78414)
34-59097
Dec. 12, 2008
SR-FINRA-2008-057
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules Comments Due: Federal Register version (74 FR 4063)
34-59082
Dec. 11, 2008
SR-NYSEArca-2008-135
Notice of Filing of Proposed Rule Change Amending Rule 6.47A To Reduce the Order Exposure Period from Three Seconds to One Second Comments Due: Rel. No. 34-59194 Federal Register version (73 FR 77091)
34-59087
Dec. 11, 2008
SR-NASDAQ-2008-093
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Bid Price Required for Initial Listing on the Nasdaq Global and Global Select Markets from $5 to $4 Comments Due: Federal Register version (73 FR 77089)
34-59088
Dec. 11, 2008
SR-DTC-2008-13
Notice of Filing of Proposed Rule Change by The Depository Trust Company Relating to Eliminating the SRO Requirement as a Condition of DTC-Eligibility for Securities That Are Eligible for Resale Under Rule 144A Under the Securities Act of 1933 Comments Due: Rel. No. 34-59384 Federal Register version (73 FR 76688)
34-59086
Dec. 11, 2008
SR-CBOE-2008-124
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Class Quoting Limit in One Option Class Comments Due: Federal Register version (73 FR 77084)
34-59077
Dec. 10, 2008
SR-NYSE-2008-127
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Exchange Rule 104T To Make a Technical Amendment To Delete Language Relating to Orders Received by NYSE Systems and DMM Yielding; Clarifying the Duration of the Provisions of Rule 104T; Making Technical Amendments to Rule 98 and Rule 123E To Update Rule References for DMM Net Capital Requirements; Rescinding Paragraph (g) of Rule 123; and Making Conforming Changes to Certain Exchange Rules To Replace the Term "Specialist" with "DMM" Comments Due: Federal Register version (73 FR 76691)
34-59072
Dec. 10, 2008
SR-ISE-2008-92
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Cancellation Fees Comments Due: View Received Comments Federal Register version (73 FR 76689)
34-59075
Dec. 10, 2008
SR-FINRA-2008-055
Notice of Proposed Rule Change To Adopt FINRA Rule 2114 (Recommendations to Customers in OTC Equity Securities) in the Consolidated FINRA Rulebook Comments Due: View Received Comments Rel. No. 34-59605 Federal Register version (73 FR 76429)
34-59073
Dec. 10, 2008
SR-CBOE-2008-122
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by Chicago Board Options Exchange, Incorporated Regarding Fees for the CBOE Stock Exchange Comments Due: Federal Register version (73 FR 76686)
34-59070
Dec. 9, 2008
SR-NASDAQ-2008-092
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Trade the Shares of the MacroShares $100 Oil Up Trust and the MacroShares $100 Oil Down Trust Comments Due: Federal Register version (73 FR 76433)
34-59069
Dec. 8, 2008
SR-NYSE-2008-124
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending for Three Months to March 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 (73 FR 76081)
34-59068
Dec. 8, 2008
SR-CBOE-2008-120
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-Member Market-Maker Transaction Fees Comments Due: Federal Register version (73 FR 76428)
34-59061
Dec. 5, 2008
SR-MSRB-2008-05
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Establishment of a Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA) Comments Due: View Received Comments Rel. No. 34-58256 Federal Register version (73 FR 75778)
34-59060
Dec. 5, 2008
SR-CBOE-2008-115
Notice of Filing of a Proposed Rule Change Related to FLEX Options Expirations Comments Due: Rel. No. 34-59417 Federal Register version (73 FR 76075)
34-59054
Dec. 4, 2008
SR-OCC-2008-14
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes Relating to iShares COMEX Gold Trust and iShares Silver Trust Shares Comments Due: Federal Register version (73 FR 75159)
34-59053
Dec. 4, 2008
SR-ISE-2008-90
Notice of Filing of Proposed Rule Change Relating to Alternative Primary Market Makers Comments Due: Rel. No. 34-59250 Federal Register version (73 FR 76078)
34-59052
Dec. 4, 2008
