WorldWideScience

Sample records for exchanger regulatory factor

  1. Identification of a negative regulatory region for the exchange activity and characterization of T332I mutant of Rho guanine nucleotide exchange factor 10 (ARHGEF10).

    Science.gov (United States)

    Chaya, Taro; Shibata, Satoshi; Tokuhara, Yasunori; Yamaguchi, Wataru; Matsumoto, Hiroshi; Kawahara, Ichiro; Kogo, Mikihiko; Ohoka, Yoshiharu; Inagaki, Shinobu

    2011-08-26

    The T332I mutation in Rho guanine nucleotide exchange factor 10 (ARHGEF10) was previously found in persons with slowed nerve conduction velocities and thin myelination of peripheral nerves. However, the molecular and cellular basis of the T332I mutant is not understood. Here, we show that ARHGEF10 has a negative regulatory region in the N terminus, in which residue 332 is located, and the T332I mutant is constitutively active. An N-terminal truncated ARHGEF10 mutant, ARHGEF10 ΔN (lacking amino acids 1-332), induced cell contraction that was inhibited by a Rho kinase inhibitor Y27632 and had higher GEF activity for RhoA than the wild type. The T332I mutant also showed the phenotype similar to the N-terminal truncated mutant. These data suggest that the ARHGEF10 T332I mutation-associated phenotype observed in the peripheral nerves is due to activated GEF activity of the ARHGEF10 T332I mutant.

  2. Identification of a Negative Regulatory Region for the Exchange Activity and Characterization of T332I Mutant of Rho Guanine Nucleotide Exchange Factor 10 (ARHGEF10)*

    Science.gov (United States)

    Chaya, Taro; Shibata, Satoshi; Tokuhara, Yasunori; Yamaguchi, Wataru; Matsumoto, Hiroshi; Kawahara, Ichiro; Kogo, Mikihiko; Ohoka, Yoshiharu; Inagaki, Shinobu

    2011-01-01

    The T332I mutation in Rho guanine nucleotide exchange factor 10 (ARHGEF10) was previously found in persons with slowed nerve conduction velocities and thin myelination of peripheral nerves. However, the molecular and cellular basis of the T332I mutant is not understood. Here, we show that ARHGEF10 has a negative regulatory region in the N terminus, in which residue 332 is located, and the T332I mutant is constitutively active. An N-terminal truncated ARHGEF10 mutant, ARHGEF10 ΔN (lacking amino acids 1–332), induced cell contraction that was inhibited by a Rho kinase inhibitor Y27632 and had higher GEF activity for RhoA than the wild type. The T332I mutant also showed the phenotype similar to the N-terminal truncated mutant. These data suggest that the ARHGEF10 T332I mutation-associated phenotype observed in the peripheral nerves is due to activated GEF activity of the ARHGEF10 T332I mutant. PMID:21719701

  3. Securities and Exchange Commission Semiannual Regulatory Agenda

    Science.gov (United States)

    2010-12-20

    ... Flexibility Analysis Required: Yes Agency Contact: Alicia Goldin, Division of Trading and Markets, Securities...: Alicia Goldin, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE... Flexibility Analysis Required: Yes Agency Contact: Alicia Goldin, Division of Trading and Markets, Securities...

  4. 77 FR 68185 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-11-15

    ... importance and expense of the Exchange's regulatory efforts and competitive pricing pressures and to ensure... Exchange participates in a highly competitive market in which regulatory costs are continually increasing...

  5. Differential association of the Na+/H+ Exchanger Regulatory Factor (NHERF) family of adaptor proteins with the raft- and the non-raft brush border membrane fractions of NHE3.

    Science.gov (United States)

    Sultan, Ayesha; Luo, Min; Yu, Qin; Riederer, Brigitte; Xia, Weiliang; Chen, Mingmin; Lissner, Simone; Gessner, Johannes E; Donowitz, Mark; Yun, C Chris; deJonge, Hugo; Lamprecht, Georg; Seidler, Ursula

    2013-01-01

    Trafficking, brush border membrane (BBM) retention, and signal-specific regulation of the Na+/H+ exchanger NHE3 is regulated by the Na+/H+ Exchanger Regulatory Factor (NHERF) family of PDZ-adaptor proteins, which enable the formation of multiprotein complexes. It is unclear, however, what determines signal specificity of these NHERFs. Thus, we studied the association of NHE3, NHERF1 (EBP50), NHERF2 (E3KARP), and NHERF3 (PDZK1) with lipid rafts in murine small intestinal BBM. Detergent resistant membranes ("lipid rafts") were isolated by floatation of Triton X-incubated small intestinal BBM from a variety of knockout mouse strains in an Optiprep step gradient. Acid-activated NHE3 activity was measured fluorometrically in BCECF-loaded microdissected villi, or by assessment of CO2/HCO3(-) mediated increase in fluid absorption in perfused jejunal loops of anethetized mice. NHE3 was found to partially associate with lipid rafts in the native BBM, and NHE3 raft association had an impact on NHE3 transport activity and regulation in vivo. NHERF1, 2 and 3 were differentially distributed to rafts and non-rafts, with NHERF2 being most raft-associated and NHERF3 entirely non-raft associated. NHERF2 expression enhanced the localization of NHE3 to membrane rafts. The use of acid sphingomyelinase-deficient mice, which have altered membrane lipid as well as lipid raft composition, allowed us to test the validity of the lipid raft concept in vivo. The differential association of the NHERFs with the raft-associated and the non-raft fraction of NHE3 in the brush border membrane is one component of the differential and signal-specific NHE3 regulation by the different NHERFs. © 2013 S. Karger AG, Basel.

  6. [Regulatory factors for images of the elderly among elementary school students assessed through secular trend analyses by frequency of inter-exchange with "REPRINTS" senior volunteers].

    Science.gov (United States)

    Fujiwara, Yoshinori; Watanabe, Naoki; Nishi, Mariko; Lee, Sangyoon; Ohba, Hiromi; Yoshida, Hiroto; Sakuma, Naoko; Fukaya, Taro; Kousa, Youko; Inoue, Kazuko; Amano, Hidenori; Uchida, Hayato; Kakuno, Fumihiko; Shinkai, Shoji

    2007-09-01

    We have launched a new intervention study, called "REPRINTS" (Research of productivity by intergenerational sympathy) in which senior volunteers aged 60 years and over engage in reading picture books to school children, regularly visiting public elementary schools since 2004. The purpose of this study was to clarify characteristics of images of older people held by elementary school children and factors associated with such images, as well as to examine changes in images through intervention by "REPRINTS" senior volunteers (volunteers) for the initial one year period. Four to six volunteers as a group visited A elementary school in a suburb Kawasaki city (470 students) twice a week to read picture books. The baseline survey was conducted one month after launching the volunteer activity. First and second follow-up surveys were conducted at 6 month intervals after the baseline survey. Grade, gender, short version of emotional-like image scale of older adults assessed by the SD (Semantic Differential) method (6 items in the subscale for "evaluation" and 4 items in the subscale for "potency/activity"), experience of living with grandparents, experience of interchange with older people, frequency of interchange with volunteers and the social desirability scale for children. Related variables for a higher score in the subscale for "evaluation" included lower grade and abundant experience of interchange with older people such as grandparents. Those for "potency/ activity" included lower grade, male gender, and a higher social desirability scale for children in the multiple logistic regression model. Students were divided into two groups in terms of frequency of interchange with volunteers (low and high-frequency groups) through three surveys. In the subscale for "evaluation", the general linear model demonstrated a significant interaction between the group and number of surveys adjusted for confounding factors. Although emotional images of older people significantly

  7. 76 FR 41853 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-07-15

    ... regulatory efforts and competitive pricing pressures. The Exchange proposes to increase both its SRO and DEA... lower total registration fees for off-Exchange traders to respond to competitive pressures. The Exchange... Exchange to respond to competitive pressures by lowering trader fees for all off-Exchange proprietary...

  8. 75 FR 61795 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-10-06

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63017; File No. SR-ISE-2010-95] Self-Regulatory...\\ 15 U.S.C. 78s(b)(3)(A). \\4\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement of... Exchange, and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of...

  9. 78 FR 4502 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-01-22

    ... certainty with respect to execution fees at groups of away options exchanges. Under its flat fee structure...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange...

  10. 77 FR 76319 - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Minor Rule Violation...

    Science.gov (United States)

    2012-12-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68489; File No. 4-655] Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Minor Rule Violation Plan for BOX Options Exchange LLC... \\4\\ requiring that a self-regulatory organization (``SRO'') promptly file notice with the Commission...

  11. 76 FR 39143 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-07-05

    ... possibility for disruption of the options market itself, especially in illiquid options classes. See... illegal trading activity. In addition, routine oversight inspections of the Exchange's regulatory programs...

  12. 78 FR 51235 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-20

    ... believes that its flat fee structure for orders routed to various venues is a fair and equitable approach... exchanges. Under its flat fee structure, taking all costs to the Exchange into account, the Exchange may...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...

  13. 78 FR 51257 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-20

    ... exchange without incurring losses from such routing. The Exchange believes that its flat fee structure for... with respect to execution fees at groups of away options exchanges. Under its flat fee structure...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...

  14. 78 FR 76355 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-17

    ... routing orders to such exchanges. The Exchange believes that its flat fee structure for orders routed to... execution fees at groups of away options exchanges. Under its flat fee structure, taking all costs to the...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed...

  15. 77 FR 4605 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Granting Approval of Proposed Rule...

    Science.gov (United States)

    2012-01-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66231; File No. SR-EDGA-2011-40] Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Granting Approval of Proposed Rule Change Amending EDGA Rule 11.9 January 24, 2012. On December 2, 2011, EDGA Exchange, Inc. (``Exchange'' or ``EDGA'') filed...

  16. 78 FR 73577 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-06

    ...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Risk Monitoring Functionality Offered by the Exchange December 2, 2013....19b-4(f)(6)(iii). I. Self-Regulatory Organization's Statement of the Terms of Substance of the...

  17. 77 FR 74722 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule...

    Science.gov (United States)

    2012-12-17

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68401; File No. SR-CME-2012-42] Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule Change Regarding the Valuation of... to approve a proposed rule change of a self-regulatory organization if it finds that such proposed...

  18. 75 FR 1437 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a...

    Science.gov (United States)

    2010-01-11

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61274; File No. SR-CBOE-2009-089] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule... announce to members via Regulatory Circular any determination regarding the routing of market stock-option...

  19. 77 FR 40928 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Granting Approval of...

    Science.gov (United States)

    2012-07-11

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67357; File No. SR-C2-2012-011] Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To Implement a... and subsequently migrates to the DRF, the regulatory data for the portion of the day that the main...

  20. 77 FR 61463 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-10-09

    ... entry of erroneous orders. In addition, the Market Access Rule requires certain regulatory risk... authorized by the broker-dealer. These regulatory risk management controls also include measures designed to...-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...

  1. 76 FR 77275 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-12-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65900; File No. SR-ISE-2011-82] Self-Regulatory... text of these statements may be examined at the places specified in Item IV below. The self-regulatory... such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for...

  2. 75 FR 16888 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed...

    Science.gov (United States)

    2010-04-02

    ...(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance....org/legal ), at the Exchange's Office of the Secretary and at the Commission. II. Self-Regulatory... with the Commission, the self-regulatory organization included statements concerning the purpose of and...

  3. 75 FR 66410 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-10-28

    ...-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Sales Value Fee October 22, 2010. Pursuant to Section 19(b... hereby given that, on October 14, 2010, the International Securities Exchange, LLC (the ``Exchange'' or...

  4. 78 FR 37865 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-06-24

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69793; File No. SR-BATS-2013-034] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. June 18, 2013. Pursuant to Section 19(b)(1) of the...

  5. 76 FR 50803 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-08-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65085; File No. SR-BATS-2011-025] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. August 10, 2011. Pursuant to Section 19(b)(1) of...

  6. 75 FR 27847 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-05-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62074; File No. SR-BATS-2010-012] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. May 11, 2010. Pursuant to Section 19(b)(1) of the...

  7. 77 FR 58195 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67855; File No. SR-BATS-2012-037] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. September 13, 2012. Pursuant to Section 19(b)(1) of...

  8. 76 FR 12155 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-03-04

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63969; File No. SR-BATS-2011-007] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Adopt BATS Rule 11.21, entitled ``Input of Accurate Information...

  9. 78 FR 51261 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-20

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70190; File No. SR-BATS-2013-042] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. August 14, 2013. Pursuant to Section 19(b)(1) of...

  10. 78 FR 78460 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-26

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71140; File No. SR-BATS-2013-063] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. December 19, 2013. Pursuant to Section 19(b)(1) of...

  11. 78 FR 53814 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70257; File No. SR-BATS-2013-047] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Registration and Continuing Education Fees for BATS Exchange, Inc. August 26...

  12. 77 FR 63396 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-10-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68026; File No. SR-BATS-2012-040] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. October 10, 2012. Pursuant to Section 19(b)(1) of...

  13. 77 FR 7216 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-10

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66327; File No. SR-BATS-2012-008] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. February 6, 2012. Pursuant to Section 19(b...

  14. 76 FR 61127 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-10-03

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65407; File No. SR-BATS-2011-037] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. September 27, 2011. Pursuant to Section 19(b)(1) of...

  15. 76 FR 70192 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-11-10

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65694; File No. SR-BATS-2011-046] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. November 4, 2011. Pursuant to Section 19(b)(1) of...

  16. 78 FR 16306 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69079; File No. SR-BATS-2013-017] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. March 8, 2013. Pursuant to Section 19(b)(1) of the...

  17. 76 FR 77576 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-12-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65907; File No. SR-BATS-2011-049] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. December 7, 2011. Pursuant to Section 19(b...

  18. 76 FR 1208 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-01-07

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63630; File No. SR-BATS-2010-039] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. January 3, 2011. Pursuant to Section 19(b)(1) of...

  19. 76 FR 2734 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-01-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63663; File No. SR-BATS-2011-001] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. January 6, 2011. Pursuant to Section 19(b)(1) of...

  20. 78 FR 56760 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70348; File No. SR-BATS-2013-048) Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. September 9, 2013. Pursuant to Section 19(b)(1) of...

  1. 78 FR 19555 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-04-01

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69238; File No. SR-BATS-2013-020] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. March 26, 2013. Pursuant to Section 19(b)(1) of the...

  2. 76 FR 7891 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-02-11

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63857; File No. SR-BATS-2011-004] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. February 7, 2011. Pursuant to Section 19(b)(1) of...

  3. 78 FR 54338 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-03

    ...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed..., Interactive Data Online Properties, Inc. (collectively ``IDC''), whereby the Exchange will make available... the Private Labeled Products and who first subscribe as a result of the Exchange's marketing...

  4. 76 FR 77878 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed...

    Science.gov (United States)

    2011-12-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65914; File No. SR-CBOE-2011-114] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change Related to Complex Order Processing in Hybrid 3.0 Classes December 8, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act...

  5. 77 FR 27822 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed...

    Science.gov (United States)

    2012-05-11

    ... shall report to the Exchange, the name, address, and social security or tax identification number of any... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66934; File No. SR-CBOE-2012-040] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change...

  6. 78 FR 65023 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-10-30

    ... the Exchange, the name, address, and social security or tax identification number of any customer who... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70752; File No. SR-CBOE-2013-099] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate...

  7. 75 FR 47043 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-08-04

    ... Educational Services Inc 280 TSL Trina Solar Ltd 332 NKE NIKE Inc 282 EWW iShares MSCI Mexico 335 FIS Fidelity...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed...\\ notice is hereby given that on July 26, 2010, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'') filed...

  8. 78 FR 51242 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-20

    ... themselves as participants on another. It is virtually impossible for any exchange to identify, and thus... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70200; File No. SR-Topaz-2013-01] Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule...

  9. 78 FR 6155 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-01-29

    ... virtually impossible for any exchange to identify, and thus assess fees such as an ORF on, each executing... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68711; File No. SR-MIAX-2013-01] Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate...

  10. 78 FR 62901 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-10-22

    ... per contract from its prior rate of $0.05 per contract. See Securities Exchange Act Release No. 69768... similar products.\\13\\ \\13\\ At least one other exchange currently trades foreign currency options. While... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70647; File No. SR-ISE-2013-50] Self-Regulatory...

  11. 76 FR 64980 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Science.gov (United States)

    2011-10-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65548; File No. SR-ISE-2011-39] Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Complex Orders October 13, 2011. I. Introduction On July 1, 2011, the International Securities Exchange...

  12. 78 FR 56762 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-09-13

    ... innovative pricing strategy. The Exchange notes that if the proposal results in a modest percentage increase... may apply to Market Makers including marketing fees, Options Regulatory Fees, market data, and...

  13. 78 FR 12803 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-25

    ... certainty with respect to execution fees at groups of away options exchanges. Under its flat fee structure...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... 240.19b-4. \\3\\ 15 U.S.C. 78s(b)(3)(A)(ii). \\4\\ 17 CFR 240.19b-4(f)(2). I. Self-Regulatory Organization...

  14. A continuous exchange factor method for radiative exchange in enclosures with participating media

    International Nuclear Information System (INIS)

    Naraghi, M.H.N.; Chung, B.T.F.; Litkouhi, B.

    1987-01-01

    A continuous exchange factor method for analysis of radiative exchange in enclosures is developed. In this method two types of exchange functions are defined, direct exchange function and total exchange function. Certain integral equations relating total exchange functions to direct exchange functions are developed. These integral equations are solved using Gaussian quadrature integration method. The results obtained based on the present approach are found to be more accurate than those of the zonal method

  15. 78 FR 47457 - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-08-05

    ... innovative pricing strategy. The Exchange notes that if the extension of the fee waiver results in a modest... to Market Makers including marketing fees, Options Regulatory Fees, market data, and membership... may apply to Market Makers including marketing fees, Options Regulatory Fees, market data, and...

  16. 78 FR 35349 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-06-12

    ... by adopting an innovative pricing strategy. The Exchange notes that if the fee waiver resulted in a... apply to Market Makers including marketing fees, Options Regulatory Fees, market data, and membership... Market Makers including marketing fees, Options Regulatory Fees, market data, and membership application...

  17. 76 FR 41839 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-07-15

    ... existing PAR Official Fee structure that imposes a flat per contract fee does not provide an incentive for...-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's...

  18. 76 FR 20793 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-04-13

    ... structure that imposes a flat per contract fee does not provide an incentive for firms to adequately staff...-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the...

  19. 78 FR 77736 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-24

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71129; File No. SR-BATS-2013-062] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify BATS Options Market Maker Continuous Quoting Obligation Rules December 18, 2013...

  20. 76 FR 57092 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-09-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65307; File No. SR-BATS-2011-034] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a Bulk-Quoting Interface To All Users of BATS Options September 9, 2011. Pursuant to...

  1. 78 FR 61422 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-03

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70548; File No. SR-BATS-2013-052] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Trading Halt Rule of BATS Options September 27, 2013. Pursuant to Section 19...

  2. 77 FR 20858 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-04-06

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66723; File No. SR-BATS-2012-014] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of BATS Global Markets, Inc. April 3, 2012...

  3. 76 FR 9841 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-02-22

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63916; File No. SR-BATS-2011-005] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.13, Entitled ``Order Execution'' February 15, 2011. Pursuant to Section 19(b...

  4. 76 FR 28108 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-05-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64445; File No. SR-BATS-2011-017] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add BATS Rule 11.22, Entitled ``Data Products'' May 9, 2011. Pursuant to Section 19(b)(1) of...

  5. 78 FR 16750 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69121; File No. SR-BATS-2013-014] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Operation of Market Orders for BATS Options March 12, 2013. Pursuant to Section 19(b...

  6. 75 FR 57097 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-09-17

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62901; File No. SR-BATS-2010-024] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt BATS Rule 2.12, Entitled ``BATS Trading, Inc. as Inbound Router'' and To Make Related...

  7. 78 FR 78424 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-26

    ... Tapes, eliminated the distinction between Derivative Securities Products and Non-Derivative Securities... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71137; File No. SR-CHX-2013-22] Self-Regulatory...) \\1\\ of the Securities Exchange Act of 1934 (``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is...

  8. 77 FR 15417 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2012-03-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66566; File No. SR-ISE-2012-21] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to a... Ownership Interest in ISE Holdings, Inc. to a Newly Formed Swiss Corporation, Eurex Global Derivatives AG...

  9. 75 FR 47049 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-08-04

    ... Derivative Security products under NSX Rule 15.9. Proposed Rule 11.1(c) provides for the benefit of ETP... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62601; File No. SR-NSX-2010-09] Self-Regulatory... Hours July 29, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act...

  10. 77 FR 16883 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2012-03-22

    ...) (noting that the Chicago Mercantile Exchange moved the S&P 500[supreg] futures contract's settlement value... related market disruptions during that period in connection with the dual a.m./p.m.-settlement.\\18..., routine oversight inspections of the Exchange's regulatory programs by the Commission have not uncovered...

  11. 77 FR 4844 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a...

    Science.gov (United States)

    2012-01-31

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66235; File No. SR-CBOE-2011-114] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Complex Order Processing in Hybrid 3.0 Classes January 25, 2012. I. Introduction On November 29, 2011, the Chicago Board Options...

  12. 77 FR 62277 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-10-12

    ... principal office of the Exchange, and at the Commission's Public Reference Room. II. Self-Regulatory... proprietary positions. For example, an LMM may have an incentive to lean their fair value determination in a... filing also will be available for inspection and copying at the principal office of the Exchange. All...

  13. 76 FR 27370 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-05-11

    ... equitable in that it is designed to incentivize Members to use the RDOT or RDOX routing strategies to... pricing structure designed to incent market participants to direct their order flow to the Exchange. The...-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...

  14. 76 FR 22939 - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-04-25

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64153; File No. SR-CFE-2011-002] Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Listing and Trading CBOE Gold ETF Volatility Index Security Futures...

  15. 77 FR 73508 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-12-10

    ... on the Exchange's Web site ( www.cboe.com/AboutCBOE/CBOELegalRegulatoryHome.aspx ), at the Exchange's... ``Disaster Recovery Systems'') in case of the occurrence of some manner of disaster which prevents NY4 from operating. These Disaster Recovery Systems can be accessed via Network Access Ports in Chicago (the...

  16. 75 FR 2915 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Science.gov (United States)

    2010-01-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61317; File No. SR-ISE-2009-103] Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Market Data Fees January 8, 2010. I. Introduction On November 25, 2009, the International...

  17. 77 FR 4852 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Science.gov (United States)

    2012-01-31

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66234; File No. SR-ISE-2011-82] Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Legging Orders January 25, 2012. I. Introduction On November 29, 2011, the International Securities...

  18. 75 FR 64767 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2010-10-20

    ...-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Y-Exchange Rules To Conform to the Current Rules of BATS Exchange October 13, 2010. Pursuant to Section 19(b... hereby given that on October 4, 2010, BATS Y-Exchange, Inc. (the ``Exchange'' or ``BYX'') filed with the...

  19. 76 FR 67238 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change by BATS...

    Science.gov (United States)

    2011-10-31

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65619, File No. SR-BATS-2011-032] Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change by BATS Exchange, Inc. To Adopt Rules Applicable to Auctions Conducted by the Exchange for Exchange-Listed Securities October 25, 2011. I. Introduction On August 22, 2011,...

  20. 76 FR 79254 - Self-Regulatory Organizations; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Order Approving Proposed...

    Science.gov (United States)

    2011-12-21

    ... Market Maker'') in a derivative securities product (``UTP Derivative Security'') that derives its value... Derivative Security on the Exchange(s) from acting or registering as a market maker on any other exchange in any Reference Asset of that UTP Derivative Security, or any derivative instrument based on a Reference...

  1. What determines the exchange rate: economic factors or market sentiment?

    OpenAIRE

    Gregory P. Hopper

    1997-01-01

    Do economic factors influence exchange rates? Or does market sentiment play a bigger role? Are short-run exchange rates predictable? Greg Hopper reviews exchange-rate economics, focusing on what is predictable and what isn't. He also examines the practical implications of exchange-rate theories for currency option pricing, risk management, and portfolio selection.

  2. 78 FR 38420 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-06-26

    ... subtracting an LRP value to a security's last sale price. The Exchange sets and disseminates a specific LRP... Exchange is increasing the highest price per share at which automatic execution is available, the Exchange...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of...

  3. 77 FR 67851 - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Proposed Rule Change To...

    Science.gov (United States)

    2012-11-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68177; File No. SR-BOX-2012-003] Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Proposed Rule Change To Amend the Price Improvement Period November 7, 2012. I. Introduction On July 25, 2012, BOX Options Exchange LLC (``Exchange...

  4. 77 FR 24752 - Self-Regulatory Organizations; EDGA Exchange, Inc.; EDGX Exchange, Inc.; International Securities...

    Science.gov (United States)

    2012-04-25

    ... Securities Holdings, Inc. (``ISE Holdings'') to a newly formed Swiss corporation, Eurex Global Derivatives AG... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66834; File Nos. SR-EDGA-2012-08; SR-EDGX-2012....; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change Relating to a Corporate...

  5. 78 FR 40788 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-08

    ... eliminate references in Sections E.1 and E.8 to ``Derivative Securities Products'' (``DSPs'') and ``Non-Derivative Securities Products'' (``Non-DSPs'') and to eliminate references in Section E.1 to ``Regular... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69903; File No. SR-CHX-2013-12] Self-Regulatory...

  6. 76 FR 61438 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Proposed Rule...

    Science.gov (United States)

    2011-10-04

    ... clarify that 2102(e) applies to trading halts in new derivative securities, so as to not be confused with... derivative securities products when a temporary interruption occurs in the calculation or wide dissemination... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65425; File No. SR-ISE-2011-61] Self-Regulatory...

  7. 78 FR 11258 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-02-15

    ....0022/share in all Derivative Securities Products priced $1.00/share or more executed in the Regular....0022/share in all Derivative Securities Products priced $1.00/share or more executed in the Regular... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68894; File No. SR-CHX-2013-06] Self-Regulatory...

  8. 78 FR 53812 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-30

    ... Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change... Proprietary Trader Program (S501) Continuing Education Regulatory Element Session on the BOX Market LLC (``BOX'') options facility. While changes to the fee schedule pursuant to this proposal will be effective upon...

  9. 78 FR 34421 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-06-07

    .... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... of 15,000 customer open-outcry contracts per day (``CPD'') over the course of a calendar month in... Permit Holders and TPH organizations.\\4\\ As such, the Exchange believed that it was implied that the...

  10. 78 FR 8657 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-06

    ... (February 22, 2012) (SR-EDGA-2012- 05) (adopting EdgeBook Cloud service); see also, Securities Exchange Act...Book Cloud service). C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule... its intent to file the proposed rule change at least five business days prior to the date of filing of...

  11. 78 FR 69468 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-11-19

    ... provide that in situations of a regulatory halt, trading pause or market-wide trading halt, a Post-Halt... situation of a halt pursuant to Rule 504(a), just as today, the Post-Halt Notification will continue to be..., Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090. All submissions should refer...

  12. 75 FR 26303 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-05-11

    ... site at http://www.cboe.org/Legal , at the Exchange's Office of the Secretary, and at the Commission's... agreement dated February 9, 2010 (the ``17d-2 Agreement'') to allocate regulatory responsibility for common... mechanisms of a free and open market and a national market system, and, in general, to protect investors and...

  13. 78 FR 77512 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-23

    ... transactions, to assure the safeguarding of securities and funds which are in the custody or control of the... securities clearing operations of CME or any rights or obligations of CME with respect to securities clearing... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71088; File No. SR-CME-2013-32] Self-Regulatory...

  14. 77 FR 38350 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2012-06-27

    ... Act because it helps to assure the safeguarding of securities and funds which are in its custody or... designated clearing organization; and (iii) the activity relating to the non-security clearing operations of... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67232; File No. SR-CME-2012-24] Self-Regulatory...

  15. 78 FR 42579 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-16

    ..., contracts and transactions, and to assure the safeguarding of securities and funds which are in the custody... affect the security-based swap clearing operations of CME or any related rights or obligations of CME... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69957; File No. SR-CME-2013-10] Self-Regulatory...

  16. 78 FR 42572 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-16

    ... securities and funds which are in the custody or control of the clearing agency and, in general, help to...-based swap clearing operations of CME or any related rights or obligations of CME security-based swap... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69956; File No. SR-CME-2013-09] Self-Regulatory...

  17. 78 FR 67207 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-08

    ..., contracts, and transactions, to assure the safeguarding of securities and funds which are in the custody or... mixed swaps; and (b) does not significantly affect any securities clearing operations of CME or any... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70801; File No. SR-CME-2013-25] Self-Regulatory...

  18. 78 FR 62787 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-22

    ... changes contribute to the safeguarding of securities and funds in CME's custody or control or for which... securities clearing operations of CME or any rights or obligations of CME with respect to securities clearing... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70605; File No. SR-CME-2013-21] Self-Regulatory...

  19. 78 FR 53490 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-29

    ... safeguarding of securities and funds which are in the custody or control of the clearing agency or for which it... operations of CME or any rights or obligations of CME with respect to securities clearing or persons using... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70247; File No. SR-CME-2013-16] Self-Regulatory...

  20. 78 FR 47041 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2013-08-02

    ..., ISE believes that this should dispel any concerns regarding market manipulation. By extension, ISE... Agreement, dated June 20, 1994. The members of the ISG include all of the U.S. registered stock and options..., Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, NASDAQ Stock Market LLC...

  1. 77 FR 74905 - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-12-18

    ... classes that the Market Maker has the general obligation to attract order flow to the Exchange. MIAX will... accordance with instructions received from the applicable Primary Lead Market Maker ``PLMM'' or Lead Market... order that was routed. Regulatory Fees A. Sales Value Fee The Sales Value Fee \\7\\ is assessed by the...

  2. 75 FR 62900 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-10-13

    ...-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on October 4, 2010, International Securities...

  3. 76 FR 1488 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-01-10

    ...-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 28, 2010, the International...

  4. 75 FR 2913 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-01-19

    ...-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options...\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 31, 2009, the International...

  5. 76 FR 20752 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-04-13

    ...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the... whole number, resulting in an implied number of users based on quotes. Market makers are invoiced on a... number of implied users based on quotes. \\5\\ See Exchange Act Release No. 56721 (October 30, 2007), 72 FR...

  6. 76 FR 77881 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-12-14

    ...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the... million and rounded up to the nearest whole number, resulting in an implied number of users based on... that logged into the system, or (b) the number of implied users based on quotes. \\5\\ See Exchange Act...

  7. 75 FR 51138 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-08-18

    ...-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule.... * * * '' The rule includes an exception for any matter that is ``clearly distinguishable as paid advertising... beyond paid advertising to also include compensation paid in connection with research reports and...

  8. 75 FR 51122 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-08-18

    ...-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... as paid advertising.'' EDGA agrees with FINRA's reasoning for proposing changes to its Rule 5230... exceptions in the rule beyond paid advertising to also include compensation paid in connection with research...

  9. 78 FR 70382 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-11-25

    ..., with respect to index options, restrictions on exercise may be in effect until the opening of business... security of an option contract that is scheduled to be released just after the close on the business day... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70900; File No. SR-ISE-2013-58] Self-Regulatory...

  10. 77 FR 32159 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-05-31

    ... the proposed rule change is available on the Exchange's Web site ( http://www.c2exchange.com/Legal... responsibilities. To more accurately reflect the current regulatory and compliance functions of the Regulatory... market and a national market system, and, in general, to protect investors and the public interest. The...

  11. 78 FR 71689 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing of Proposed Minor Rule...

    Science.gov (United States)

    2013-11-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70927; File No. 4-669] Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing of Proposed Minor Rule Violation Plan November 22, 2013... of Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization (``SRO'') promptly...

  12. 77 FR 67722 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Minor Rule...

    Science.gov (United States)

    2012-11-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68170; File No. 4-655] Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Minor Rule Violation Plan November 6, 2012... Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization (``SRO'') promptly file...

  13. 75 FR 2899 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2010-01-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61333; File No. SR-NYSE-2009-117] Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending Its... regulatory program. III. Discussion and Commission's Findings After careful review, the Commission finds that...

  14. 77 FR 57173 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed...

    Science.gov (United States)

    2012-09-17

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67828; File No. SR-C2-2012-030] Self-Regulatory... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory... the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of...

  15. 75 FR 15475 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Minor Rule...

    Science.gov (United States)

    2010-03-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61752; File No. 4-594] Self-Regulatory... Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization promptly file notice... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs...

  16. 75 FR 15471 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Minor Rule...

    Science.gov (United States)

    2010-03-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61753; File No. 4-595] Self-Regulatory... Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization promptly file notice... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs...

  17. 75 FR 64771 - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for BATS Y-Exchange, Inc.

    Science.gov (United States)

    2010-10-20

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63113; File No. 4-616] Self-Regulatory... provisions of Rule 19d-1(c)(1) of the Act \\4\\ requiring that a self-regulatory organization promptly file... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs...

  18. 76 FR 61453 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Proposed Rule Change...

    Science.gov (United States)

    2011-10-04

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65433; File No. SR-C2-2011-024] Self-Regulatory... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory... Office of the Secretary and at the Commission. II. Self-Regulatory Organization's Statement of the...

  19. 77 FR 6166 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-02-07

    ... change is available on the Exchange's Web site ( http://www.c2exchange.com/Legal/ ), at the Exchange's... out its regulatory responsibilities more quickly and efficiently. C2 is proposing to adopt ranges for... mechanism for a free and open market and a national market system, and, in general, to protect investors and...

  20. 75 FR 15476 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-03-29

    ... virtually impossible in the liquid securities traded on the Exchange. \\7\\ This is similar to the method... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61756; File No. SR-NYSE-2010-24] Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of...

  1. 78 FR 50463 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-19

    ... filing are intended to attract order flow to the Exchange by continuing to offer competitive pricing... competitive pricing, which, in turn, will benefit Members of the Exchange. B. Self-Regulatory Organization's... necessarily competitive. The Exchange also believes that its pricing for displayed orders is appropriately...

  2. 75 FR 12590 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule...

    Science.gov (United States)

    2010-03-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61680; File No. SR-CHX-2009-18] Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Its Co-Location Fees March 10, 2010. I. Introduction On December 22, 2009, the Chicago Stock Exchange, Inc. (``CHX'' or...

  3. 78 FR 20160 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Withdrawal of Proposed...

    Science.gov (United States)

    2013-04-03

    ... Organizations; Chicago Mercantile Exchange Inc.; Notice of Withdrawal of Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology March 28, 2013. On December 10, 2012, Chicago Mercantile... Section 19(b)(1) of the Securities Exchange Act of 1934 \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule...

  4. 78 FR 58354 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-09-23

    ... AA classes based on several factors, including competitive forces and trading volume.\\3\\ The Exchange... electronically in additional Hybrid option classes. The Exchange believes this may result in more competitive pricing in IWM and other Hybrid option classes, which will promote just and equitable principles of trade...

  5. Transcription factor trapping by RNA in gene regulatory elements.

    Science.gov (United States)

    Sigova, Alla A; Abraham, Brian J; Ji, Xiong; Molinie, Benoit; Hannett, Nancy M; Guo, Yang Eric; Jangi, Mohini; Giallourakis, Cosmas C; Sharp, Phillip A; Young, Richard A

    2015-11-20

    Transcription factors (TFs) bind specific sequences in promoter-proximal and -distal DNA elements to regulate gene transcription. RNA is transcribed from both of these DNA elements, and some DNA binding TFs bind RNA. Hence, RNA transcribed from regulatory elements may contribute to stable TF occupancy at these sites. We show that the ubiquitously expressed TF Yin-Yang 1 (YY1) binds to both gene regulatory elements and their associated RNA species across the entire genome. Reduced transcription of regulatory elements diminishes YY1 occupancy, whereas artificial tethering of RNA enhances YY1 occupancy at these elements. We propose that RNA makes a modest but important contribution to the maintenance of certain TFs at gene regulatory elements and suggest that transcription of regulatory elements produces a positive-feedback loop that contributes to the stability of gene expression programs. Copyright © 2015, American Association for the Advancement of Science.

  6. 77 FR 52096 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving a Proposed Rule Change, as...

    Science.gov (United States)

    2012-08-28

    ...'s rules, the financial and regulatory risk management controls and supervisory procedures required...-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by... that broker-dealers appropriately control the risks associated with market access, so as not to...

  7. 77 FR 72902 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-12-06

    ... of NYSE Risk Management Gateway). B. Self-Regulatory Organization's Statement on Burden on...-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Availability of Risk Management Tools November 30, 2012. Pursuant to Section...

  8. 77 FR 52097 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving a Proposed Rule Change, as...

    Science.gov (United States)

    2012-08-28

    ... financial and regulatory risk management controls and supervisory procedures required by Rule 15c3-5 under...-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by... that broker-dealers appropriately control the risks associated with market access, so as not to...

  9. 75 FR 26827 - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for EDGA Exchange, Inc.

    Science.gov (United States)

    2010-05-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62037; File No. 4-595] Self-Regulatory... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs... would not be subject to the provisions of Rule 19d-1(c)(1) under the Act\\4\\ requiring that a self...

  10. 75 FR 58011 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Minor Rule...

    Science.gov (United States)

    2010-09-23

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62924; File No. 10-198] Self-Regulatory... subject to the provisions of Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self-regulatory organization... 240.19d-1(c)(1). \\4\\ The Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self...

  11. 75 FR 26822 - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for EDGX Exchange, Inc.

    Science.gov (United States)

    2010-05-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62036; File No. 4-594] Self-Regulatory... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs... would not be subject to the provisions of Rule 19d-1(c)(1) under the Act \\4\\ requiring that a self...

  12. 78 FR 51765 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-21

    ... matters. Many of the fees vary depending on the amount of such services used, so that as the level of...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of... described in Items I and II below, which Items have been prepared by the self-regulatory organization. The...

  13. 76 FR 55148 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To Adopt...

    Science.gov (United States)

    2011-09-06

    ...-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To Adopt Rules for the...-4 thereunder,\\2\\ a proposed rule change to adopt rules for the qualification, listing, and delisting... the Proposal The Exchange proposes rules to adopt a program for the qualification, listing, and...

  14. 75 FR 69491 - Self-Regulatory Organizations; Order Approving Proposed Rule Change by New York Stock Exchange...

    Science.gov (United States)

    2010-11-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63266; File No. SR-NYSE-2010-67] Self-Regulatory Organizations; Order Approving Proposed Rule Change by New York Stock Exchange LLC Changing the NYBX Order Execution Sequence November 5, 2010. I. Introduction On September 9, 2010, the New York...

  15. Regulatory perspectives on human factors validation

    International Nuclear Information System (INIS)

    Harrison, F.; Staples, L.

    2001-01-01

    Validation is an important avenue for controlling the genesis of human error, and thus managing loss, in a human-machine system. Since there are many ways in which error may intrude upon system operation, it is necessary to consider the performance-shaping factors that could introduce error and compromise system effectiveness. Validation works to this end by examining, through objective testing and measurement, the newly developed system, procedure or staffing level, in order to identify and eliminate those factors which may negatively influence human performance. It is essential that validation be done in a high-fidelity setting, in an objective and systematic manner, using appropriate measures, if meaningful results are to be obtained, In addition, inclusion of validation work in any design process can be seen as contributing to a good safety culture, since such activity allows licensees to eliminate elements which may negatively impact on human behaviour. (author)

  16. Human Factors Regulatory Research Program Plan, FY 1989--FY 1992

    International Nuclear Information System (INIS)

    Coffman, F.; Persensky, J.; Ryan, T.; Ramey-Smith, A.; Goodman, C.; Serig, D.; Trager, E; Nuclear Regulatory Commission, Washington, DC; Nuclear Regulatory Commission, Washington, DC; Nuclear Regulatory Commission, Washington, DC

    1989-10-01

    This report describes the currently ongoing (FY 1989) and planned (FY 1989-1992) Human Factors Regulatory Research Program in the NRC Office of Nuclear Regulatory Research (RES). Examples of the influence of human factors on nuclear safety are presented, and the role of personnel is discussed. Current regulatory issues associated with human factors in the nuclear system and the purpose of the research plan are provided. The report describes the research process applied to the human factors research issues and the program activities: Personnel Performance Measurement, Personnel Subsystem, Human-System Interface. Organization and Management, and Reliability Assessment. The research being conducted within each activity is summarized along with the objectives, background information, and expected regulatory products. Budget and personnel forecasts are provided along with a summary of contractors performing some of the ongoing research. Appendices contain a chronology of human factors research at NRC, a description of the research approach, an update on human factors programs and initiatives in RES and other NRC offices, and the integration among these programs. 46 refs., 5 tabs

  17. 77 FR 39789 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-07-05

    ... and provide discounts that are reasonably related to the value of an exchange's market quality... Maker's value in providing liquidity to the market and other related obligations in acting as a Market... associated obligations and fees are a factor in their decision. The proposed Market Maker fees are intended...