SR-CBOE-2008-119
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE Rules Relating to Appointment Costs Comments Due: Federal Register version (73 FR 75485)
34-59055
Dec. 4, 2008
SR-Amex-2008-68
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes Relating to the Listing and Trading Options on Shares of the iShares COMEX Gold Trust and the iShares Silver Trust File Nos.: Comments Due: Federal Register version (73 FR 75148)
34-59045
Dec. 3, 2008
SR-NYSEALTR-2008-09
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC To Adopt a Price List for Equity Transactions after the Relocation of NYSE Alternext Equities Trading and To Establish Certain Other Fees Comments Due: Federal Register version (73 FR 75151)
34-59049
Dec. 3, 2008
SR-NYSEArca-2008-132
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a New Order Type Known as the Adding Liquidity Only Order Comments Due: Federal Register version (73 FR 75154)
34-59043
Dec. 3, 2008
SR-NASDAQ-2008-089
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the Nasdaq Options Market Comments Due: Federal Register version (73 FR 75161)
34-59038
Dec. 2, 2008
SR-CBOE-2008-118
Notice of Filing of Proposed Rule Change Related to Obvious Error Rules Comments Due: Rel. No. 34-59210 Federal Register version (73 FR 74543)
34-59029
Dec. 1, 2008
SR-BATS-2008-011
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Market Maker Quoting Violations Punishable Under Its Minor Rule Violation Plan Comments Due: Federal Register version (73 FR 74540)
34-59031
Dec. 1, 2008
SR-SCCP-2008-02
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Collection of Financial Industry Regulatory Authority Section 3 Regulatory Fees Comments Due: Federal Register version (73 FR 74556)
34-59030
Dec. 1, 2008
SR-Phlx-2008-80
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ OMX PHLX, Inc., Relating to XLE Fees Comments Due: Federal Register version (73 FR 74548)
34-59032
Dec. 1, 2008
SR-CBOE-2008-121
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 (73 FR 74541)
34-59027
Nov. 28, 2008
SR-NYSEALTR-2008-11
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC To Establish the Minimum Price Variation of $0.0001 for Orders and Quotations in Equity Securities that are Priced Below $1.00 Per Share Comments Due: Federal Register version (73 FR 73681)
34-59020
Nov. 26, 2008
SR-NYSEALTR-2008-06
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by NYSE Alternext US LLC for Retroactive Application of a Previously Adopted Revenue Sharing Program for ETF Quoting Participants on the Exchange Comments Due: Federal Register version (73 FR 74552)
34-59019
Nov. 26, 2008
SR-NYSEALTR-2008-04
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Alternext US LLC To Implement a Previously Adopted Revenue Sharing Program for ETF Quoting Participants on the Exchange Comments Due: Federal Register version (73 FR 74551)
34-59022
Nov. 26, 2008
SR-NYSEALTR-2008-10
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform Its Rules With Those of the New York Stock Exchange Comments Due: Federal Register version (73 FR 73683)
34-59025
Nov. 26, 2008
SR-NYSE-2008-123
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Establish the Minimum Price Variation of $0.0001 for Orders and Quotations in Equity Securities That Are Priced Below $1.00 per Share Comments Due: Federal Register version (73 FR 73679)
34-59024
Nov. 26, 2008
4-533
Notice of Filing and Immediate Effectiveness of an Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add the International Securities Exchange, LLC as a Party Thereto Comments Due: View Received Comments Federal Register version (73 FR 74538)
34-59023
Nov. 26, 2008
SR-NASDAQ-2008-090
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Enhancements to the Nasdaq Regulation Reconnaissance Service Comments Due: Federal Register version (73 FR 74549)
34-59021
Nov. 26, 2008
SR-ISE-2008-91
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Orders Comments Due: Federal Register version (73 FR 74545)