  18. Factors contributing to troponin exchange in myofibrils and in solution.

    Science.gov (United States)

    She, M; Trimble, D; Yu, L C; Chalovich, J M

    2000-01-01

    The troponin complex in a muscle fiber can be replaced with exogenous troponin by using a gentle exchange procedure in which the actin-tropomyosin complex is never devoid of a full complement of troponin (Brenner et al. (1999) Biophys J 77: 2677-2691). The mechanism of this exchange process and the factors that influence this exchange are poorly understood. In this study, the exchange process has now been examined in myofibrils and in solution. In myofibrils under rigor conditions, troponin exchange occurred preferentially in the region of overlap between actin and myosin when the free Ca2+ concentration was low. At higher concentrations of Ca2+, the exchange occurred uniformly along the actin. Ca2+ also accelerated troponin exchange in solution but the effect of S1 could not be confirmed in solution experiments. The rate of exchange in solution was insensitive to moderate changes in pH or ionic strength. Increasing the temperature resulted in a two-fold increase in rate with each 10 degrees C increase in temperature. A sequential two step model of troponin binding to actin-tropomyosin could simulate the observed association and dissociation transients. In the absence of Ca2+ or rigor S1, the following rate constants could describe the binding process: k1 = 7.12 microM(-1) s(-1), k(-1) = 0.65 s(-1), k2 = 0.07 s(-1), k(-2) = 0.0014 s(-1). The slow rate of detachment of troponin from actin (k(-2)) limits the rate of exchange in solution and most likely contributes to the slow rate of exchange in fibers.

  19. RADGEN: A radiation exchange factor generator for rod bundles

    International Nuclear Information System (INIS)

    Rector, D.R.

    1987-10-01

    The RADGEN computer program has been developed at Pacific Northwest Laboratory (PNL) to generate input required for the thermal radiation models used in the COBRA-SFS (Spent Fuel Storage) computer program. The COBRA-SFS program uses radiation exchange factors to describe the net amount of energy transferred from each surface to every other surface in an enclosure. The RADGEN program generates radiation exchange factors for arrays of rods on a square or triangular pitch as well as open channel geometries. This report describes the input requirements for the RADGEN code, which may be executed in a batch or interactive mode, and outlines the solution procedure used to obtain the exchange factors. 4 refs., 25 figs., 13 tabs

  20. 76 FR 72011 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-11-21

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65744; File No. SR-C2-2011-034] Self-Regulatory... Change Related to the Quote Risk Monitor Mechanism November 14, 2011. Pursuant to Section 19(b)(1) of the...\\ 15 U.S.C. 78s(b)(3)(A)(iii). \\4\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement...

  1. 76 FR 72991 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-11-28

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65800; File No. SR-C2-2011-035] Self-Regulatory... Rule Change Related to a Temporary Quote Risk Monitor Mechanism Rule November 21, 2011. Pursuant to...). \\2\\ 17 CFR 240.19b-4. \\3\\ 15 U.S.C. 78s(b)(3)(A)(iii). \\4\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory...

  2. U.S. Nuclear Regulatory Commission human factors program plan

    International Nuclear Information System (INIS)

    1986-04-01

    The purpose of the U.S. Nuclear Regulatory Commission (NRC) Human Factors Program Plan is to ensure that proper consideration is given to human factors in the design and operation of nuclear facilities. This revised plan addresses human factors issues related to the operation of nuclear power plants (NPPs). The three issues of concern are (1) the activities planned to provide the technical bases to resolve the remaining tasks related to human factors as described in NUREG-0660, The NRC Action Plan Developed as a Result of the TMI-2 Accident, and NUREG-0737, Clarification of TMI Action Plan Requirements; (2) the need to address the additional human factors efforts that were identified during implementation of the Action Plan; and (3) the actual fulfillment of those developmental activities specified in Revision 1 of this plan. The plan represents a systematic approach for addressing high priority human factors concerns important to NPP safety in FY 1986 through 1987

  3. 75 FR 32977 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-06-10

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed... Permit Opening Transactions by Market Makers To Accommodate Closing Transactions of Other Market... International Securities Exchange, LLC (``Exchange'' or ``ISE'') filed with the Securities and Exchange...

  4. 78 FR 15394 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2013-03-11

    ...-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Adopting... paragraph (d) it contains a provision establishing how the transition period from NYSE Rule 477 will work... to announce the effective date of the new rules at least 30 days in advance in an Information...

  5. 76 FR 64154 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-10-17

    ... furtherance of the Exchange's outsourcing of its surveillance and other regulatory functions to FINRA pursuant... the October 17, 2011 deadline. See e.g., http://www.finra.org/Industry/Compliance/MarketTransparency... 7420 through 7460 will be construed as NYSE Rules 7420 through 7460 for compliance purposes. As such...

  6. TuBaFrost 3: regulatory and ethical issues on the exchange of residual tissue for research across Europe

    NARCIS (Netherlands)

    van Veen, E.-B.; Riegman, P. H. J.; Dinjens, W. N. M.; Lam, K. H.; Oomen, M. H. A.; Spatz, A.; Mager, R.; Ratcliffe, C.; Knox, K.; Kerr, D.; van Damme, B.; van de Vijver, M.; van Boven, H.; Morente, M. M.; Alonso, S.; Kerjaschki, D.; Pammer, J.; Lopez-Guerrero, J. A.; Llombart Bosch, A.; Carbone, A.; Gloghini, A.; Teodorovic, I.; Isabelle, M.; Passioukov, A.; Lejeune, S.; Therasse, P.; Oosterhuis, J. W.

    2006-01-01

    The regulatory regimes for research with residual tissue and accompanying data differ widely between countries in the European Union (EU): from specific consent to opt-out or even no consent at all. This could greatly hamper research where the exchange of tissue and accompanying data has become the

  7. 77 FR 35455 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed...

    Science.gov (United States)

    2012-06-13

    ...-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Amending NYSE Rule 107B To Add a Class of Supplemental Liquidity Providers That Are Registered as Market... proposed rule change to amend NYSE Rule 107B to add a class of Supplemental Liquidity Providers (``SLP...

  8. 75 FR 58452 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-09-24

    ... relevant part, old Rules 342.30(d) and (e) and Rule Interpretation 311(b)(5); Rule 3310 (Anti-Money...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of... to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for...

  9. 78 FR 62907 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-22

    ...-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed... it is not proposing to modify any of the existing rebates or fees or the percentage thresholds at... will qualify for, providing Members with an increased certainty as to their monthly cost for trades...

  10. 75 FR 1438 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Science.gov (United States)

    2010-01-11

    ...)(iv). Finally, because DMMs no longer act as agent for orders on the Display Book under the rules of... the Policy would not be in violation the Order Display rule \\8\\ and/or the Firm Quote rule \\9\\ under...-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Rescinding...

  11. 75 FR 28831 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule...

    Science.gov (United States)

    2010-05-24

    ... second by comparing each last consolidated sale price of a security (``Trigger Trade'') during the...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change Adding Rule 80C To Provide for a Trading Pause for Individual Securities When the Price Moves 10 Percent or More...

  12. Identification of regulatory targets for the bacterial Nus factor complex.

    Science.gov (United States)

    Baniulyte, Gabriele; Singh, Navjot; Benoit, Courtney; Johnson, Richard; Ferguson, Robert; Paramo, Mauricio; Stringer, Anne M; Scott, Ashley; Lapierre, Pascal; Wade, Joseph T

    2017-12-11

    Nus factors are broadly conserved across bacterial species, and are often essential for viability. A complex of five Nus factors (NusB, NusE, NusA, NusG and SuhB) is considered to be a dedicated regulator of ribosomal RNA folding, and has been shown to prevent Rho-dependent transcription termination. Here, we identify an additional cellular function for the Nus factor complex in Escherichia coli: repression of the Nus factor-encoding gene, suhB. This repression occurs primarily by translation inhibition, followed by Rho-dependent transcription termination. Thus, the Nus factor complex can prevent or promote Rho activity depending on the gene context. Conservation of putative NusB/E binding sites upstream of Nus factor genes suggests that Nus factor autoregulation occurs in many bacterial species. Additionally, many putative NusB/E binding sites are also found upstream of other genes in diverse species, and we demonstrate Nus factor regulation of one such gene in Citrobacter koseri. We conclude that Nus factors have an evolutionarily widespread regulatory function beyond ribosomal RNA, and that they are often autoregulatory.

  13. Overview of NRC's human factors regulatory research program

    International Nuclear Information System (INIS)

    Coffman, F.D. Jr.

    1989-01-01

    The human factors research program is divided into distinct and interrelated program activities: (1) Personnel Performance measurement, (2) Personnel Subsystem, (3) Human-System Interface, (4) Organization and Management, and (5) a group of Reliability Assessment activities. The purpose of the Personnel Performance Measurement activity is to improve the Agency's understanding of the factors influencing personnel performance and the effects on the safety of nuclear operations and maintenance by developing improvements to methods for collecting and managing personnel performance data. Personnel Subsystem research will broaden the understanding of such factors as staffing, qualifications, and training that influence human performance in the nuclear system and will develop the technical basis for regulatory guidance to reduce any adverse impact of these influences on nuclear safety. Research in the Human-System Interface activity will provide the technical basis for ensuring that the interface between the system and the human user supports safe operations and maintenance. Organization and Management research will result in the development of tools for evaluating organization and management issues within the nuclear industry. And finally, the Reliability Assessment group of activities includes multidisciplinary research that will integrate human and hardware considerations for evaluating reliability and risk in NRC licensing, inspection, and regulatory decisions

  14. 76 FR 56246 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-09-12

    ... Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule..., 2011, the Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange... methodology is less subject to manipulation and will allow the Exchange to recoup some of the costs of...

  15. 78 FR 58359 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-23

    ... Exchange, therefore, opted to provide a higher introductory rate for Maker Rebates in order to attract... rate of fees and rebates the Exchange currently provides for trading in Standard Options. The Exchange... order flow to another exchange if they deem rebates at a particular exchange to be too low. For the...

  16. Factors affecting self-regulatory driving practices among older adults.

    Science.gov (United States)

    Molnar, Lisa J; Charlton, Judith L; Eby, David W; Langford, Jim; Koppel, Sjaan; Kolenic, Giselle E; Marshall, Shawn

    2014-01-01

    The primary objective of this study was to better understand how self-regulatory driving practices at multiple levels of driver decision making are influenced by various factors. Specifically, the study investigated patterns of tactical and strategic self-regulation among a sample of 246 Australian older drivers. Of special interest was the relative influence of several variables on the adoption of self-regulation, including self-perceptions of health, functioning, and abilities for safe driving and driving confidence and comfort. The research was carried out at the Monash University Accident Research Centre, as part of its Ozcandrive study, a partnership with the Canadian Driving Research Initiative for Vehicular Safety in the Elderly (Candrive), and in conjunction with the University of Michigan Transportation Research Institute (UMTRI). Candrive/Ozcandrive represents the first study to follow a large group of older drivers over several years and collect comprehensive self-reported and objectively derived data on health, functioning, and driving. This study used a subset of data from the Candrive/Ozcandrive study. Upon enrolling in the study, participants underwent a comprehensive clinical assessment during which data on visual, cognitive, and psychomotor functioning were collected. Approximately 4 months after study enrollment, participants completed the Advanced Driving Decisions and Patterns of Travel (ADDAPT) questionnaire, a computer-based self-regulation instrument developed and pilot-tested at UMTRI. Self-regulation among older adults was found to be a multidimensional concept. Rates of self-regulation were tied closely to specific driving situations, as well as level of decision making. In addition, self-regulatory practices at the strategic and tactical levels of decision making were influenced by different sets of factors. Continuing efforts to better understand the self-regulatory practices of older drivers at multiple levels of driver performance and

  17. DNA residence time is a regulatory factor of transcription repression

    Science.gov (United States)

    Clauß, Karen; Popp, Achim P.; Schulze, Lena; Hettich, Johannes; Reisser, Matthias; Escoter Torres, Laura; Uhlenhaut, N. Henriette

    2017-01-01

    Abstract Transcription comprises a highly regulated sequence of intrinsically stochastic processes, resulting in bursts of transcription intermitted by quiescence. In transcription activation or repression, a transcription factor binds dynamically to DNA, with a residence time unique to each factor. Whether the DNA residence time is important in the transcription process is unclear. Here, we designed a series of transcription repressors differing in their DNA residence time by utilizing the modular DNA binding domain of transcription activator-like effectors (TALEs) and varying the number of nucleotide-recognizing repeat domains. We characterized the DNA residence times of our repressors in living cells using single molecule tracking. The residence times depended non-linearly on the number of repeat domains and differed by more than a factor of six. The factors provoked a residence time-dependent decrease in transcript level of the glucocorticoid receptor-activated gene SGK1. Down regulation of transcription was due to a lower burst frequency in the presence of long binding repressors and is in accordance with a model of competitive inhibition of endogenous activator binding. Our single molecule experiments reveal transcription factor DNA residence time as a regulatory factor controlling transcription repression and establish TALE-DNA binding domains as tools for the temporal dissection of transcription regulation. PMID:28977492

  18. Uncovering Transcriptional Regulatory Networks by Sparse Bayesian Factor Model

    Directory of Open Access Journals (Sweden)

    Qi Yuan(Alan

    2010-01-01

    Full Text Available Abstract The problem of uncovering transcriptional regulation by transcription factors (TFs based on microarray data is considered. A novel Bayesian sparse correlated rectified factor model (BSCRFM is proposed that models the unknown TF protein level activity, the correlated regulations between TFs, and the sparse nature of TF-regulated genes. The model admits prior knowledge from existing database regarding TF-regulated target genes based on a sparse prior and through a developed Gibbs sampling algorithm, a context-specific transcriptional regulatory network specific to the experimental condition of the microarray data can be obtained. The proposed model and the Gibbs sampling algorithm were evaluated on the simulated systems, and results demonstrated the validity and effectiveness of the proposed approach. The proposed model was then applied to the breast cancer microarray data of patients with Estrogen Receptor positive ( status and Estrogen Receptor negative ( status, respectively.

  19. Targeting Interferon Regulatory Factor for Cardiometabolic Diseases: Opportunities and Challenges.

    Science.gov (United States)

    Zhang, Yaxing; Zhang, Xiao-Jing; Li, Hongliang

    2017-01-01

    The pathological activation of innate immune system may contribute to the development of cardiometabolic diseases. The interferon regulatory factor (IRF) family members, which are the major transcription factors in innate immune signaling, are implicated in cardiometabolic diseases. The aim of this review is to summary the current knowledge of the biological functions of IRFs in innate immune responses and immune cell development, and highlight our contemporary understanding of the functions and molecular mechanisms of IRFs in metabolic diseases, cardiovascular remodeling, and stroke. IRFs are the essential regulators of cardiometabolic diseases via immune-dependent and - independent manners. IRFs signaling is the promising target to manage the initiation and progression of cardiometabolic disorders. Copyright© Bentham Science Publishers; For any queries, please email at epub@benthamscience.org.

  20. 75 FR 3773 - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and...

    Science.gov (United States)

    2010-01-22

    ... on the Exchange's website ( http://www.cboe.org/legal ), at the Exchange's Office of the Secretary... message traffic. The Exchange believes liquidity providers generally are quoting more efficiently in... capacity to handle greater quote message traffic. Accordingly, the Exchange believes it would be...

  1. 77 FR 10026 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2012-02-21

    ... Substance of the Proposed Rule Change The Exchange is proposing to amend its complex order processing rules... Exchange notes that at least one other options exchange that offers electronic complex order processing... simplify the rule text. In addition, the Exchange is proposing certain changes to simplify the definitions...

  2. 77 FR 37082 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-06-20

    ... its market share in these products. The Exchange believes this proposed rule change will also serve to... differentiation that exists today at other option exchanges. The Exchange believes it remains an attractive venue... for similar trading strategies. The Exchange operates in a highly competitive market in which market...

  3. 75 FR 7299 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed...

    Science.gov (United States)

    2010-02-18

    ... to the U.S. Exchange Holdings, Inc. Corporate Documents and International Securities Exchange Trust... change relating to the U.S. Exchange Holdings, Inc. (``U.S. Exchange Holdings'') Corporate Documents (as... Holdings purchased an ownership interest in Direct Edge by contributing cash and the marketplace then...

  4. 77 FR 8928 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-15

    ... is shared by NASDAQ and the following SROs: Boston Options Exchange, C2 Options Exchange... Exchange's responsibility to prescribe standards of training, experience, and competence for Exchange... levels of competence and knowledge generally applicable to proprietary trading. \\16\\ 15 U.S.C. 78f(b...

  5. 77 FR 31059 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-05-24

    ... structure for logical ports used to receive Multicast PITCH data from the Exchange, but rather, simply an... logical ports necessary to receive Multicast PITCH data from the Exchange, which is reflected on the... includes one port at the Exchange's primary data center and another port at the Exchange's secondary data...

  6. 78 FR 30357 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-05-22

    ... depending upon the contra order account type in the transaction. The Exchange proposes the fees and credits... on the Exchange. The Exchange proposes Complex Order Fees in Mini Options at a rate that is 1/10th the rate of the otherwise applicable Complex Order Fees outlined above. The Exchange believes the...

  7. 78 FR 77178 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-12-20

    ... Members that achieve Tier 2 or higher as shown in the table below. \\4\\ The Exchange offers a rebate in... higher as shown in the table below. \\5\\ The Exchange offers a rebate in Standard and Mini Options for... orders, which are similar to the Exchange's taker rates described above. The Exchange is proposing to...

  8. 75 FR 39319 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-07-08

    ... of Directed ISOs, it charges a higher routing fee for such orders. Finally, because the Exchange... direct their order flow to the Exchange. Finally, the Exchange believes that the proposed rates are... Exchange believes that the proposed rates further the objectives of Regulation NMS by promoting competition...

  9. 77 FR 34436 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2012-06-11

    ... Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Temporarily... International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange... Clearing and Outsourcing Solutions, Inc. (``Apex Clearing'') as an ISE member organization, subject to Apex...

  10. 77 FR 58198 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-19

    ... Change Related to Fees Applicable to the Exchange's Competitive Liquidity Provider Program. September 13... Competitive Liquidity Providers (``CLPs'') to enhance liquidity on the Exchange in Exchange- listed securities (``Competitive Liquidity Provider Program'' or ``CLP Program'').\\6\\ The Exchange subsequently adopted financial...

  11. Scambio, a novel guanine nucleotide exchange factor for Rho

    Directory of Open Access Journals (Sweden)

    Groffen John

    2004-04-01

    Full Text Available Abstract Background Small GTPases of the Rho family are critical regulators of various cellular functions including actin cytoskeleton organization, activation of kinase cascades and mitogenesis. For this reason, a major objective has been to understand the mechanisms of Rho GTPase regulation. Here, we examine the function of a novel protein, Scambio, which shares homology with the DH-PH domains of several known guanine nucleotide exchange factors for Rho family members. Results Scambio is located on human chromosome 14q11.1, encodes a protein of around 181 kDa, and is highly expressed in both heart and skeletal muscle. In contrast to most DH-PH-domain containing proteins, it binds the activated, GTP-bound forms of Rac and Cdc42. However, it fails to associate with V14RhoA. Immunofluorescence studies indicate that Scambio and activated Rac3 colocalize in membrane ruffles at the cell periphery. In accordance with these findings, Scambio does not activate either Rac or Cdc42 but rather, stimulates guanine nucleotide exchange on RhoA and its close relative, RhoC. Conclusion Scambio associates with Rac in its activated conformation and functions as a guanine nucleotide exchange factor for Rho.

  12. Clinical trials in "emerging markets": regulatory considerations and other factors.

    Science.gov (United States)

    Singh, Romi; Wang, Ouhong

    2013-11-01

    Clinical studies are being placed in emerging markets as part of global drug development programs to access large pool of eligible patients and to benefit from a cost effective structure. However, over the last few years, the definition of "emerging markets" is being revisited, especially from a regulatory perspective. For purposes of this article, countries outside US, EU and the traditional "western countries" are discussed. Multiple factors are considered for placement of clinical studies such as adherence to Good Clinical Practice (GCP), medical infrastructure & standard of care, number of eligible patients, etc. This article also discusses other quantitative factors such as country's GDP, patent applications, healthcare expenditure, healthcare infrastructure, corruption, innovation, etc. These different factors and indexes are correlated to the number of clinical studies ongoing in the "emerging markets". R&D, healthcare expenditure, technology infrastructure, transparency, and level of innovation, show a significant correlation with the number of clinical trials being conducted in these countries. This is the first analysis of its kind to evaluate and correlate the various other factors to the number of clinical studies in a country. © 2013.

  13. Study on influencing factors for hydrogen isotopic exchange

    International Nuclear Information System (INIS)

    Gu Mei; Liu Jun; Luo Yangming

    2013-01-01

    Background: Hydrogen-water catalytic exchange reaction offers an approach to hydrogen isotope separation, which can be applied in heavy water detritiation. Purpose: To optimize the operating condition for hydrogen-water catalytic exchange reaction, we analysed the influence of different factors on the transfer coefficient. Methods: In detail, the isotope exchange experiments of H-D system were carried out in a self-designed catalytic bed loaded with hydrophobic catalyst and hydrophilic packing with certain volume ratio. The experiments showed the changes of both the transfer coefficient and the pressure drop of column with the changing of the operational temperatures (29℃, 45℃, 60℃ and 75℃), the ratios of gas to liquid (0.58, 1.17, 2.65, 3.54) and the deuterium concentrations (5.05×10 -3 , 1.0144×10 -2 , 2.01×10 -2 ). Results: Results showed that 45℃ is the optimal temperature for operating. The transfer coefficient increases with the increasing of the ratio of gas to liquid in the ranges of 0.58 to 1.17 and 2.65 to 3.56, while decreases with the deuterium concentration increases from 5.05×10 -3 to 2.01×10 -2 . The pressure drop of column increases with increasing of gas flow rate. Conclusions: The experiment proves that the ratio of gas to liquid, the reaction temperature and the deuterium concentration are all important factors, which influence the transfer coefficient of deuterium obviously. The optimal operating condition for hydrogen-water catalytic exchange reaction are as follows: the temperature is 45℃, the ratio of gas to liquid is 3.56, and the deuterium concentration is 2.01×10 -2 . (authors)

  14. 77 FR 61449 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-10-09

    ..., regulatory and other risks of this business activity. These controls include financial risk management... entry of erroneous orders. In addition, the Market Access Rule requires certain regulatory risk... authorized by the broker-dealer. These regulatory risk management controls also include measures designed to...

  15. 76 FR 47630 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-08-05

    ... data and other products available to persons that are not members of the self-regulatory organization... in self-regulatory organization governance was mandated by the Act, non-members should be given the... the evolution of self-regulatory organization governance and competitive market structure have...

  16. 76 FR 82017 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2011-12-29

    ... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule... System platform are contained in Chapter XXIVB. II. Self-Regulatory Organization's Statement of the... in sections A, B, and C below, of the most significant parts of such statements. A. Self-Regulatory...

  17. 77 FR 306 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2012-01-04

    ...). \\2\\ 17 CFR 240.19b-4. Self-Regulatory Organization's Statement of the Terms of Substance of the... contained in Chapter XXIVB. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the self-regulatory organization...

  18. 76 FR 61447 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed...

    Science.gov (United States)

    2011-10-04

    ... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule... its filing with the Commission, the self-regulatory organization included statements concerning the... such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for...

  19. 75 FR 39608 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-07-09

    ... rule proposal is available on the Exchange's website ( http://www.cboe.org/legal ), at the Exchange's... have the necessary systems capacity to handle the potential additional traffic associated with the...

  20. 78 FR 17259 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-03-20

    ... Gold Trust (``GLD''), Google Inc. (``GOOG'') and Amazon.com Inc. (``AMZN''). The Exchange notes that... the proposed rule change is also available on the Exchange's Web site at http://www.miaxoptions.com...

  1. 78 FR 69496 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-19

    ... the Exchange is not aware of any problems that BOX Options Participants would have in complying with... change that the Exchange may make to the ORF. In any event, because competitors are free to modify their...

  2. 78 FR 76665 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-18

    ... intended to address any other issues and the Exchange is not aware of any problems that Members would have... the Exchange's competitors. The proposed rule change is designed to provide consistency to Members by...

  3. 78 FR 76682 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-18

    ... intended to address any other issues and the Exchange is not aware of any problems that Members would have... the Exchange's competitors. The proposed rule change is designed to provide consistency to Members by...

  4. 77 FR 35719 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-06-14

    ... Exchange's Web site at http://www.batstrading.com , at the principal office of the Exchange, and at the... generally, market makers and other participants alike, in managing risk and providing deep and liquid...: [[Page 35721

  5. 77 FR 16304 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-03-20

    ... pricing that reduces rates for ISE Market Makers based on the level of business they bring to the Exchange.\\15\\ This proposed rule change targets a particular segment in which the Exchange seeks to attract... specific FX Options which has its own pricing. See ISE Schedule of Fees. \\15\\ The Exchange currently has a...

  6. 78 FR 20706 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-05

    ... formal disciplinary action against a firm. The Exchange proposes to add to Rule 12140(d)(9) specific... Formal Disciplinary Action. These changes are based on the rules of the Chicago Board Option Exchange...-through violations. Exchange Rule 12140 provides that in lieu of commencing a disciplinary proceeding, the...

  7. 77 FR 11179 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-24

    ... or less than issuers would pay at other exchanges. For instance, derivative securities products and... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66422; File No. SR-BATS-2012-010] Self... the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby...

  8. 77 FR 33543 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2012-06-06

    ... risk management strategies and decisions. However, due to limitations imposed by ISE's rules, the... risk management purposes. 2. Statutory Basis The Exchange believes that the proposed rule change is... strategies on the Exchange. The Exchange believes that this precision is increasingly necessary, and in fact...

  9. 75 FR 2166 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-01-14

    ... Effectiveness of Proposed Rule Change Relating to Exchange Fees for Fiscal Year 2010 January 6, 2010. Pursuant..., and the Installation fee of $500 for satellite TV under Section 8(F)(10) of the Fees Schedule; Trade... Exchange's marketing fee\\22\\ shall not apply. The Exchange believes the rule change will further the...

  10. 78 FR 69470 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-11-19

    ... in BATS Rule 11.13(a)(3)(H). Modifications to Definitions Used for Equities Pricing Tiers The... change to its definitions of ADV and TCV for purposes of BYX tiered pricing.\\13\\ \\12\\ Securities Exchange... strategies at the Exchange's affiliate, BATS Y-Exchange, Inc. (``BYX''); and (2) modify the way that, for...

  11. 77 FR 9714 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-17

    ... program is shared by NASDAQ and the following SROs: Boston Options Exchange, C2 Options Exchange... competence for Exchange Members and their associated persons, in particular, by offering an alternative... specified levels of competence and knowledge generally applicable to proprietary trading. \\16\\ 15 U.S.C. 78f...

  12. 78 FR 29805 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-05-21

    ... at the Exchange's primary data center and one port at the Exchange's secondary data center. With... primary data center and that no logical port fees will be assessed for redundant secondary data center... Members or non- members, as the Exchange is already providing secondary data center ports free of charge...

  13. 76 FR 20754 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-04-13

    ... members for potential participation and/or price improvement. \\9\\ A Complex Order is defined in Exchange...\\ An order means a commitment to buy or sell securities as defined in Exchange Rule 715. The proposed... applies.\\20\\ Both the Phlx and the CBOE fees are in essence fees charged by those exchanges for services...

  14. 77 FR 72894 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-12-06

    ... by Members. As is currently the case, orders subject to the Tool will be validated by the Exchange... Change To Expand the Availability of Risk Management Tools November 30, 2012. Pursuant to Section 19(b)(1... Exchange's Risk Management Tool (the ``Tool'') to all Exchange Members.\\3\\ The Tool is currently available...

  15. 77 FR 5595 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-02-03

    ... from $225 per month (per login ID) to $350 per month (per login ID). The Exchange's vendor that provides the FBW charges the Exchange more than $225 per month (per login ID) for the FBW (actually, more than $350 per month (per login ID)), and the Exchange had been subsidizing those costs for FBW users...

  16. 76 FR 47627 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-08-05

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Two Market Data Feeds August 1, 2011. Pursuant to Section 19(b)(1) of the... on August 1, 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed...

  17. 76 FR 51075 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval to...

    Science.gov (United States)

    2011-08-17

    ... Organizations; International Securities Exchange, LLC; Order Granting Approval to a Proposed Rule Change Relating to Appointments to Competitive Market Makers August 11, 2011. I. Introduction On June 10, 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities...

  18. 77 FR 37722 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-06-22

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Rules and Fees Related to the Second Market June 18, 2012. Pursuant to...\\ notice is hereby given that on June 6, 2012, the International Securities Exchange, LLC (the ``Exchange...

  19. 78 FR 24271 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-04-24

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Maker Plus Rebate Program April 18, 2013. Pursuant to Section 19(b)(1... hereby given that on April 10, 2013, the International Securities Exchange, LLC (the ``Exchange'' or the...

  20. 78 FR 17988 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-03-25

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quoting Requirements March 19, 2013. Pursuant to Section 19(b)(1) of... given that on March 5, 2013, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE...

  1. 78 FR 45580 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-07-29

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Market Maker Fees July 23, 2013. Pursuant to Section 19(b)(1) of the... hereby given that on July 11, 2013, the International Securities Exchange, LLC (the ``Exchange'' or the...

  2. 76 FR 32382 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-06-06

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Second Market Fees May 27, 2011. Pursuant to Section 19(b)(1) of the Securities..., 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the...

  3. 76 FR 56832 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-09-14

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a New Market Data Feed September 8, 2011. Pursuant to Section 19(b)(1) of the... on August 31, 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE...

  4. 76 FR 37863 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-06-28

    ... Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Appointments to Competitive Market Makers June 22, 2011. Pursuant to Section 19(b)(1) of the Securities... that on June 10, 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE...

  5. 75 FR 3951 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-01-25

    ... difference is that the Exchange used clearing firm floating monthly rate information for the month of January... changes in clearing firm floating monthly rates for the month of January 2010. The Exchange believes that... fees are currently set at the indicative lease rate (as defined below) for December 2009. The Exchange...

  6. 75 FR 7301 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-02-18

    ... difference is that the Exchange used clearing firm floating monthly rate information for the month of... account changes in clearing firm floating monthly rates for the month of February 2010. The Exchange... fees are currently set at the indicative lease rate (as defined below) for January 2010. The Exchange...

  7. 75 FR 11962 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-03-12

    ... difference is that the Exchange used clearing firm floating monthly rate information for the month of March... changes in clearing firm floating monthly rates for the month of March 2010. The Exchange believes that... equal to the indicative lease rate for March 2010 (which is $4,875). Specifically, the Exchange proposes...

  8. 76 FR 45626 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-07-29

    ... executions submitted through an Institutional Broker.\\7\\ The Exchange is also lowering the rate of the... remainders would be charged the fee rate set forth in Section E.1. of the Fee Schedule. The Exchange is... Schedule. The Exchange is also modifying the types of transactions subject to the Trade Processing Fee to...

  9. 78 FR 23806 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-04-22

    ... participants the ability to utilize an order type that does not route to other exchanges. Specifically, the Do... Exchange is proposing to charge the same rate for transactions in Mini Options, $0.004 per contract, since..., the Exchange feels that it is appropriate to charge the ORF at the same rate as the standard option...

  10. 77 FR 68183 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-11-15

    .... The Exchange has found that this type of transaction is rarely utilized and, therefore, such credits... to a rate of 10%. The Exchange believes that this amendment will bring result in an equitable... Institutional Brokers only rarely utilize this type of transaction, the Exchange believes that it is not...

  11. 77 FR 28643 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-05-15

    ... Exchange, Inc. (the ``Current Bylaws'') to conform with the Exchange's current corporate governance... concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on... governance practices. In addition, the Exchange proposes to address other non- substantive revisions to...

  12. 77 FR 28649 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-05-15

    ... Exchange, Inc. (the ``Current Bylaws'') to conform with the Exchange's current corporate governance... concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on... governance practices. In addition, the Exchange proposes to address other non- substantive revisions to...

  13. 78 FR 56253 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-09-12

    ... number of strike prices being opened above and below the value of the underlying security at about the... the Exchange Act. To the contrary, the Exchange believes the proposal is pro-competitive. In this... the same manner as other exchanges.\\12\\ In sum, the proposed rule change presents no novel issues, and...

  14. 78 FR 13919 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-01

    ... Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Exchange proposes to amend Article 8, Rule 13 (Advertising, Promotion and Telemarketing), which, among.... Date of Effectiveness of the Proposed Rule Changes and Timing for Commission Action The Exchange...

  15. 76 FR 28264 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-05-16

    ... Effectiveness of Proposed Rule Change Relating to the Strategy Fee Cap and Clarifications to the CBOE Fees... Chicago Board Options Exchange, Incorporated (``CBOE'' or ``Exchange'') proposes to amend its strategy fee... Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange currently caps market-maker and broker...

  16. 77 FR 57633 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-18

    ... liquidity'' ratio.\\11\\ The Exchange believes this amendment to Footnotes 12 and 13 supports the Exchange's... transparency for its Members. \\11\\ The ``add liquidity'' ratio is the ratio of the ``added'' flags/(``added... Exchange's fee schedule for Non-Displayed Orders that add liquidity using the Route Peg Order type.\\4\\ The...

  17. 77 FR 56890 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-14

    ... Identifier (``MPID'') achieves an add liquidity ratio equal to or greater than 10%. The Exchange will... removal rate of $0.0029 per share where an MPID achieves an add liquidity ratio equal to or greater than... add liquidity ratio in Footnote 12 of the Exchange's fee schedule. \\7\\ The Exchange notes that the...

  18. 75 FR 70326 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-11-17

    ... quotes/orders. While Members that generally remove liquidity from the Exchange will be paying a higher fee, the Exchange believes that such Members will benefit to the extent the higher rebate paid by the... charged by other venues. Finally, the Exchange believes that the proposed rates are equitable in that they...

  19. 78 FR 1907 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-09

    ... than passing the costs of these higher order volumes along to all market participants, the Exchange... manner. Generally, competing options exchanges assess Professionals fees at comparable rates to those... through better executions on BOX, a monthly average of more than $3.5 million over that time. The Exchange...

  20. 78 FR 11243 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-02-15

    ... competitive pricing structure designed to incent market participants to direct their order flow to the Exchange, and the Exchange believes that such structure will help the Exchange remain competitive with... highly-competitive market in which market participants can readily direct order flow to competing venues...

  1. 78 FR 10228 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-02-13

    ... be excessive. The proposed rule change reflects a competitive pricing structure designed to incent... the Exchange. The Exchange also notes that it operates in a highly-competitive market in which market... structure will help the Exchange remain competitive with those fees and rebates assessed by other venues. C...

  2. 75 FR 1674 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-01-12

    ... excessive. The proposed rule change reflects a competitive pricing structure designed to incent market...) (SR-ISE-2009-24). To adjust DECN's pricing model to be more consistent with other exchanges (even though DECN is not an exchange),\\7\\ the Exchange is now proposing to de-link the pricing structures of...

  3. 78 FR 45590 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-07-29

    ... recently increased as a result of the Exchange's changing the way Priority Customer and Professional... Exchange recently increased as a result of the Exchange's changing the way Priority Customer and..., and all written communications relating to the proposed rule change between the Commission and any...

  4. 78 FR 30367 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-05-22

    ... product by keeping the Jumbo SPY Options fees low and easy for investors to understand. The Exchange... charge the same rate for transactions in Jumbo SPY Options, since the costs to the Exchange to process... charge the ORF at the same rate as the standard contract. 2. Statutory Basis The Exchange believes that...

  5. 77 FR 11608 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-27

    ... Change Adopting Rebates for the Competitive Liquidity Provider Program February 21, 2012. Pursuant to... makers registered with the Exchange as Competitive Liquidity Providers (``CLPs'') to enhance liquidity on the Exchange in securities listed on the Exchange (the ``Competitive Liquidity Provider Program'' or...

  6. 77 FR 20680 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-04-05

    ... index options; and $0.40 per contract in volatility index options. The Exchange notes that CBOE Market.... The Exchange also notes that the $0.25 per contract transaction rates for Professionals and Voluntary... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66704; File No. SR-CBOE-2012-030] Self...

  7. 78 FR 64046 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-25

    ... aligning them more closely with the corresponding FINRA rules. Moreover, the Exchange believes that.... Accordingly, the Exchange believes that the proposed rule change would promote a free and open market and a... change would clarify certain provisions of the Exchange's rules and make them substantially similar to...

  8. Uniformity factor of temperature difference in heat exchanger networks

    International Nuclear Information System (INIS)

    Chen, Shang; Cui, Guo-min

    2016-01-01

    Highlights: • A uniformity factor of temperature (UFTD) is proposed to heat exchanger network (HEN). • A novel stage-wise superstructure with inner utilities is presented based on UFTD. • New model and DE method is combined as an optimization method. • Optimal HEN structures with inner utilities can be obtained with new method. - Abstract: A uniformity factor of temperature difference (UFTD) is proposed and set up to guide the optimization of Heat exchanger network (HEN). At first, the factor is presented to evaluate the whole enhancement of HEN by handling the logical mean temperature difference as two-dimensional discrete temperature field in system. Then, the factor is applied to different HENs, of which the comparison indicates that a more uniform discrete temperature field leads to a lower UFTD which correlated with a better whole enhancement to improve the optimization level of HEN. A novel stage-wise superstructure model where inner utility can be generated is presented for further analysis of correlation between UFTD and the efficiency of HEN, and more optimal HEN structures can be obtained as inner utility added. Inner utility appears to violate the thermodynamic law, but it makes the discrete temperature field more uniform and improves the heat transfer efficiency of the whole HEN, which brings much more profit than the side effect of inner utility. In sum, the UFTD can not only evaluate the optimization level of the HEN, but also be an optimization object to design new HEN with higher efficiency of energy utilization and lower total annual cost.

  9. 78 FR 8617 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-06

    ... of the behavior described above, assume the Exchange has a posted and displayed bid to buy 100 shares....13 per share. Assume the NBBO is $10.10 by $10.12. If the Exchange receives a non-routable bid to buy 100 shares at $10.12 per share the Exchange will rank the order to buy at $10.12 and display the order...

  10. 77 FR 50199 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-08-20

    ... an optional order handling behavior functionality that will continue to re-price, re-rank and/or re... Exchange has a posted and displayed bid to buy 100 shares of a security priced at $10.10 per share and a.... If the Exchange receives a non-routable bid to buy 100 shares at $10.12 per share the Exchange will...

  11. 77 FR 26059 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-05-02

    ... more than Internal Distributors because of higher administrative costs associated with monitoring... unreasonable fees without losing business to its competitors.\\14\\ \\13\\ See Securities Exchange Act Release No...

  12. 78 FR 75435 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-12-11

    ... controversy alleging employment discrimination, including sexual harassment. The Exchange may, however, make... has considered the proposed rule change's impact on efficiency, competition, and capital formation...

  13. 76 FR 77279 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-12-12

    ... orders; \\7\\ and tiered pricing that reduces rates for market makers based on the level of business they bring to the Exchange.\\8\\ This proposed rule change targets a particular segment in which the Exchange... place for certain specific FX Options which has its own pricing. See ISE Schedule of Fees. \\8\\ The...

  14. 77 FR 3295 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-01-23

    ... PHLX, Inc. (``PHLX'') and Nasdaq Options Market (``NOM'') Update Pricing Effective January 3, 2012... pricing that reduces rates for market makers based on the level of business they bring to the Exchange.\\11\\ This proposed rule change targets a particular segment in which the Exchange seeks to garnish greater...

  15. 76 FR 50783 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-08-16

    ... lower fees (or no fees) for customer orders; \\6\\ and tiered pricing that reduces rates for market makers based on the level of business they bring to the Exchange.\\7\\ This proposed rule change targets yet... pricing. See ISE Schedule of Fees. \\7\\ The Exchange currently has a sliding scale fee structure that...