34-59014
Nov. 25, 2008
SR-NASDAQ-2008-084
Notice of Filing of a 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. 34-59203 Federal Register version (73 FR 73358)
34-59015
Nov. 25, 2008
SR-ISE-2008-87
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Halts in Managed Fund Shares and Actively Managed ETFs Comments Due: Federal Register version (73 FR 73357)
34-59006
Nov. 24, 2008
SR-NYSEALTR-2008-08
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Managed Fund Share Options Comments Due: Federal Register version (73 FR 72879)
34-59009
Nov. 24, 2008
SR-NYSEALTR-2008-07
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Use Its Broker Dealer Affiliate, Archipelago Securities, LLC, as Its Routing Broker Comments Due: Federal Register version (73 FR 73363)
34-59010
Nov. 24, 2008
SR-NYSEArca-2008-130
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Expand the Exception to NYSE Arca Equities Rule 3.10 To Allow Archipelago Securities to Route Orders to NYSE Arca Comments Due: Federal Register version (73 FR 73373)
34-59012
Nov. 24, 2008
SR-NYSEArca-2008-131
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Temporarily Increase the Number of Additional Quarterly Option Series Comments Due: Federal Register version (73 FR 73371)
34-59011
Nov. 24, 2008
SR-NYSE-2008-122
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Expand the Exception to NYSE Rule 2B To Allow Archipelago Securities LLC To Route Orders to the NYSE in its Capacity as an Order Routing Facility of NYSE Alternext US LLC Comments Due: Federal Register version (73 FR 73360)
34-59005
Nov. 24, 2008
SR-CBOE-2008-113
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Amending CBOE Rule 5.3 To Enable the Listing and Trading of Options on Managed Fund Shares Comments Due: Federal Register version (73 FR 72883)
34-59008
Nov. 24, 2008
SR-CBOE-2008-114
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Web CRD Fingerprinting Fees Comments Due: Federal Register version (73 FR 72886)
34-59003
Nov. 24, 2008
4-574
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the Financial Industry Regulatory Auth Comments Due: Rel. No. 34-59134 Federal Register version (73 FR 72873)
34-58996
Nov. 21, 2008
SR-BSE-2008-55
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. To Temporarily Increase the Number of Additional Quarterly Option Series in Exchange-Traded Fund Share Options That May Be Listed on the Boston Options Exchange Facility Comments Due: Federal Register version (73 FR 72878)
34-58999
Nov. 21, 2008
SR-BSE-2008-54
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. To Amend Certain BOX Rules Related to the PIP To Eliminate the Requirement That There Be at Least Three Market Makers Quoting in a Relevant Options Class in Order for a PIP To Commence Comments Due: Federal Register version (73 FR 72536)
34-58995
Nov. 21, 2008
SR-Phlx-2008-74
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ OMX PHLX, Inc., Relating to Automated Openings in Index Options Comments Due: Federal Register version (73 FR 72889)
34-58993
Nov. 21, 2008
SR-NYSEArca-2008-128
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Listing of PowerShares DB Funds Comments Due: Federal Register version (73 FR 72548)
34-58994
Nov. 21, 2008
SR-NYSEArca-2008-125
Notice of Filing of Proposed Rule Change Relating to the Listing of Units of the United States Short Oil Fund Comments Due: Rel. No. 34-59173 Federal Register version (73 FR 72892)
34-58992
Nov. 21, 2008
SR-NASDAQ-2008-088
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Its Obvious Errors Rule and the Adoption of a Catastrophic Error Provision Comments Due: Federal Register version (73 FR 72551)
34-58998
Nov. 21, 2008
SR-MSRB-2008-07
Notice of Filing of Proposed Rule Change 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. 34-59212 Federal Register version (73 FR 72540)
34-58997
Nov. 21, 2008
SR-ISE-2008-88