  16. 78 FR 69734 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-20

    ... Zero Display Reserve Order (one of three types of ``pegging'' instructions that can be added to a Zero... Change Amending Exchange Rule 11.11 Regarding the Entry and Execution of Zero Display Reserve Orders...\\ handles Zero Display Reserve Orders \\4\\ marked ``sell short'' entered by Exchange Users \\5\\ in a security...

  17. 78 FR 6373 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-01-30

    ... of higher administrative costs associated with monitoring External Distributors ongoing reporting, as... competitors.\\23\\ \\21\\ See Securities Exchange Act Release No. 51808 (June 9, 2006), 70 FR 37496 (June 29, 2005... alternatives. Thus, as the fees are consistent with those charged by the Exchange's competitors, EdgeBook...

  18. 78 FR 6394 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-01-30

    ... higher administrative costs associated with monitoring External Distributors ongoing reporting, as... losing business to its competitors.\\23\\ \\21\\ See Securities Exchange Act Release No. 51808 (June 9, 2006... with those charged by the Exchange's competitors, EdgeBook Attributed \\SM\\ would promote competition if...

  19. 78 FR 38424 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-06-26

    ... years, Managed Data Access Distributors have improved the technical delivery and monitoring capabilities... restricting the data flow and monitoring the delivery. The Exchange will maintain contracts with Managed Data... customers. The Exchange has witnessed competitors creating new products and innovative pricing in this space...

  20. 78 FR 17958 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-03-25

    ... quotes on a daily basis, nor will it prohibit the Exchange from taking disciplinary action against a PLMM... disciplinary action for single or multiple failures to comply with the continuous quoting requirement during... will it prohibit the Exchange from taking disciplinary action against an LMM or RMM for failing to meet...

  1. 77 FR 59030 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule...

    Science.gov (United States)

    2012-09-25

    ... (collectively, ``Derivative Securities Products'') \\5\\ when applying the quantitative generic listing criteria... or other Derivative Securities Products. \\4\\ The Exchange notes that NYSE Arca uses the term...\\ Rule 14.11 includes criteria for derivative securities that may be listed or traded on the Exchange...

  2. 78 FR 62855 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-22

    ... option, derivative, security-based swap, or other financial instrument overlying a security, the value of... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70626; File No. SR-EDGX-2013-36] Self...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...

  3. 78 FR 62842 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-22

    ... Rule 5270 defines the term ``related financial instrument'' as ``any option, derivative, security-based... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70625; File No. SR-EDGA-2013-29] Self...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...

  4. 77 FR 48180 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-08-13

    ... Rule Change To Expose Non-Customer Orders Subject to Automatic Rejection to Its Members for Potential... better price on another exchange or placing the order on the book would lock or cross another market. The... Exchange place an order on its book that would cause the ISE best bid or offer to lock or cross another...

  5. 76 FR 23634 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-04-27

    ... Exchange and reduce automatic cancellations by the Exchange's core trading facility, the Matching System, for orders which lock or cross the best displayed quotes in the National Market System. CHX Only... the CHX Only order locks the NBBO at the time of order entry, and not if it crosses the NBBO. Such...

  6. 75 FR 54664 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-09-08

    ... Rule Change To Amend the Name of a BATS Exchange Routing Strategy September 1, 2010. Pursuant to... BATS Rule 11.13(a)(3)(E) to rename the routing strategy identified as ``DART'' to ``DRT''. The text of... 11.13(a)(3)(E) from ``DART'' to ``DRT,'' consistent with the Exchange's re-branding of this routing...

  7. 78 FR 17452 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-03-21

    ... for order type exemption, and the creation of an Advisory Committee.\\5\\ On May 31, 2012, the... Exchange is proposing to add a new CBSX Rule 52.15(c)(1) to add such language. In addition, the proposed... applicable. For more clarity, the Exchange is proposing to add language to newly proposed Rule 52.15(c) to...

  8. 78 FR 21642 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2013-04-11

    ..., the Exchange provided rationale for terminating the HAL auction early and cancelling of the market... proposes to modify Exchange Rule 6.14A, ``Hybrid Agency Liaison (``HAL''). This functionality provides... bid or offer (``BBO''),\\28\\ HAL electronically exposes the order \\29\\ at the NBBO price to allow...

  9. 77 FR 46781 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a...

    Science.gov (United States)

    2012-08-06

    ..., relating to the Hybrid Agency Liaison system (``HAL''), because, since the rollout of HAL2 in 2009, the Exchange has phased out HAL and no longer uses it for any classes.\\4\\ \\4\\ See id. at 37725. Further, the Exchange proposes to rename ``HAL2'' as ``HAL'' in the CBOE Rules to eliminate any potential confusion...

  10. 75 FR 42802 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-07-22

    ... under the Exchange's maker/taker pricing program. The text of the proposed rule change is available on... maker/taker pricing program. The Exchange recently adopted transaction fees and rebates for adding and... National Best Offer 80% of the time for series trading between $0.03 and $5.00 in premium in each of the...

  11. 75 FR 34499 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-06-17

    ... maker/taker pricing program. The text of the proposed rule change is available on the Exchange's Web... qualification standards for market makers to receive a rebate under the Exchange's maker/taker pricing program... trading month for series trading between $0.03 and $5.00 in premium. \\8\\ The concept of incenting market...

  12. 78 FR 14380 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-05

    ...-price and display such buy (sell) order at the price of the Upper (Lower) Price Band. Default Behavior... with regard to how the Plan would modify order behavior on the Exchange. Proposed Rule 11.9(a)(3) and... this limitation.'' Default Behavior for Non-Routable Orders Not Crossing the Price Bands The Exchange...

  13. 78 FR 13717 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2013-02-28

    ... Index than if traditional trading increments are used because options on the individual foreign currency... trading on the Exchange of options on a foreign currency index, the Dow Jones FXCM Dollar Index. The... the Dow Jones FXCM Dollar Index will be settled in the same manner as the Exchange's foreign currency...

  14. 77 FR 70517 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed...

    Science.gov (United States)

    2012-11-26

    ... described above. Example 5: Error positions may result from an order processing issue at another exchange. For instance, if another exchange experienced a systems problem that affects its order processing, it... routing broker (e.g., used to offset certain contractual obligations). By definition, an error position in...

  15. 77 FR 31411 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-05-25

    ... program related to an incentive plan for certain Foreign Currency (``FX'') options traded on the Exchange... Rule Change to Terminate a Pilot Program Related to an Incentive Plan for Certain Foreign Currency Options Traded on the Exchange and To Make a Technical Change to the Schedule of Fees May 21, 2012...

  16. 75 FR 67794 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2010-11-03

    ... Rule Change, as Modified by Amendment No. 1, to Trade Options on Leveraged Exchange- Traded Notes and... of options on leveraged (multiple or inverse) exchange-traded notes (``ETNs''), and (b) broaden the..., commodities, currencies, derivative instruments, or market indexes of the foregoing. Index-Linked Securities...

  17. 75 FR 14646 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2010-03-26

    ... 6753 (February 10, 2010) (SR-ISE-2009-106). Under current Rule 502(h), only Exchange-Traded Fund Shares, or ETFs, that are traded on a national securities exchange and are defined as an ``NMS'' stock under... specified non-U.S. currency or currencies deposited with the trust when aggregated in some specified minimum...

  18. 75 FR 44995 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-07-30

    ... options on the following FX option currencies traded on the Exchange: New Zealand dollar, Mexican peso.../dealer and is not a Priority Customer. For all other FX option currencies traded on the Exchange, this... Rule Change Relating to Foreign Currency Options Orders Fee Discount for Market Makers and Non-ISE...

  19. 77 FR 10593 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-22

    ... Change Relating to an Offering of a New Historical Data Feed Service to Members and Non- Members February... Exchange Commission (the ``Commission'') a proposed rule change to offer a new historical data feed service... February 13, 2012. The text of the proposed rule change is available on the Exchange's Web site at www...

  20. 76 FR 36945 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-06-23

    ... Effectiveness of Proposed Rule Change To Adopt the Selection Specifications and Content Outline for the... Exchange Act of 1934 (the ``Act''),\\1\\ the Exchange is filing with the Commission the content outline and... program. As a result, CBOE is proposing to set forth the content of the examination. The qualification...

  1. 78 FR 62775 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-10-22

    ... completed the Exchange's Trading Permit Holder Orientation Program and to have passed an Exchange Trading... Holder (``TPH'') applicants as well. The CBOE Registration Services Department historically, however, has not required this orientation or examination for CBSX TPH applicants that will not be engaging in...

  2. 75 FR 29381 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2010-05-25

    ... compelling need to attract order flow, imposed significant competitive pressure on that exchange's need to... competitive pressures on the ISE Order Feed and ISE's compelling need to attract order flow impose significant competitive pressure on the Exchange to act equitably, fairly, and reasonably in setting its fees. B. Self...

  3. 75 FR 33875 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-06-15

    ... membership in the Exchange. The text of the proposed rule change is available at the Exchange's Web site at http://www.batstrading.com , on the Commission's Web site at http://www.sec.gov , at the principal... for its equity securities market with respect to Modified Destination Specific Orders routed to a dark...

  4. 78 FR 18384 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To...

    Science.gov (United States)

    2013-03-26

    ... operates a competitive liquidity provider program that provides incentives to certain Exchange market... rewards would go to the market maker with the highest number of winning tests and 20% of the total rewards... to allocate the rewards differently. Instead of a fixed dollar amount, the Exchange would reward the...

  5. 75 FR 63880 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-10-18

    ... strategy. (i) Adoption of Definitions The Exchange proposes to distinguish pricing for routed orders that... Exchange proposes to modify the ``Options Pricing'' section of its fee schedule to: (i) Adopt definitions of ``Customer,'' ``Firm,'' and ``Market Maker'' for purposes of routing pricing; (ii) modify its...

  6. 76 FR 21076 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-04-14

    ... on the Exchange's Internet Web site at http://www.directedge.com . \\3\\ A Member is any registered... Parallel D or Parallel 2D with the DRT (Dark routing technique) option on BZX. BZX charges $0.0020 per... the DRT (Dark routing technique) option on BZX or SCAN/STGY on Nasdaq OMX Exchange (``Nasdaq.'') BATS...

  7. 75 FR 17985 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-04-08

    ....'' The text of the proposed rule change is available at the Exchange's Web site at http://www.batstrading.com , on the Commission's Web site at http://www.sec.gov , at the principal office of the Exchange... a ``Dark Scan'' order). Although the identity of the Alternative Trading Systems to which a Dark...

  8. 77 FR 10016 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-02-21

    ... for complex orders in two of the most actively-traded index option products, the NASDAQ 100 Index... makers to enter quotations for complex order strategies in the Complex Order Book,\\8\\ the Exchange... because they are consistent with price differentiation that exists today at other option exchanges. The...

  9. 78 FR 16003 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-13

    ...\\ Direct Edge ECN LLC (d/b/a DE Route) (``DE Route''), the Exchange's affiliated routing broker-dealer... Members that add an average daily volume (``ADV'') of Retail Orders (Flag ZA) that is 0.25% or more of the... executed over-the-counter.\\10\\ The Exchange believes that it is thus appropriate to create a financial...

  10. 78 FR 76337 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-17

    ... represent a pass through of the rate that Direct Edge ECN LLC (d/ b/a DE Route) (``DE Route''), the Exchange....50% of the TCV in average daily trading volume (``ADV'') on EDGX in total, where at least 1,800,000... competitive standing in the financial markets. Flag RS The Exchange believes that its proposal to delete Flag...

  11. 78 FR 27274 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-05-09

    ...' orders that yield Flag BY. When Direct Edge ECN LLC (d/b/a DE Route) (``DE Route''), the Exchange's... for removing liquidity from the BYX order book for executions by members that add a daily average... competing venues to maintain their competitive standing in the financial markets. The Exchange believes that...

  12. 78 FR 27265 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-05-09

    ... rate that Direct Edge ECN LLC (d/b/a DE Route) (``DE Route''), the Exchange's affiliated routing broker... daily average volume of at least 50,000 shares from $0.0002 per share to $0.0005 per share). The... the financial markets. The Exchange believes that its proposal to pass through a rebate of $0.0005 per...

  13. 78 FR 22926 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-04-17

    ... Circular. (a)-(w) No change. (x) Leg Order. A leg order is a limit order on the EBook that represents one... may be included in the Exchange's displayed best bid or offer (``Exchange BBO'') on the EBook. A leg... leg orders) in the EBook, and (II) at a price at which net price execution of the complex order can be...

  14. 78 FR 43953 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-07-22

    ... or dealer that executes orders internally by trading as principal or crossing orders as agent. \\4... may determine to utilize a Routing Intermediary that employs ``smart router'' functionality which... to use its smart router functionality to determine the destination options exchange(s) (trading...

  15. 77 FR 4073 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-01-26

    ... Exchange is proposing to delete the cross-reference. \\9\\ For example, reserve orders (which are limit... Exchange on a series by series and premium basis for market orders and/or marketable limit orders and... 6.53C.08(b) currently provide that (i) a market order that would be executed at a net credit price...

  16. 77 FR 76334 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-12-27

    ... the Exchange deems it necessary to maintain an orderly market, to meet customer demand, or when... to better manage their risk exposure with additional in the money series. While the four additional... Effectiveness of Proposed Rule Change To Amend ISE Rule 504(f) To Permit the Exchange To List Additional Strike...

  17. 78 FR 52814 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-26

    ... content). The Series 56 examination program was developed in conjunction with FINRA, and is shared by the..., experience, and competence for Exchange Members and their associated persons.\\20\\ The Exchange proposes to... Authorized Traders of Members have attained specified levels of competence and knowledge generally applicable...

  18. 78 FR 24273 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of...

    Science.gov (United States)

    2013-04-24

    ... process for exposure is being moved from Supplementary Material .02 to Rule 803 to Supplementary Material... outbound ISO is being routed. The Exchange states that this proposed provision has no impact on customer... cancel orders being routed to another exchange [[Page 24275

  19. 78 FR 62815 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-22

    ... change. \\5\\ The Exchange will not be excluding days on which the Exchange closes early for holiday... Members both daily and monthly. Accordingly, excluding such days from the monthly calculation will... provisions of Section 6 of the Act,\\8\\ in general, and Section 6(b)(4) of the Act,\\9\\ in particular, in that...

  20. 78 FR 19350 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-29

    ... physical ports free of charge at the primary data center and charges $2,500 per month for each additional single physical port at such data center. Separately, the Exchange charges $1,000 for each 1G physical port at the secondary data center. The Exchange proposes to normalize its 1G physical port fee at $1...

  1. 77 FR 48576 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-08-14

    ... and will become operative on August 1, 2012. (ii) Physical Ports to Secondary Data Center The Exchange currently charges for both ``logical'' ports used for order entry or receipt of Exchange data, and... application, such as FIX order entry or PITCH data receipt. In contrast, a physical port is the port that is...

  2. 78 FR 41453 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-07-10

    ... Port, each of which are logical ports \\6\\ used to receive data from the Exchange.\\7\\ Currently, the... receipt. Logical port fees are limited to logical ports in the Exchange's primary data center and no logical port fees are assessed for redundant secondary data center ports. \\7\\ BATS FIX ports are the only...

  3. 77 FR 2583 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-01-18

    ..., B and C securities throughout our Fee Schedule. \\5\\ ``Derivative Securities Product'' is defined... through an Exchange-registered Institutional Broker. These changes in essence substitute the term... is a more accurate and well-defined term.\\10\\ The Exchange proposes to remove all other references in...

  4. 78 FR 67424 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-11-12

    ... Terms of Substance of the Proposed Rule Change The Exchange proposes to adopt a CBOE Stock Exchange, LLC... Basis for, the Proposed Rule Change 1. Purpose CBSX is a stock execution facility of CBOE. Therefore...-fraud and anti- manipulation. The proposed requirement that all CBSX Trading Permit Holders be members...

  5. 78 FR 66798 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Instituting...

    Science.gov (United States)

    2013-11-06

    ... Exchange expresses its view that manipulation of the Index would be very difficult, particularly around the...'' to mean an index designed to be representative of a stock market as a whole or of a range of... market manipulation. The Exchange believes that the same reasoning applies to options on the Index since...

  6. 78 FR 8211 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-02-05

    ... Effectiveness of a Proposed Rule Change Relating To Delay the Operative Date of a Rule Change To Exchange Rule 6... Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to delay... the 30-day operative delay, the Commission has considered the proposed rule's impact on efficiency...

  7. 78 FR 41174 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-09

    ... Trade Management Software (``TMS'') Fee under Section V.B. The Exchange proposes to rename Section V.A... Exchange is proposing to remove Section V.B. ``Back Office Trade Management Software (``TMS'')'' from the Fee Schedule. The TMS Software is optional software to which BOX Participants may subscribe in order...

  8. 76 FR 78708 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-12-19

    ... marketability (defined as a number of ticks away from the current market), size, complex order type and complex order origin type (i.e., non-broker-dealer public customer, broker- dealers that are not Market-Makers or specialists on an options exchange, and/or Market-Makers or specialists on an options exchange...

  9. 77 FR 2108 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-01-13

    ...'s growth patterns. Such increased volume increases potential revenue to the Exchange, and will allow... Exchange. The increased liquidity also benefits all investors by deepening the BATS Options liquidity pool, offering additional flexibility for all investors to enjoy cost savings, supporting the quality of price...

  10. 78 FR 77188 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-12-20

    ... the strike price is above $150. The Exchange believes the proposed expansion will benefit the... are opened for trading on any Thursday or Friday that is a business day and that expire at the close of business on Fridays. The Exchange may list Weeklys for the next five Fridays that are business...

  11. 76 FR 74111 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-11-30

    ... that CBSX is not currently the primary listing market for any stocks, and thus, will not be issuing any... Effectiveness of Proposed Rule Change Related to the Individual Stock Trading Pause Pilot Program November 23... Change The Exchange is proposing to amend CBOE Stock Exchange, LLC's (``CBSX'', the CBOE's stock trading...

  12. 78 FR 7826 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-04

    ... the Exchange's Web site at http://www.batstrading.com , at the principal office of the Exchange, and... would translate well to BATS Options, Discretionary Orders have not been widely used on BATS Options; to... Web site ( http://www.sec.gov/rules/sro.shtml ). Copies of the submission, all subsequent amendments...

  13. 77 FR 28914 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-05-16

    ... stock's previous trading day's last sale price was greater than $100) in premium in each of the front... greater than $100) in premium across all expiration months in order to receive the rebate. The Exchange... quotations for complex order strategies in the complex order book.\\11\\ The Exchange has adopted maker fees...

  14. 77 FR 16287 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-03-20

    ... of the Proposed Rule Change The ISE is proposing to amend its API or login fees. The text of the... Exchange's API or login fees. ISE currently charges its Members a fee for each login that a Member uses for... sessions. The Exchange now proposes to lower the quote allowance for each login session from 1.8 million...

  15. 77 FR 1757 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-01-11

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options January 5, 2012...,\\2\\ notice is hereby given that on December 28, 2011, the International Securities Exchange, LLC (the...

  16. 77 FR 31680 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-05-29

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Qualification Standards for Market Makers To Receive a Rebate May 22, 2012...-4 thereunder,\\2\\ notice is hereby given that on May 15, 2012, the International Securities Exchange...

  17. 75 FR 42812 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-07-22

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options July 15, 2010..., \\2\\ notice is hereby given that on June 30, 2010, International Securities Exchange, LLC (``ISE'' or...

  18. 76 FR 64417 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-10-18

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Competitive Market Maker Trading Rights October 12, 2011. Pursuant to Section...\\ notice is hereby given that on October 3, 2011, the International Securities Exchange, LLC (the...

  19. 77 FR 8310 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-14

    ... in Make/Take issues, based on the existing base rate of $0.31 per contract plus additional costs... Exchange proposes to modify the ``Options Pricing'' section of its fee schedule to change pricing with... options exchanges that have been placed into three groups based on the approximate cost of routing to such...

  20. 75 FR 18934 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-04-13

    ... fees are currently set at the indicative lease rate \\4\\ for March 2010. The Exchange proposes to adjust... access fees at the indicative lease rate, the Exchange proposes to revise both the Temporary Member....27(b) as the highest clearing firm floating monthly rate of the CBOE Clearing Members that assist in...

  1. 78 FR 76664 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2013-12-18

    ... Exchange plans to introduce CBOE Short-Term Volatility Index (``VXST'') options (to be traded on CBOE) and... value is calculated for options or futures on such volatility indexes. For short-term volatility indexes... different implied volatility measurement periods.\\17\\ \\17\\ The Exchange notes that it will submit a separate...

  2. 76 FR 10412 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed...

    Science.gov (United States)

    2011-02-24

    ... example, CBOE calculates the CBOE Gold ETF Volatility Index (``GVZ''), which is based on the VIX methodology applied to options on the SPDR Gold Trust (``GLD''). The current filing would permit $0.50 strike... for other exchange-traded fund (``ETF'') options. See Rule 5.5.08. To effect this change, the Exchange...

  3. 77 FR 55248 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-07

    ... conclusion that market data fee changes do not require prior Commission review before taking effect, and that... Exchange proposes to offer a new Exchange market data product, Edge Routed Liquidity Report (``Edge Routed... nature of any liquidity the originating routing strategy seeks. Purchasers of Edge Routed Liquidity...

  4. 78 FR 56967 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-16

    ... removed liquidity'' ratio of at least 85%. Where an MPID's December 2012 TCV is zero, the Exchange would... ``added plus liquidity'' ratio of at least 85%. The Exchange believes that the requirement that a Member have an ``added liquidity'' to ``added plus removed liquidity'' ratio of at least 85% is reasonable...

  5. 77 FR 71860 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-12-04

    ... free of charge while $500.00/month is charged for each additional logical port. The Exchange also... a higher value on displayed liquidity because the Exchange believes that displayed liquidity is a... Market Structure (Speech at the Economic Club of New York, Sept. 7, 2010) (available on the Commission's...

  6. 76 FR 46866 - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing of Proposed...

    Science.gov (United States)

    2011-08-03

    ... reduce the credit risk to the parties involved in the transaction. Failure to cancel or offset the stock... Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Amend Article... Cancellation of the Stock Leg of Stock- Option Transactions Done on the Exchange July 28, 2011. Pursuant to...

  7. 78 FR 69900 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-21

    ... the efficiency and cost-effectiveness of trading on the Exchange. Amended Rebate for Double Play... Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... to adjust the volume thresholds that must be met before an ETP Holder can be eligible to pay the...

  8. 75 FR 42801 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-07-22

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed... at or under the threshold are charged the constituent's prescribed execution fee. This waiver applies... members to execute large-sized FX options orders on the Exchange in a manner that is cost effective. The...

  9. 76 FR 63974 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-10-14

    .... However, in the future, the Exchange may offer faster access at a higher gigabyte level, and may elect to charge a higher rate for such access (as the infrastructure and equipment involved would be costlier). To the extent the Exchange does offer faster access at a higher gigabyte level, and assesses a higher...

  10. 78 FR 36812 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-06-19

    ... charge fees for regular orders in mini options at a rate that is \\1/10\\th the rate of fees the Exchange... believes that charging Non-ISE Market Maker orders a higher rate than the fee charged to Market Maker, Firm... discriminatory to assess a higher transaction fee to Non-ISE Market Makers because the Exchange incurs costs...

  11. 75 FR 55386 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-09-10

    ... levels at a particular venue to be excessive. The proposed rule change reflects a competitive pricing... and other persons using its facilities. The Exchange notes that it operates in a highly competitive... Exchange believes the fees and credits remain competitive with those charged by other venues and therefore...

  12. 76 FR 20414 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-04-12

    ... continuing to offer competitive pricing while also permitting the Exchange to avoid significant monetary... Exchange proposes to modify the ``Options Pricing'' section of its fee schedule to: (i) Adopt a definition for Total Consolidated Volume (``TCV''), to be used for purposes of the tiered pricing structure...

  13. 78 FR 16023 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-13

    ... reflects a competitive pricing structure designed to incent market participants to direct their order flow... volume tiered pricing. The Exchange notes that Footnote 4 is already appended to Flags B, V, Y, 3, and 4... tiered pricing. The Exchange maintains default rates for securities at or above $1.00 and securities...

  14. 76 FR 7620 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-02-10

    ... levels at a particular venue to be excessive. The proposed rule change reflects a competitive pricing... increased rate, effective January 3, 2011. The Exchange notes that it operates in a highly competitive.... The Exchange believes the fees and credits remain competitive with those charged by other venues and...

  15. 76 FR 12778 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-03-08

    ... FX Options only. See ISE Rule 2213. \\8\\ A FXCMM is a competitive market maker selected by the... rule change will further the Exchange's goal of promoting trading of its FX options through competitive pricing. 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with the...

  16. 75 FR 63227 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-10-14

    ... be excessive. The proposed rule change reflects a competitive pricing structure designed to incent... a competitive position with regards to other away market centers. Secondly, the Exchange proposes to... measured on a monthly basis. The Exchange believes that the above pricing is appropriate since higher...

  17. 77 FR 61800 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-10-11

    ... reflects a competitive pricing structure designed to incent market participants to direct their order flow... ROUC \\5\\ routing strategy and executes at non-exchange destinations. The pricing of Flag Q is also... qualifying for additional volume tiered pricing. The Exchange offered Members a rebate of $0.0014 per share...

  18. 76 FR 47283 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-08-04

    ... excessive. The proposed rule change reflects a competitive pricing structure designed to incent market... maker/taker spread is competitive with other market centers maker/taker spreads (BATS BZX Exchange, $0... Exchange also notes that it operates in a highly competitive market in which market participants can...

  19. 76 FR 13254 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-03-10

    ... levels at a particular venue to be excessive. The proposed rule change reflects a competitive pricing... under'' pricing model). The Exchange believes that the new tier rate of $0.00005 per share for Members... (0.9% of TCV in average daily volume). The Exchange notes that it operates in a highly competitive...

  20. 78 FR 49569 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-14

    ... competitive pricing structure designed to incent market participants to direct their order flow to the... reasonable because it accounts for the pricing changes on BYX. In addition, the proposal allows the Exchange... accounts for the pricing changes on BYX. In addition, the proposal allows the Exchange to continue to...

  1. 76 FR 62884 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-10-11

    ... the Exchange by continuing to offer competitive pricing while also creating incentives to providing.... Purpose The Exchange proposes to modify the ``Options Pricing'' section of its fee schedule to: (i... (``BATS Options''); (ii) eliminate a pricing structure that provides a Firm \\7\\ or Market Maker \\8\\ a...

  2. 76 FR 70204 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-11-10

    ... levels at a particular venue to be excessive. The proposed rule change reflects a competitive pricing... transparency to its fee schedule for Members. The Exchange also notes that it operates in a highly competitive... Members. The Exchange believes the fees and credits remain competitive with those charged by other venues...

  3. 76 FR 70183 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-11-10

    ... proposed rule change reflects a competitive pricing structure designed to incent market participants to... offer a ``one under'' pricing model). \\15\\ See footnote 5 of the EDGA fee schedule. The Exchange... minus a certain differential. EDGA's pricing is consistent with this premise. The Exchange believes that...

  4. 78 FR 10651 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-14

    ... excessive. The proposed rule change reflects a competitive pricing structure designed to incent market... it accounts for the pricing changes on BATS BYX. In addition, the proposal allows the Exchange to... Exchange also notes that it operates in a highly-competitive market in which market participants can...

  5. 77 FR 2581 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-01-18

    ... particular venue to be excessive. The proposed rule change reflects a competitive pricing structure designed..._marketplace_fees_12_1_2011.pdf The Exchange also notes that it operates in a highly competitive market in.... The Exchange believes the fees and credits remain competitive with those charged by other venues and...

  6. 76 FR 58315 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-09-20

    ... Nominating and Governance Committee, the International Securities Exchange's Corporate Governance Committee... Corporate Governance Committee of International Securities Exchange, LLC. Second, EDGA By-Laws currently... reflects the Board's determination that outsourcing the internal audit function to a third-party auditor...

  7. 76 FR 58317 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-09-20

    ... Nominating and Governance Committee, the International Securities Exchange's Corporate Governance Committee... Corporate Governance Committee of International Securities Exchange, LLC. Second, EDGX By-Laws currently... reflects the Board's determination that outsourcing the internal audit function to a third-party auditor...

  8. 78 FR 22591 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-04-16

    ... for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend its definition of a Qualified... intentions to merge that have been announced or cancelled; and (6) the transaction is fully hedged (without... leg. As such, the Exchange proposes to amend its definition of a QCC Order to state that such orders...

  9. 77 FR 42036 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-07-17

    ... Exchange is not proposing any change to the ``taker'' fees for Non-ISE Market Maker and Priority Customer... respect to the proposed rule change that are filed with the Commission, and all written communications... Rule Change To Amend Fees and Rebates for Certain Complex Orders Executed on the Exchange July 11, 2012...

  10. 77 FR 10013 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-02-21

    ... rate than previously.\\9\\ \\5\\ See, Securities Exchange Act Release No. 65615 (Oct. 24, 2011), 76 FR... payment of a credit for non- CHX trades at a lower rate than for CHX trades appears to strike an... transactions as commissions or some other means. The Exchange's proposed restriction will preclude an...

  11. 78 FR 19047 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-28

    ... ``Zero Display Reserve Order'' is a ``Reserve Order with zero display quantity.'' Under Exchange Rule 11... Rule 11.15(a)(iv) to clarify that the Exchange will not execute a Zero Display Reserve Order when a... proposes to amend Rules 11.11, 11.14, and 11.15 to provide Users the ability when entering a Zero Display...

  12. 76 FR 63685 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-10-13

    ... separately for Users of the Exchange's cash equities platform and the Exchange's equity options platform... requested by the User for monitoring by Correlix; each ``port'' is a FIX or binary order entry (``BOE... monthly base fee for the first 25 ports requested by the User for latency monitoring, and an additional $1...

  13. 78 FR 74212 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule...

    Science.gov (United States)

    2013-12-10

    ... Trade Shares of the iShares Liquidity Income Fund December 4, 2013. I. Introduction On September 19... Liquidity Income Fund (``Fund''). The proposed rule change was published for comment in the Federal Register...- income exchange-traded funds. See, infra, note 20. The exchange states that the liquidity of a security...

  14. 75 FR 19449 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-04-14

    ... Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity April 7, 2010. Pursuant... transactions that take and remove liquidity in the above symbols. The Exchange also proposes to offer... increase liquidity and attract order flow in QQQQ, BAC and C options on the Exchange.\\5\\ \\5\\ The fees...

  15. 77 FR 71650 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-12-03

    ... provides for a disaster recovery site in the event that open outcry trading is not available. In such an... Accelerated Approval of Proposed Rule Change To Amend CBOE Rule 6.18 Concerning the Exchange's Disaster... the text of Rule 6.18, ``Disaster Recovery Facility,'' to clarify how the Exchange intends to continue...

  16. 78 FR 28666 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-05-15

    ... operations and their ability to sustain in the event something should effects its business. The Exchange is... nature of the TPH's business) to ensure prompt and accurate processing of securities transaction which... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69537; File No. SR-CBOE-2013-045] Self...

  17. 76 FR 2934 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-01-18

    ... Proprietary transaction fee to $.25 per contract for OEX, XEO, SPX and volatility indexes. This rate would be... in volatility index options $.02 per contract and $.01 per contract for crossed orders. The Exchange...\\ transactions in volatility index options. The Exchange proposes to increase the surcharge fee for volatility...

  18. 78 FR 45279 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-07-26

    ... VOLATILITY INDEXES, to reflect this change, the Exchange also proposes to amend Footnote 11 to state that no... Options Rate Table--SPX, SPXW, SPXpm, SRO, OEX, XEO, VIX and VOLATILITY INDEXES and remove SPXPM from... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70014; File No. SR-CBOE-2013-072] Self...

  19. 78 FR 38416 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-06-26

    ..., without limitation, options, equities, futures, derivatives, indexes, exchange traded funds, exchange...., equity and ETF, index, derivatives, futures, foreign currency, and even commodities products... low as $0.05).\\13\\ \\13\\ As an example, per the CME Web site, strike prices for options on futures may...

  20. 78 FR 13389 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed...

    Science.gov (United States)

    2013-02-27

    ... that use complex calculations based on a variety of market factors to compute quotes in their appointed... also factor in their market risk models. Several Market-Makers have communicated to the Exchange that... Amendment No. 1 Thereto, Relating to Market-Maker Continuous Quoting Obligations February 21, 2013. Pursuant...

  1. 78 FR 19348 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-03-29

    ... are trading, the proposed changes seek to create less of a disconnect if the ``primary'' market should... connected to the marketplace. B. Self-Regulatory Organization's Statement on Burden on Competition CBOE does...

  2. 78 FR 68497 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-11-14

    ... are trading, the proposed rule change seeks to create less of a disconnect if the ``primary'' market... connected to the marketplace. B. Self-Regulatory Organization's Statement on Burden on Competition This...

  3. 77 FR 65730 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed...

    Science.gov (United States)

    2012-10-30

    ... of derivative agreements, contracts, and transactions, and to assure the safeguarding of securities... further safeguard customer funds held at the FCM level. B. Self-Regulatory Organization's Statement on...

  4. Bim nuclear translocation and inactivation by viral interferon regulatory factor.

    Directory of Open Access Journals (Sweden)

    Young Bong Choi

    2010-08-01

    Full Text Available Viral replication efficiency is in large part governed by the ability of viruses to counteract pro-apoptotic signals induced by infection of the host cell. Human herpesvirus 8 (HHV-8 uses several strategies to block the host's innate antiviral defenses via interference with interferon and apoptotic signaling. Contributors include the four viral interferon regulatory factors (vIRFs 1-4, which function in dominant negative fashion to block cellular IRF activities in addition to targeting IRF signaling-induced proteins such as p53 and inhibiting other inducers of apoptosis such as TGFbeta receptor-activated Smad transcription factors. Here we identify direct targeting by vIRF-1 of BH3-only pro-apoptotic Bcl-2 family member Bim, a key negative regulator of HHV-8 replication, to effect its inactivation via nuclear translocation. vIRF-1-mediated relocalization of Bim was identified in transfected cells, by both immunofluorescence assay and western analysis of fractionated cell extracts. Also, co-localization of vIRF-1 and Bim was detected in nuclei of lytically infected endothelial cells. In vitro co-precipitation assays using purified vIRF-1 and Bim revealed direct interaction between the proteins, and Bim-binding residues of vIRF-1 were mapped by deletion and point mutagenesis. Generation and experimental utilization of Bim-refractory vIRF-1 variants revealed the importance of vIRF-1:Bim interaction, specifically, in pro-replication and anti-apoptotic activity of vIRF-1. Furthermore, blocking of the interaction with cell-permeable peptide corresponding to the Bim-binding region of vIRF-1 confirmed the relevance of vIRF-1:Bim association to vIRF-1 pro-replication activity. To our knowledge, this is the first report of an IRF protein that interacts with a Bcl-2 family member and of nuclear sequestration of Bim or any other member of the family as a means of inactivation. The data presented reveal a novel mechanism utilized by a virus to control

  5. 77 FR 26064 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-05-02

    ... Distributors more than Internal Distributors because of higher administrative costs associated with monitoring... business to its competitors.\\14\\ \\13\\ See Securities Exchange Act Release No. 51808 (June 9, 2006), 70 FR...

  6. 78 FR 2304 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a...

    Science.gov (United States)

    2013-01-10

    ... Proposal In its proposal, the Exchange states that CBSX operates a system of trading that allows automatic... (``ISO'') shall be generated if an order that is entered on CBSX would lock or cross a protected...

  7. 76 FR 2174 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-01-12

    ... traders additional opportunities and strategies to hedge high priced securities. Currently, Exchange Rule... example if Apple, Inc. (``AAPL'') would trade at $310 \\6\\ with approximately two months remaining until...

  8. 78 FR 3486 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-01-16

    ..., bonds, and combinations thereof. The economics of the transaction are based on the relationship between... rules of an exchange be designed to promote just and equitable principles of trade, to prevent...

  9. 77 FR 60489 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-10-03

    ... concerns regarding manipulation and disruption in the underlying markets. In support of this proposed rule... and/or illegal trading activity. In addition, routine oversight inspections of the Exchange's...

  10. 77 FR 47148 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-08-07

    ... unfairly discriminatory because XSP transactions will now be assessed no Marketing Fee, similar to other... Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend its Marketing Fee. Currently, the Marketing [[Page 47149

  11. 75 FR 39597 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-07-09

    ... closely tailor their investment and risk management strategies and decisions to the movement of the... additional strikes for investment, trading, and risk management purposes. 2. Statutory Basis The Exchange...

  12. 75 FR 76763 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-12-09

    ... order marked with the CO modifier will remain on the Book. AIQ Decrement and Cancel (``DC'') An incoming... velocity of trading in today's high speed marketplace. Many Exchange Users have multiple connections into...

  13. 78 FR 21657 - Self-Regulatory Organizations; International Securities Exchange LLC; Order Approving, on an...

    Science.gov (United States)

    2013-04-11

    ... market during Limit States and Straddle States. Given the Exchange's recognition of the potential for... affected, each dataset will include, among other information: stock symbol, option symbol, time at the...

  14. 78 FR 22017 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Granting...

    Science.gov (United States)

    2013-04-12

    ... NBBO in the options market during Limit States and Straddle States. Given the Exchange's recognition of... include, among other information: stock symbol, option symbol, time at the start of the Limit State or...

  15. 77 FR 35439 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-06-13

    ... increased amounts on systems and other hardware to process increased order traffic flow.\\19\\ \\18\\ See... additional order flow and liquidity to the Exchange. This concept is similar to the structure of varying...

  16. 77 FR 35450 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-06-13

    ... requiring them to spend increased amounts on systems and other hardware to process increased order traffic... attract additional order flow and liquidity to the Exchange. This concept is similar to the structure of...

  17. 78 FR 62728 - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-22

    ... 6, Rule 3. This requirement is being moved to Rule 3(a). Pursuant to this proposal, a proprietary... requirement to Participant Firms for which the Exchange acts as the DEA is being eliminated as part of this...

  18. 78 FR 40239 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval to Proposed Rule...

    Science.gov (United States)

    2013-07-03

    ... Vacancies A Member Representative Director is defined in relevant part in Article I of the Current By-Laws... board.\\18\\ The Exchange has stated that, under these circumstances, time is of the essence and waiting...

  19. 75 FR 26830 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-05-12

    ... & Gold, Inc. (``FCX''), Cisco Systems, Inc. (``CSCO''), Diamonds Trust, Series 1 (``DIA''), Amazon.com... change is available on the Exchange's Web site ( http://www.ise.com ), at the principal office of the...

  20. 78 FR 75629 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-12-12

    ... away from larger competitors by adopting an innovative pricing strategy. The Exchange notes that if the...-Makers) is, and has been, commonly practiced in the options markets. As such, marketing fee programs,\\7...

  1. 78 FR 42138 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-07-15

    ... innovative pricing strategy. The Exchange notes that if the rebate program resulted in a modest percentage...-Makers) is, and has been, commonly practiced in the options markets. As such, marketing fee programs,\\6...

  2. 76 FR 5225 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-01-28

    ... informational advantages that could place an affiliated member of an exchange at a competitive advantage vis... Tang, Assistant General Counsel, ISE, to Michael Gaw, Assistant Director, Division of Trading and...

  3. 78 FR 17729 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-03-22

    ... securities: SPDR S&P 500 ETF (``SPY''), Apple Inc. (``AAPL''), SPDR Gold Trust (``GLD''), Google Inc. (``GOOG... related to Mini Options traded on the Exchange. Mini Options overlie 10 equity or ETF shares, rather than...

  4. 75 FR 6760 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-02-10

    ... excessive. The proposed rule change reflects a competitive pricing structure designed to incent market... competitive reasons, the Exchange is now seeking to re-introduce an Ultra Tier rebate of $0.0031 per share. \\4...

  5. 78 FR 79721 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-12-31

    ... of participants in mergers or with intentions to merge that have been announced or cancelled; and (f... contracts. Accordingly, the Exchange is proposing to amend the definition of QCC Order to clarify that an...

  6. 78 FR 79718 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-31

    ... issuer, or involve the securities of participants in mergers or with intentions to merge that have been... Exchange is proposing to amend the definition of QCC Order to clarify that an originating order to buy or...

  7. 78 FR 60954 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-02

    ... five select securities (the ``Select Securities'') for which the Exchange pays a rebate of $0.0045 per... Securities, and replace them with Apple Inc. (``AAPL'') and Google Inc. (``GOOG'') \\5\\ AMD and MU will revert...