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List Options on the Mini-Nasdaq-100 Index at $1 Strike Price Intervals Comments Due: Federal Register version (73 FR 72887)
34-58989
Nov. 20, 2008
SR-BATS-2008-010
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees of Other Market Centers Related to Clearly Erroneous Rulings Comments Due: Federal Register version (73 FR 72533)
34-58990
Nov. 20, 2008
SR-BSE-2008-36
Notice of Filing of Proposed Rule Change Relating to Delisting Standards Comments Due: Rel. No. 34-59265 Federal Register version (73 FR 72534)
34-58983
Nov. 20, 2008
SR-NYSEArca-2008-126
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by NYSE Arca, Inc. Relating to Listing Shares of the GreenHaven Continuous Commodity Index Fund Comments Due: Federal Register version (73 FR 73368)
34-58984
Nov. 20, 2008
SR-NYSEArca-2008-121
Notice of Filing of Proposed Rule Change Amending Rule 5.2(j)(6) To Increase the Permissible Aggregate Weight of Underlying Foreign Country Securities Comments Due: Rel. No. 34-59180 Federal Register version (73 FR 72546)
34-58988
Nov. 20, 2008
SR-NSCC-2008-09
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes Relating to Amendment No. 2 to the Third Amended and Restated Options Exercise Settlement Agreement File Nos.: Comments Due: Federal Register version (73 FR 72098)
34-58985
Nov. 20, 2008
SR-ISE-2008-86
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enable the Listing and Trading of Options on Index-Linked Securities Comments Due: Federal Register version (73 FR 72538)
34-58975
Nov. 19, 2008
SR-NYSE-2008-121
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Transactions in Stocks With a Price of Less than $1.00 per Share Comments Due: Federal Register version (73 FR 71711)
34-58979
Nov. 19, 2008
SR-NYSE-2008-116
Notice of Filing of Proposed Rule Change Amending Rule 411(b) Concerning Certain Odd-Lot Order Handling Requirements, Rescinding NYSE Information Memorandum 94-14 and Issuing a New Information Memo That Provides Comprehensive and Updated Interpretive Guidance on, and Application of, Current NYSE Odd-Lot Trading Practices and Rules Comments Due: View Received Comments Federal Register version (73 FR 72094)
34-58978
Nov. 19, 2008
SR-CBOE-2008-116
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE Rules Relating to an Expansion of the SPX Trading Crowd Comments Due: Federal Register version (73 FR 72089)
34-58980
Nov. 19, 2008
SR-CBOE-2008-61
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Exchange Rule 9.11 Relating to Confirmations to Customers Comments Due: Federal Register version (73 FR 72091)
34-58973
Nov. 18, 2008
SR-OPRA-2008-04
Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Options Price Reporting Authority's Policies With Respect to Device-Based Fees Comments Due: Federal Register version (73 FR 72100)
34-58974
Nov. 18, 2008
SR-NASDAQ-2008-087
Notice of Filing of Proposed Rule Change by The NASDAQ Stock Market LLC Regarding a Clerical Change to Nasdaq Rules Comments Due: Federal Register version (73 FR 72093)
34-58966
Nov. 17, 2008
SR-CHX-2008-15
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Assessments Comments Due: Federal Register version (73 FR 71049)
34-58965
Nov. 17, 2008
SR-NYSEArca-2008-127
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Units of the United States Oil Fund, United States Heating Oil Fund, United States Gasoline Fund, United States 12 Month Oil Fund, United States 12 Month Natural Gas Fund, and the United States Natural Gas Fund Comments Due: Federal Register version (73 FR 71078)
34-58967
Nov. 17, 2008
SR-NYSEArca-2008-129
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services That Apply to Mid-Point Passive Liquidity Orders Comments Due: Federal Register version (73 FR 71081)
34-58969
Nov. 17, 2008
SR-NYSE-2008-119
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC To Establish the New York Block Exchange Comments Due: Exhibit 5 , Rel. No. 34-59282 Federal Register version (73 FR 71050)
34-58970
Nov. 17, 2008
SR-NYSE-2008-120