  8. 77 FR 22020 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-04-12

    ... which they are acting (principal, agent, or riskless principal) into the System, the order will be... assist the Exchange in surveilling the markets for abusive or otherwise violative trading activity. \\7...

  9. 75 FR 38161 - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and...

    Science.gov (United States)

    2010-07-01

    ... proposed rule change is available on the Exchange's Web site ( http://www.cboe.org/legal ), at the Exchange... CBOE's responsibility as the prior parent company of C2 for ensuring that C2 meets its obligations as a... general, to protect investors and the public interest. \\8\\ 15 U.S.C. 78f. \\9\\ 15 U.S.C. 78f(b)(5). B. Self...

  10. 78 FR 55305 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-09-10

    .... First, the Exchange proposes to waive the CMI and FIX Login ID fees for CMI and FIX Login IDs used to... systems. The Exchange assesses a fee of $500 per month for each CMI or FIX Login ID that a TPH uses to... CFLEX System through CBOE Command, and need to get either a CMI or FIX Login ID to do so.\\5\\ As such...

  11. 78 FR 44994 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-07-25

    ... improperly shared (except with persons in senior management who are involved in exercising general managerial... senior management who are involved in exercising general managerial oversight of one or both entities... ultimately benefits market participants and does not impose a burden on competition. C. Self-Regulatory...

  12. 78 FR 8650 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-06

    ... (February 15, 2012), 77 FR 10593 (February 22, 2012) (SR-EDGA-2012- 05) (adopting EdgeBook Cloud service..., 2012) (SR-EDGX-2012-05) (adopting EdgeBook Cloud service). C. Self-Regulatory Organization's Statement... written notice of its intent to file the proposed rule change at least five business days prior to the...

  13. 77 FR 18288 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2012-03-27

    ... amendments to rules dealing with outsourcing to third parties. CME will also make corresponding changes to....3--Outsourcing to Third Parties In connection with the CFTC's final rules for Derivatives Clearing... any impact or impose any burden on competition. C. Self-Regulatory Organization's Statement on...

  14. 76 FR 7610 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2011-02-10

    ... Executive Committee may need to make the decision. The CBOE Board is fully informed of any decision made by.... This approach simplifies the process of scheduling and conducting meetings and allows the Boards and... finding or (ii) as to which the self-regulatory organization consents, the Commission will: (A) By order...

  15. 77 FR 41864 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-07-16

    ... its filing with the Commission, the self-regulatory organization included statements concerning the... Members to route through EDGX first before going to other destinations on the System routing table, and... share in cost savings realized by EDGA when routing orders to other destinations). The concept is also...

  16. Chlamydial entry involves TARP binding of guanine nucleotide exchange factors.

    Directory of Open Access Journals (Sweden)

    B Josh Lane

    2008-03-01

    Full Text Available Chlamydia trachomatis attachment to cells induces the secretion of the elementary body-associated protein TARP (Translocated Actin Recruiting Protein. TARP crosses the plasma membrane where it is immediately phosphorylated at tyrosine residues by unknown host kinases. The Rac GTPase is also activated, resulting in WAVE2 and Arp2/3-dependent recruitment of actin to the sites of chlamydia attachment. We show that TARP participates directly in chlamydial invasion activating the Rac-dependent signaling cascade to recruit actin. TARP functions by binding two distinct Rac guanine nucleotide exchange factors (GEFs, Sos1 and Vav2, in a phosphotyrosine-dependent manner. The tyrosine phosphorylation profile of the sequence YEPISTENIYESI within TARP, as well as the transient activation of the phosphatidylinositol 3-kinase (PI3-K, appears to determine which GEF is utilized to activate Rac. The first and second tyrosine residues, when phosphorylated, are utilized by the Sos1/Abi1/Eps8 and Vav2, respectively, with the latter requiring the lipid phosphatidylinositol 3,4,5-triphosphate. Depletion of these critical signaling molecules by siRNA resulted in inhibition of chlamydial invasion to varying degrees, owing to a possible functional redundancy of the two pathways. Collectively, these data implicate TARP in signaling to the actin cytoskeleton remodeling machinery, demonstrating a mechanism by which C.trachomatis invades non-phagocytic cells.

  17. 77 FR 65740 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2012-10-30

    ..., Indonesia, Ireland, Israel, Italy, Japan, Malaysia, Mexico, the Netherlands, New Zealand, Norway, Peru, the...; Ireland $109; Israel $151; Italy $2,007; Japan $11,554; Malaysia $142; Mexico $379; the Netherlands $384.... Trading Halts With respect to trading halts, the Exchange may consider all relevant factors in exercising...

  18. 77 FR 38869 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-06-29

    ... text of the proposed rule change is available on the Exchange's Web site www.ise.com , at the principal... where the bid price is $0.00. Series of options quoted zero bid are usually deep out-of- the-money... additional criteria and clarifying language to the current rule. Specifically, under the revised rule, trades...

  19. 76 FR 65555 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-10-21

    ... fees) for customer orders; \\7\\ and tiered pricing that reduces rates for market makers based on the level of business they bring to the Exchange.\\8\\ This proposed rule change targets a particular segment... place for certain specific FX Options which has its own pricing. See ISE Schedule of Fees. \\8\\ The...

  20. 78 FR 3058 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-15

    ... Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Mode provides ECNs with advertising through attributed quotations which facilitates an increasing rate... comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for...

  1. 78 FR 28671 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-05-15

    ... Exchange also proposes to make corresponding grammatical amendments and technical amendments to improve... categories, as proposed paragraphs (a)-(g): (a) General Order Types; (b) Order Execution Modifiers; (c) Order... grammatical amendments. The purpose of this amendment is to clarify that an order execution modifier is not a...

  2. 76 FR 51099 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2011-08-17

    ... Rule Change to Trade Options on the CBOE Silver ETF Volatility Index August 11, 2011. I. Introduction... ETF Volatility Index (``VXSLV''). The proposed rule change was published for comment in the Federal... calculated using certain individual stock and exchange-traded fund (``ETF'') options listed on CBOE.\\3\\ In...

  3. 78 FR 4506 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-22

    ... submitting a single form, fingerprint card and a combined payment of fees to FINRA. Through the CRD system... Forms U4 and U5. As such, the Exchange is adopting the identical fee for FINRA's review of a Form BD... fingerprints submitted electronically to FINRA, plus any other charge that may be imposed by the U.S...

  4. 78 FR 76884 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-19

    ..., based on current fee levels, the Exchange will charge a fee of $0.48 per contract in Penny Symbols and... rotation in order to avoid the negative economics associated with paying a rebate on both sides of each... the negative economics associated with paying a rebate to market participants on both sides of trades...

  5. 78 FR 56955 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-16

    ... a direct pass through of the applicable economics for TRIM executions at NASDAQ BX (assuming the... participants can readily direct order flow to competing venues if they deem fee levels at a particular venue to... rule change as one establishing or changing a member due, fee, or other charge imposed by the Exchange...

  6. 76 FR 21087 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-04-14

    ... developed an enhanced technology trading platform (the ``Optimise platform''). To assure a smooth transition... Optimise trading platform and will continue to do so up to the launch of the new technology and during the... tested and is available for the launch. The Exchange believes that it will be less disruptive to members...

  7. 78 FR 50128 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-16

    ... (3) is ordered as a sanction in a disciplinary action to retake the S501 by any securities... of (1) above, or the disciplinary action becoming final, in the case of (2) and (3) above. The date of the disciplinary action shall be treated as such person's new base date with the Exchange. Any...

  8. 78 FR 50120 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-16

    ... disciplinary proceeding; or (3) is ordered as a sanction in a disciplinary action to retake the S501 by any... the case of (1) above, or the disciplinary action becoming final, in the case of (2) and (3) above. The date of the disciplinary action shall be treated as such person's new base date with the Exchange...

  9. 78 FR 23321 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of...

    Science.gov (United States)

    2013-04-18

    ... following currencies: euro, British pound, Japanese yen, and Australian dollar. \\5\\ The term ``modified...'s existing surveillance system architecture and processes. Additionally, the Exchange will have... basket of four highly liquid currencies (the euro, British pound, Japanese yen, and the Australian dollar...

  10. 77 FR 69903 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-11-21

    ... to be sent to multiple exchanges with a single click (a ``sweep function'') and the sweep function... routing functionalities. The payment is $.04 per executed contract for orders routed to CBOE through a... CBOE. If a Participant elects to have CBOE perform these services, the amount that CBOE pays the...

  11. 75 FR 20418 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-04-19

    .... Consistent with the current pricing for the DART best execution routing functionality, the Exchange proposes... strategies from $0.0027 per share to $0.0028 per share; (ii) amend the fees for certain destination specific routing options to continue to offer a ``one under'' pricing model; (iii) adopt pricing for ``BATS + DART...

  12. 76 FR 65224 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2011-10-20

    ..., such as promoting market transparency for over-the-counter derivatives markets, promoting the prompt... registration as a derivatives clearing organization under the Commodity Exchange Act (``CEA'') and do not... accurate clearance and settlement of derivative agreements, contracts, and transactions because it should...

  13. 76 FR 54270 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2011-08-31

    ... market transparency for over-the-counter derivatives markets, promoting the prompt and accurate clearance... derivatives clearing organization under the Commodity Exchange Act (``CEA'') and do not significantly affect... clearing agency be designed to promote the prompt and accurate clearance and settlement of derivative...

  14. 77 FR 38362 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-06-27

    ... Effectiveness of a Proposed Rule Change To Increase the Class Quoting Limit for Options on Facebook June 21... Limit (``CQL'') for options on Facebook. The text of the proposed rule change is available on the... the Exchange recently began electronically trading options on Facebook, trading volume and TPH...

  15. 75 FR 34509 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-06-17

    ... Commission staff to provide for uniform market- wide trading pause standards for certain individual stocks..., consistent with its existing rotation processes, the Exchange would accept opening-only orders during the... reopening, a rotation shall be held in the options on CBOE in accordance with Rule 6.2B, Hybrid Opening...

  16. 77 FR 40136 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-07-06

    ... trading day's last sale price was greater than $100) in premium in each of the front two expiration months... options whose underlying stock's previous trading day's last sale price was greater than $100) in premium... to the following additional two symbols: GLD and VXX.\\12\\ The Exchange proposes to expand the pricing...

  17. 77 FR 16295 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-03-20

    ... trading day's last sale price was greater than $100) in premium in each of the front two expiration months... options whose underlying stock's previous trading day's last sale price was greater than $100) in premium... employing similar pricing schemes and in some cases, is lower that the fees assessed by other exchanges. For...

  18. 77 FR 42026 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-07-17

    ... greater than $100) in premium in each of the front two expiration months and 80% of the time for series... previous trading day's last sale price was greater than $100) in premium across all expiration months in... by other exchanges employing similar pricing schemes. For example, NASDAQ OMX PHLX, Inc. (``PHLX...

  19. 77 FR 71850 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-12-04

    ... relational database and are maintained by the registered end-user through the Spread Crawler Web site where... Exchange will provide certain marketing, first line technical support, accounting and contract... manipulative acts and practices, to promote just and equitable principles of trade, to foster cooperation and...

  20. 78 FR 16311 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-14

    ... of the behavior described above, assume the Exchange has a posted and displayed bid to buy 100 shares... price increment above the NBB, in order to avoid locking the markets. If a buy limit order priced at $30... higher trading increment for buy orders or lower trading increment for sell orders, without crossing a...

  1. 78 FR 16351 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-03-14

    ... Rule 6.14A to modify the behavior of HAL of a market order while the underlying security of the option... national best offer price with respect to an erroneous buy transaction, just prior to the trade. If there... also be cancelled. \\15\\ See Exchange Rule 6.53(a) which defines a market order as ``an order to buy or...

  2. 77 FR 67032 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-11-08

    ... have access to the marketing fee funds generated from a Preferred order (or similar order type... Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend its marketing fee. The marketing fee is assessed on certain transactions of Market-Makers, Designated Primary Market-Makers (``DPMs...

  3. 78 FR 48742 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-08-09

    ... exchanges allow an LMM (or similar position) to have access to the marketing fee funds generated from a... LMMs be treated similar to non-directed orders and the marketing fee be allocated to the PLMM's ``pool... LMMs similar to non-directed order and allocate any applicable marketing fees to the PLMM's ``pool...

  4. 77 FR 48491 - Regulatory New Drug Review: Solutions for Study Data Exchange Standards; Notice of Meeting...

    Science.gov (United States)

    2012-08-14

    ... input from industry, technology vendors, and other members of the public regarding the advantages and disadvantages of current and emerging open, consensus-based standards for the exchange of regulated study data... many years, it is not an extensible modern technology. Moreover, it is not supported and maintained by...

  5. 78 FR 17266 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-03-20

    ... rebates to market participants that add or remove liquidity from the Exchange (``maker/taker fees and.... (``ESI''), E*Trade Financial Corp. (``ETFC''), iShares MSCI Mexico Investable Market (``EWW''), F5...''), Southwestern Energy Co. (``SWN''), Symantec Corp. (``SYMC''), Target Corp. (``TGT''), Tiffany & Co. (``TIF...

  6. 77 FR 10579 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-02-22

    ...-106). The Exchange now proposes to extend the fees for complex orders adopted in SR-ISE-2011-81 to the... the fees adopted in SR-ISE-2011-81, is to maintain the attractive and competitive economics for...

  7. 77 FR 23307 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-04-18

    ... Member's new High Water Mark will now be 0.15%. With respect to Customer orders, the Exchange currently....00 of price improvement -$0.45 access fee = $0.55 better economics). This math is equally true for... Pilot Securities will benefit investors by improving the overall economics of the resulting transactions...

  8. 75 FR 29787 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2010-05-27

    ... (``HOLDRS''), as defined under Interpretation and Policy .07 to Rule 5.3, in $1 or greater strike price intervals, where the strike price is $200 or less and $5 or greater where the strike price is greater than... Contracts Open for Trading, by adding new Interpretation and Policy .17 that would allow the Exchange to...

  9. 76 FR 65247 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-10-20

    ... premier global venue for capital raising, with a truly global franchise and presence in many of the world... management and the premier global venue for capital raising, with a truly global franchise and presence in... three NYSE Exchanges--NYSE, NYSE Arca and NYSE Amex--which provide marketplaces where investors buy and...

  10. 75 FR 41247 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-07-15

    ...-19). Under current Rule 502(h), only Exchange-Traded Fund Shares, or ETFs, that are traded on a...) represent interests in a trust that holds a specified non-U.S. currency or currencies deposited with the... owner to receive the specified non-U.S. currency or currencies and pays the beneficial owner interest...

  11. 75 FR 40005 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2010-07-13

    ... (also referred to herein as exchange traded fund (``ETFs'')) representing (i) interests in registered.... currency deposited with the trust or similar entity when aggregated in some specified minimum number may be surrendered to the trust by the beneficial owner to receive the specified non-U.S. currency and pays the...

  12. 78 FR 75439 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-12-11

    ... current Rule 402, only Exchange-Traded Fund Shares (``ETFs'') that (1) represent interests in registered... or similar entity that holds a specified non-U.S. currency or currencies deposited with the trust... by the beneficial owner to receive the specified non-U.S. currency or currencies and pays the...

  13. 75 FR 20649 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2010-04-20

    ... as exchange traded fund (``ETFs'')) representing (i) interests in registered investment companies (or... Instruments), or (ii) interests in a trust or similar entity that holds a specified non-U.S. currency... surrendered to the trust by the beneficial owner to receive the specified non-U.S. currency and pays the...

  14. 75 FR 11955 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2010-03-12

    ... exchange traded funds (``ETFs'')) representing (i) interests in registered investment companies (or series... Instruments); or (ii) interests in a trust or similar entity that holds a specified non-U.S. currency... surrendered to the trust by the beneficial owner to receive the specified non-U.S. currency and pays the...

  15. 75 FR 31823 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2010-06-04

    ...). Under current Rule 5.3, only Units (also referred to herein as exchange traded fund (``ETFs... trust or similar entity that holds a specified non-U.S. currency deposited with the trust or similar... owner to receive the specified non-U.S. currency and pays the beneficial owner interest and other...

  16. 75 FR 23314 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of...

    Science.gov (United States)

    2010-05-03

    ... Rule 502(h), only Exchange-Traded Fund Shares, or ETFs, that are traded on a national securities... that holds a specified non-U.S. currency or currencies deposited with the trust when aggregated in some... non-U.S. currency or currencies and pays the beneficial owner interest and other distributions on the...

  17. 78 FR 39386 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-07-01

    ... be insulated from such external disruptions. Furthermore, by reducing the impact that could arise... Service would pay for the development, marketing, technical infrastructure and operating costs of the... environment, the Exchange must continually review, and consider adjusting, its fees. As discussed above, the...

  18. 78 FR 39395 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-07-01

    ... be insulated from such external disruptions. Furthermore, by reducing the impact that could arise... costs. The revenue generated by the Service would pay for the development, marketing, technical... in a highly competitive market. In such an environment, the Exchange must continually review, and...

  19. 77 FR 56896 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-14

    ... liquidity and removing liquidity is $0.0001 per share, http://batstrading.com/resources/regulation/rule_book... liquidity pool, offering additional flexibility for all investors to enjoy cost savings, supporting the... securities priced at or above $1.00, when Members add liquidity, the Exchange currently offers a rebate of $0...

  20. 77 FR 74536 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-12-14

    ... recover the development and ongoing operational costs, excluding the costs of regulation, of Order... Participants will post additional liquidity on the Exchange if it (i) increases the rebate to $0.0030 per share when the Order Deliver [sic] Participant adds liquidity in a security quoted at a price of $1.00 or...

  1. 77 FR 10595 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-22

    ... Change Relating to an Offering of a New Historical Data Feed Service to Members and Non- Members February... Exchange Commission (the ``Commission'') a proposed rule change to offer a new historical data feed service... proposed rule change on February 13, 2012. The text of the proposed rule change is available on the...

  2. 78 FR 18642 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-27

    ... Exchange is proposing to charge the same rate for transactions in Mini Options, since the costs to the... investors to have lower transaction costs for Public Customers, and that the reduction in Mini Options fees... spread its administrative and infrastructure costs over a greater number of transactions, leading to...

  3. 75 FR 33867 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-06-15

    ... dependent on the OCC Hub to route orders to markets at the NBBO. The Exchange was aware that such dependence... Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an e-mail to rule-comments... post all comments on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml ). Copies...

  4. 78 FR 33880 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-06-05

    ... to send test symbols via their FIX and/or HP-API logical ports in order to test their software developed to take advantage of newly implemented exchange enhancements or to test their own software updates.... Although Members and non- Members currently have the ability to send live and test symbols via FIX and/or...

  5. 78 FR 33871 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-06-05

    ... to send test symbols via their FIX and/or HP-API logical ports in order to test their software developed to take advantage of newly implemented exchange enhancements or to test their own software updates.... Although Members and non- Members currently have the ability to send live and test symbols via FIX and/or...

  6. 75 FR 55838 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-09-14

    ...-brand one of its routing strategies, currently referred to as ``DART,'' as the ``Dark Routing Technique'' or ``DRT''. Accordingly, the Exchange proposes modification of the ``DART'' acronym throughout the... on the subject line. Paper Comments Send paper comments in triplicate to Elizabeth M. Murphy...

  7. 75 FR 39303 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-07-08

    .... DART. DART is a routing option currently offered by the Exchange in which the entering firm instructs the System to first route to alternative trading systems included in the System routing table. DART... . Please include File No. SR-BATS-2010-017 on the subject line. Paper Comments Send paper comments in...

  8. 77 FR 47152 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-08-07

    ... competitors.\\8\\ The additional feature will allow Members to publically disclose their identity when quoting... functionality that is consistent with that of functionality offered by the Exchange's competitors.\\12\\ The... amount of data available to market participants, and also spur innovation and competition for the...

  9. 77 FR 47150 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-08-07

    ... competitors.\\8\\ The additional feature will allow Members to publically disclose their identity when quoting... functionality that is consistent with that of functionality offered by the Exchange's competitors.\\12\\ The... available to market participants, and also spur innovation and competition for the provision of market data...

  10. 78 FR 55310 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-09-10

    ... increased the NYSE MKT LLC (``AMEX'') Royalty Fee for RUT from $0.15 per contract to $0.40 per contract. \\4... Effectiveness of a Proposed Rule Change To Amend the Fees Schedule September 4, 2013. Pursuant to Section 19(b... Terms of Substance of the Proposed Rule Change The Exchange proposes to amend its Fees Schedule. The...