Notice of Filing of Proposed Rule Change by New York Stock Exchange, LLC Relating to the Limited Liability Company Agreement of New York Block Exchange, a Facility of NYSE Comments Due: Exhibit 5 , Rel. No. 34-59281 Federal Register version (73 FR 71062)
34-58971
Nov. 17, 2008
SR-NYSE-2008-115
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Exchange Rule 104T To Make Certain Technical Amendments to the Rule To Conform it to the Exchange's Recently Instituted New Market Model Pilot Comments Due: Federal Register version (73 FR 71070)
34-58953
Nov. 14, 2008
SR-NSX-2008-20
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Rule 11.23(a) Which Defines the Phrase "Riskless Principal Transaction" Comments Due: Federal Register version (73 FR 70400)
34-58949
Nov. 14, 2008
SR-Phlx-2008-79
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Reducing the Exposure Time for Option Limit Orders to One Second Comments Due: Rel. No. 34-59081 Federal Register version (73 FR 71709)
34-58956
Nov. 14, 2008
SR-NYSEArca-2008-124
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To List Shares of iShares Silver Trust Comments Due: Federal Register version (73 FR 71074)
34-58957
Nov. 14, 2008
SR-NYSEArca-2008-119
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NYSE Arca Equities Rule Governing the Anti-Money Laundering Compliance Program Comments Due: Federal Register version (73 FR 70689)
34-58959
Nov. 14, 2008
SR-NYSEArca-2008-120
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NYSE Arca Options Rule Governing the Anti-Money Laundering Compliance Program Comments Due: Federal Register version (73 FR 70687)
34-58955
Nov. 14, 2008
SR-CBOE-2008-109
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Consolidate into a Single Rule Certain Requirements for Products Traded on the CBOE Stock Exchange Pursuant to Unlisted Trading Privileges Comments Due: Federal Register version (73 FR 70683)
34-58941
Nov. 13, 2008
SR-BSE-2008-50
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enable the Listing and Trading of Options on Index-linked Securities Comments Due: Federal Register version (73 FR 70392)
34-58942
Nov. 13, 2008
SR-BSE-2008-49
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program That Allows for No Minimum Size Order Requirement for the Price Improvement Period Process on the Boston Options Exchange Facility Comments Due: Federal Register version (73 FR 70394)
34-58935
Nov. 13, 2008
SR-NSX-2008-19
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 16 and the NSX Fee Schedule for Order Delivery Mode Transactions Comments Due: Federal Register version (73 FR 69703)
34-58943
Nov. 13, 2008
SR-Phlx-2008-78
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Temporarily Increasing the Number of Additional Quarterly Option Series in Exchange-Traded Fund Options Comments Due: Federal Register version (73 FR 70398)
34-58945
Nov. 13, 2008
SR-NYSEArca-2008-118
Notice of Filing of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services Comments Due: Rel. No. 34-59161 Federal Register version (73 FR 71072)
34-58936
Nov. 13, 2008
SR-NYSE-2008-117
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Section (3) of Exchange Rule 123D, Which Provides for the "Sub-Penny Trading" Condition Comments Due: Federal Register version (73 FR 69704)
34-58940
Nov. 13, 2008
SR-ISE-2008-83
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Trading Licenses for Foreign Currency Options Comments Due: Federal Register version (73 FR 70396)
34-58937
Nov. 13, 2008
SR-FINRA-2008-056
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Information Sharing Agreements With Domestic Federal Agencies, or Subdivisions Thereof, and Foreign Regulators Comments Due: View Received Comments Federal Register version (73 FR 69699)
34-58933
Nov. 12, 2008
SR-NYSEALTR-2008-05
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC To Extend Its Temporary Program Relating to Section 31-Related Funds Comments Due: Federal Register version (73 FR 69712)