  11. 75 FR 47329 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-08-05

    ... contract for manually executed broker-dealer transactions; $0.45 per contract for electronically executed broker- dealer transactions; $0.20 per contract for voluntary professional transactions; $0.20 per... contract CFLEX surcharge fee. The Exchange is also proposing to amend Section 2, Marketing Fee, to the Fees...

  12. 78 FR 47809 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-08-06

    ... $200 the maximum strike price for which the strike price interval for series of XSP options may be $1. The Exchange also proposed to lower from $5 to $1 the minimum strike price interval for LEAPS and... capacity to handle any potential additional traffic associated with trading of P.M.-settled XSP options...

  13. 77 FR 43879 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-07-26

    ... Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend its Customer Large Trade Discount (the ``Discount''), which is intended to cap fees on large customer trades. Currently, regular... ``person'' as ``an individual, partnership (general or limited), joint stock company, corporation, limited...

  14. 77 FR 34434 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-06-11

    ... Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. (``Apex Clearing'') as an Exchange Member... significant collateral impact to a number of other Members. The proposed temporary suspension is contingent...'').\\5\\ \\4\\ Prior to the Transaction, Apex Clearing's name was Ridge Clearing & Outsourcing Solutions...

  15. 75 FR 66170 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-10-27

    ... Exchange proposes to refer to this routing as ``B2B'' routing, and proposes to rebate $0.0003 per share for B2B orders routed to and executed by BYX. As described above, this is the same rebate applicable to...

  16. 76 FR 20066 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2011-04-11

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64189; File No. SR-CBOE-2011-008] Self... portfolio is constructed, in the aggregate, to eliminate the stock price dependence. In theory, this option... expansion of strike prices resulting from the proposal is limited because the proposal will apply only to...

  17. 76 FR 64409 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-10-18

    ... on the Exchange's Internet Web site at http://www.directedge.com . \\3\\ A Member is any registered... eliminate the FIX (ECN Translator) \\4\\ logical port fee effective as of October 1, 2011, as the ECN Translator is no longer being used by its Members and non-members.\\5\\ \\4\\ The ECN Translator allows a Member...

  18. 75 FR 78791 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-12-16

    ... physical ports. The text of the proposed rule change is available on the Exchange's Internet Web site at... (Direct) \\4\\ or through the ECN Translator.\\5\\ Members and non-members will receive the first ten (10... sessions will not apply to ECN Translator sessions to incent members and non-members to use Direct Sessions...

  19. 75 FR 78794 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-12-16

    ... physical ports. The text of the proposed rule change is available on the Exchange's Internet Web site at... (Direct) \\4\\ or through the ECN Translator.\\5\\ Members and non-members will receive the first ten (10... sessions will not apply to ECN Translator sessions to incent members and non-members to use Direct Sessions...

  20. 76 FR 64404 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-10-18

    ... on the Exchange's Internet Web site at http://www.directedge.com . \\3\\ A Member is any registered... (ECN Translator) \\4\\ logical port fee effective as of October 1, 2011, as the ECN Translator is no longer being used by its Members and non-members.\\5\\ \\4\\ The ECN Translator allows a Member or non-member...

  1. 75 FR 71475 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-11-23

    ... from a range of possible, and equally reasonable, pricing strategies as the means of recovering total... for accessing posted liquidity. Other platforms may choose a strategy of paying lower rebates (or no... proprietary data and strict pricing discipline for the proprietary products themselves. Numerous exchanges...

  2. 77 FR 39538 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-07-03

    ... Exchange's normal routing strategies would apply, and, to the extent that other market centers have better... the proposed pricing threshold because a User is subject to certain specific obligations when pricing...-Through and Locked and Crossed Market protection. \\17\\ This definition for Crossed Market is consistent...

  3. 76 FR 41546 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-07-14

    ... definitions relating to such pricing structure; (iii) adopt a program, the ``NBBO Setter Program,'' which will...) Increase the standard fee to access the Exchange; (ii) introduce a tiered pricing structure applicable to... routing fee for the CYCLE, RECYCLE, Parallel D and Parallel 2D routing strategies; \\6\\ and (vii) make...

  4. 76 FR 50525 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-08-15

    .... Purpose The Exchange proposes to modify the ``Options Pricing'' section of its fee schedule to: (i... Destination Specific routing strategies \\6\\ charged for routing Customer \\7\\ orders to certain markets. \\6\\ As... schedule, and consistent with the definition of a Customer order, classification as Firm and Market Maker...

  5. 78 FR 17733 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-03-22

    ...''), SPDR Gold Trust (``GLD''), Google Inc. (``GOOG'') and Amazon.com Inc. (``AMZN'').\\3\\ Whereas standard... site www.ise.com , at the principal office of the Exchange, and at the Commission's Public Reference... orders that seek to achieve legitimate investment strategies are afforded certain benefits. Particularly...

  6. 76 FR 22427 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-04-21

    ... marketing fee \\5\\ shall not apply to GVZ options. \\4\\ This fee is assessed to help the Exchange recoup... and believes that the introduction of new products is beneficial for the marketplace and provides... participants to scope new products, invests in development and marketing of new products and engages in ongoing...

  7. 76 FR 1203 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-01-07

    ... elect to have CBOE perform certain marketing services and/or billing services on behalf of the... Participating CBOE TPH, if a Participating Non-CBOE TPH elects to have CBOE perform marketing services on its... default destination for an order to be the U.S. options exchange with the best bid or offer, except CBOE...

  8. 78 FR 18655 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-03-27

    ... functionality and must be configured to cause CBOE to be the default destination exchange for complex orders, but allow any user to manually override CBOE as the default destination on an order-by-order basis... notes that the optional Marketing Service Election and Billing Election under the ORS Program would not...

  9. 76 FR 2160 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-01-12

    ... the goals of the National Market System and the concepts of price improvement and best execution. Also... national market system, and, in general, to protect investors and the public interest. The Exchange..., does not become operative for 30 days from the date on which it was filed, or such shorter time as the...

  10. 78 FR 49574 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-14

    ... through of the rate that Direct Edge ECN LLC (d/b/a DE Route) (``DE Route''), the Exchange's affiliated... daily basis, measured monthly, more than that MPID's December 2012 added TCV (the ``December Baseline... of Members or competing venues to maintain their competitive standing in the financial markets...

  11. 78 FR 36006 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-06-14

    ... Flag RB. The proposed change represents a pass through of the rate that Direct Edge ECN LLC (d/b/a DE... per share for removing liquidity for executions by members that add a daily average volume of at least... in the financial markets. The Exchange believes that its proposal to lower the default rebate for...

  12. 78 FR 43254 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-07-19

    ... order would be a limit order on the CBOE electronic book (``EBook'') that represents one leg of a non... (``Exchange BBO'') on the EBook.\\6\\ According to CBOE, leg orders are designed to increase opportunities for... derived net price of the best-priced orders or quotes (other than leg orders) in the EBook; and (2) at a...

  13. 78 FR 14866 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2013-03-07

    ... transactions, to assure the safeguarding of securities and funds which are in the custody or control of the... Commodity Exchange Act (``CEA'') and do not significantly affect any securities clearing operations of the... the safeguarding of securities and funds which are in the custody or control of the clearing agency or...

  14. 77 FR 60738 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-10-04

    ... conjunction with this proposed re-organization of the Fees Schedule, some items are being moved within the Fees Schedule and clarifications are being given. Currently, broker-dealer transaction fees apply to... the Fees Schedule, or any Exchange fees, are being made. All information that is proposed to appear in...

  15. 78 FR 16338 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2013-03-14

    ... makers (i.e., Electronic Access Members),\\12\\ and whether a trade is adjusted or busted also differs.\\13... Exchange nullifies obvious error transactions unless all parties to the trade are ISE market makers, in... is an equally valid opposing view because adjustments can result in retail customer orders being...

  16. 78 FR 62798 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-10-22

    ... information for complex strategies and other market data. NYSE offers market data products entitled ``NYSE... assist them in tracking prices and market trends and making trading decisions. The Exchange believes that... fee schedule of Market Data Express, LLC (``MDX''), an affiliate of CBOE, to establish fees for the...

  17. 77 FR 65600 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2012-10-29

    ... activity in both options and underlying stocks.\\23\\ In addition, the Exchange states that its surveillance... exercise limits are designed to minimize the potential for mini-manipulations and for corners or squeezes... believes that this liquidity would lessen the opportunity for manipulation of this product and disruption...

  18. 78 FR 45588 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-07-29

    ... Effectiveness of a Proposed Rule Change to Delay the Operative Date of a Recent Change to Exchange Rule 514 July... filing a proposal to delay the operative date of a recent change to Rule 514. There are no proposed..._RC_2013_31.pdf . The purpose of this rule filing is to delay the operative date of the change to Rule...

  19. 78 FR 45586 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-07-29

    ... Effectiveness of a Proposed Rule Change to Delay the Operative Date of a Recent Change to Exchange Rule 506 July... filing a proposal to delay the operative date of a recent change to Rule 506. There are no proposed... delay the operative date of the change to Rule 506 in rule filing SR-MIAX-2013-18 until MIAX has...

  20. 78 FR 18413 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-26

    ... national best offer equals the lower price band and does not cross the national best bid, or the national best bid equals the upper price band and does not cross the national best offer. A Straddle State is... for the quality of execution for retail customers buying or selling options. Accordingly, the Exchange...

  1. 75 FR 70337 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-11-17

    ... significantly affect the protection of investors or the public interest, does not impose any significant burden... change is to modify the Exchange's rules to expand the $0.50 Strike Program in order to provide investors... market participants, such as traders and retail investors, and thereby enhance their ability to tailor...

  2. 78 FR 34697 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-06-10

    ... change does not: A. Significantly affect the protection of investors or the public interest; B. impose... national market system, and, in general, to protect investors and the public interest. Updating Exchange... market and a national market system, and, in general, protecting investors and the public interest. \\4...

  3. 77 FR 57171 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2012-09-17

    ... series, the size of the COA-eligible order and any contingencies, but not the side of the market... current market), size, complex order type, and complex order origin type (i.e. non-broker-dealer public customer, broker- dealers that are not Market-Makers or specialists on an options exchange, and/or Market...

  4. 77 FR 35735 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-06-14

    ... reasonable in that it rewards a Member's growth patterns. Such increased volume increases potential revenue..., such as higher levels of liquidity provision and/or growth patterns, and introduction of higher volumes... incentive programs operated by the Exchange. The increased liquidity also benefits all investors by...

  5. 76 FR 33798 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Instituting Proceedings...

    Science.gov (United States)

    2011-06-09

    ... Letter 2''); Michael J. Simon, Secretary, International Securities Exchange, LLC (``ISE''), dated March... C2 introducing a p.m.-settled S&P 500 index option? If commenters think there may be an impact, do... last 30 years? Please provide data to support your answer. How much of the change do commenters think...

  6. 76 FR 36596 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule...

    Science.gov (United States)

    2011-06-22

    ..., eliminate the Minor Rule Violation Panel, clarify pleading requirements of a Respondent seeking to challenge.... The Exchange also proposed to clarify the pleading requirements of a Respondent who seeks to challenge... (Article 9, Rule 23) applied to all sell orders and not just those of a proprietary nature.\\6\\ In addition...

  7. 78 FR 69921 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-11-21

    ....\\9\\ Such un- priced orders include market orders and stop orders, which become market orders when the... drastically different from the time when these orders were first sent to the Exchange for execution. As noted... is designed to promote just and equitable principles of trade, to remove impediments to and perfect...

  8. 78 FR 69923 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-11-21

    ... Straddle State.\\9\\ Such un-priced orders include market orders and stop orders, which become market orders... different from the time when these orders were first sent to the Exchange for execution. As noted above... is designed to promote just and equitable principles of trade, to remove impediments to and perfect...

  9. 78 FR 60348 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-10-01

    ... market participants. The Program will similarly reward the liquidity providers that provide this... perfect the mechanisms of a free and open market and a national market system and, in general, to protect... the Exchange, or the transaction is subject to a fee cap. The Program is designed to reward...

  10. 76 FR 35491 - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Order Granting Approval of...

    Science.gov (United States)

    2011-06-17

    ... the Exchange's electronic book at the same price. Specifically, the QCC Order type would permit TPHs... of shares of the same issuer, or involve the securities of participants in mergers or with intentions... the book at the price as a QCC order at the time of execution.\\14\\ The commenter argued that in an...

  11. 75 FR 79433 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-12-20

    ... Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity December 13, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule... and rebates for adding and removing liquidity. The text of the proposed rule change is available on...

  12. 76 FR 56844 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-09-14

    ... Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity September 8, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2... transaction fees and rebates for adding and removing liquidity. The text of the proposed rule change is...

  13. 75 FR 78288 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-12-15

    ... Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity December 9, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule... proposed rule change, as described in Items I and II, and below, which items have been prepared by the self...

  14. 76 FR 21934 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-04-19

    ... Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity April 13, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2... transaction fees and rebates for adding and removing liquidity. The text of the proposed rule change is...

  15. 75 FR 70059 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-11-16

    ... Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity November 9, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule... amend its transaction fees and rebates for adding and removing liquidity. The text of the proposed rule...

  16. 76 FR 62107 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Order Granting...

    Science.gov (United States)

    2011-10-06

    ... Security Act of 1974 (as amended) (``ERISA'') Plan fiduciary as the investment manager of stock held as... fiduciary; and (2) any designated investment adviser may vote such proxies. The Exchange also proposes... stock or their designated investment advisors. \\20\\ 15 U.S.C. 78f(b)(5). The Commission also finds good...

  17. 76 FR 72488 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-11-23

    ... Stock Market LLC for the NASDAQ Options Market (``NOM''), and NASDAQ OMX PHLX, Inc. (``PHLX'').\\8\\ \\6... investment and risk management strategies and decisions. The Exchange further believes this proposed rule change will provide investors with additional Weekly option classes for investment, trading and risk...

  18. 77 FR 19399 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-03-30

    ... corporate structure of the Exchange, which will promote just and equitable principles of trade and help to... governance documents of Alpha Beta Netherlands Holding N.V., a holding company organized under the laws of... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles...

  19. 77 FR 19400 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-03-30

    ... corporate structure of the Exchange, which will promote just and equitable principles of trade and help to... effect the Combination and to amend certain provisions of the organizational and other governance... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles...

  20. 75 FR 14231 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-03-24

    ... public interest by ensuring better corporate governance and transparency of the election process for... shareholders and enhance corporate governance and accountability to shareholders.\\17\\ \\12\\ 15 U.S.C. 78s(b)(1...\\ requirements that the rules of an exchange be designed to promote just and equitable principles of trade, to...

  1. 77 FR 19391 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-03-30

    ... corporate structure of the Exchange, which will promote just and equitable principles of trade and help to... other governance documents of Alpha Beta Netherlands Holding N.V., a holding company organized under the... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles...

  2. 76 FR 13690 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-03-14

    ... actual transaction fees assessed on away exchanges for Customer Linkage Transactions is designed to... should be included on the subject line if e-mail is used. To help the Commission process and review your... Commission's Internet website ( http://www.sec.gov/rules/sro/shtml ). Copies of the submission, all...

  3. 75 FR 62910 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-10-13

    ... changes to the Fee Schedule and will post a copy of the rule filing on the Exchange's website ( http://www... that it is designed to provide for the equitable allocation of reasonable dues, fees and other charges... the subject line if e-mail is used. To help the Commission process and review comments more...

  4. 75 FR 57100 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-09-17

    ... rule change is the requirement under Section 6(b)(5) \\6\\ that an exchange have rules that are designed... should be included on the subject line if e-mail is used. To help the Commission process and review your... Commission's Internet website ( http://www.sec.gov/rules/sro.shtml ). Copies of the submission, all...

  5. 77 FR 49049 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-08-15

    ... previous trading day's last sale price was greater than $100) in premium in each of the front two... than $100) in premium across all expiration months in order to receive the rebate. The Exchange... strategies in the complex order book.\\10\\ Given this enhancement to the complex order functionality, and in...

  6. 76 FR 68798 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-11-07

    ... order share any of the following: (1) User acronym, (2) login ID, or (3) sub-account code. Each Market... multiple different login IDs or sub-account codes. A login ID is the session through which a Market-Maker routes orders to the Exchange. A Market-Maker may elect to use different login IDs to route different...

  7. 76 FR 60108 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-09-28

    ... the following: (1) User acronym, (2) login ID, or (3) sub-account code. Each Market-Maker is assigned... login IDs or sub-account codes. A login ID is the session through which a Market-Maker routes orders to the Exchange. A Market-Maker may elect to use different login IDs to route different types of...

  8. 77 FR 37944 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2012-06-25

    ... Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Allow Competitive Market Makers To Use Their Membership Points To Enter Multiple Quotes in an Options Class June 19... 19b-4 thereunder,\\2\\ notice is hereby given that on June 6, 2012, the International Securities...

  9. 77 FR 54633 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change, as...

    Science.gov (United States)

    2012-09-05

    ... Maker Peg Order below one round lot, the market maker would need to enter a new order, after performing... Access Rule and Regulation SHO prior to entering a new Market Maker Peg Order. The Commission also... No. 1, To Adopt a New Market Maker Peg Order Available to Exchange Market Makers August 29, 2012. I...

  10. 78 FR 62785 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-22

    ... options class would be removed. The market maker would then enter new quotes in the class. Use of these... market makers to enter values in the Exchange-provided risk parameters. The text of the proposed rule... before being given adequate opportunity to adjust their quotes. For example, if a market maker can enter...

  11. 77 FR 45394 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-07-31

    ... date on which a limit up/limit down mechanism to address extraordinary market volatility, if adopted... rule was too narrow. In particular, commenters noted that securities that experienced volatility on May..., unanticipated price movements in NMS stocks. The Exchange believes that the Pilot is working well, that it has...

  12. 77 FR 45396 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-07-31

    ... the date on which a limit up/limit down mechanism to address extraordinary market volatility, if... rule was too narrow. In particular, commenters noted that securities that experienced volatility on May... movements in NMS stocks. The Exchange believes that the Pilot is working well, that it has been infrequently...

  13. 76 FR 20417 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-04-12

    ... market volatility, if adopted, applies. The text of the proposed rule change is attached as Exhibit 5 and...''), and specified Exchange Traded Products (``ETP'') that experience rapid price movement (collectively... limit up/limit down mechanism to address extraordinary market volatility, if adopted, applies...

  14. 77 FR 57631 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-18

    ... be posted to the EDGA Book. A Route Peg Order does not execute at a price that is inferior to a... justifies a lower price. Therefore, the Exchange is offering comparable pricing to Flag DM. Furthermore, the... in a deeper order book. As such, order book priority is an important determinant of their interaction...

  15. 76 FR 69780 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed...

    Science.gov (United States)

    2011-11-09

    ... Directors, which CBOE believes will provide it, the Nominating and Governance Committee and the... filing that it needed to obtain, but had not yet obtained, formal approval from its Board of Directors... rule change. The Exchange also noted that it needed to obtain, but had not yet obtained, approval from...

  16. 78 FR 7472 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-02-01

    ... \\6\\) information about resting orders in the Book that remain from the prior business day and any...\\ This revision will update the rule text to accurately reflect the Exchange's current practice of making... fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to foster...

  17. 77 FR 68862 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-11-16

    ..., the term ``Specified Symbols'' refers to FB, GOOG, and GRPN. Based on recent changes to NOM pricing... pennies. Under this pricing structure, the minimum penny tick increment equates to a $1.00 economic value... Exchange believes that this pricing model, based on approximate Routing Costs is a reasonable, fair and...

  18. 77 FR 33541 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2012-06-06

    ... points and fractions and one point will equal $100. The contract multiplier will be $100. The minimum... settlement values. Initially, the Exchange will list in-, at- and out-of-the-money strike prices (where the ``at-the-money'' strike price is 100) and may open for trading up to twelve near term expiration months...

  19. 77 FR 58431 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-09-20

    ... predictably allocating the economics specifically for each form of liquidity provision, and to incentivize... and finitely establish prices in the book. Further, CBSX already assesses different fees for other... Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule September 14, 2012...

  20. 78 FR 32510 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To...

    Science.gov (United States)

    2013-05-30

    ... that proxy distribution was not a core broker-dealer business and that capital could be better used... sliding impact of such economies of scale better than the current processing and intermediary fee... favor of a more rational tiered system; \\120\\ one believed that the Exchange has taken a fair and...