WorldWideScience

Sample records for exchanger regulatory factor

  1. Vav family exchange factors: an integrated regulatory and functional view.

    Science.gov (United States)

    Bustelo, Xosé R

    2014-01-01

    The Vav family is a group of tyrosine phosphorylation-regulated signal transduction molecules hierarchically located downstream of protein tyrosine kinases. The main function of these proteins is to work as guanosine nucleotide exchange factors (GEFs) for members of the Rho GTPase family. In addition, they can exhibit a variety of catalysis-independent roles in specific signaling contexts. Vav proteins play essential signaling roles for both the development and/or effector functions of a large variety of cell lineages, including those belonging to the immune, nervous, and cardiovascular systems. They also contribute to pathological states such as cancer, immune-related dysfunctions, and atherosclerosis. Here, I will provide an integrated view about the evolution, regulation, and effector properties of these signaling molecules. In addition, I will discuss the pros and cons for their potential consideration as therapeutic targets.

  2. Na+/H+ exchange regulatory factor 1 is required for ROMK1 K+ channel expression in the surface membrane of cultured M-1 cortical collecting duct cells.

    Science.gov (United States)

    Suzuki, Takashi; Nakamura, Kazuyoshi; Mayanagi, Taira; Sobue, Kenji; Kubokawa, Manabu

    2017-07-22

    The ROMK1 K+ channel, a member of the ROMK channel family, is the major candidate for the K+ secretion pathway in the renal cortical collecting duct (CCD). ROMK1 possesses a PDZ domain-binding motif at its C-terminus that is considered a modulator of ROMK1 expression via interaction with Na+/H+ exchange regulatory factor (NHERF) 1 and NHERF2 scaffold protein. Although NHERF1 is a potential binding partner of the ROMK1 K+ channel, the interaction between NHERF1 and K+ channel activity remains unclear. Therefore, in this study, we knocked down NHERF1 in cultured M-1 cells derived from mouse CCD and investigated the surface expression and K+ channel current in these cells after exogenous transfection with EGFP-ROMK1. NHERF1 knockdown resulted in reduced surface expression of ROMK1 as indicated by a cell biotinylation assay. Using the patch-clamp technique, we further found that the number of active channels per patched membrane and the Ba2+-sensitive whole-cell K+ current were decreased in the knockdown cells, suggesting that reduced K+ current was accompanied by decreased surface expression of ROMK1 in the NHERF1 knockdown cells. Our results provide evidence that NHERF1 mediates K+ current activity through acceleration of the surface expression of ROMK1 K+ channels in M-1 cells. Copyright © 2017 Elsevier Inc. All rights reserved.

  3. Rhadinoviral interferon regulatory factor homologues.

    Science.gov (United States)

    Koch, Sandra; Schulz, Thomas F

    2017-07-26

    Kaposi's sarcoma-associated herpesvirus (KSHV), or human herpesvirus 8 (HHV8) is a gammaherpesvirus and the etiological agent of Kaposi's sarcoma, primary effusion lymphoma and multicentric Castleman disease. The KSHV genome contains genes for a unique group of proteins with homology to cellular interferon regulatory factors, termed viral interferon regulatory factors (vIRFs). This review will give an overview over the oncogenic, antiapoptotic and immunomodulatory characteristics of KSHV and related vIRFs.

  4. Securities and Exchange Commission Semiannual Regulatory Agenda

    Science.gov (United States)

    2010-12-20

    ... payments to the purchaser are dependent on the performance of a securities index. On July 12, 2010, a... Agency Contact: Martha Mahan Haines, Division of Trading and Markets, Securities and Exchange Commission...

  5. Securities and Exchange Commission Semiannual Regulatory Agenda

    Science.gov (United States)

    2010-04-26

    ... Contact: Mark W. Green, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street... CORPORATION FINANCE--Proposed Rule Stage Regulation Sequence Title Identifier Number Number 418 Voluntary... CORPORATION FINANCE--Final Rule Stage Regulation Sequence Title Identifier Number Number 421 Proxy...

  6. Regulatory fit effects on perceived fiscal exchange and tax compliance.

    Science.gov (United States)

    Leder, Susanne; Mannetti, Lucia; Hölzl, Erik; Kirchler, Erich

    2010-04-01

    Paying taxes can be considered a contribution to the welfare of a society. But even though tax payments are redistributed to citizens in the form of public goods and services, taxpayers often do not perceive many benefits from paying taxes. Information campaigns about the use of taxes for financing public goods and services could increase taxpayers' understanding of the importance of taxes, strengthen their perception of fiscal exchange and consequently also increase tax compliance. Two studies examined how fit between framing of information and taxpayers' regulatory focus affects perceived fiscal exchange and tax compliance. Taxpayers should perceive the exchange between tax payments and provision of public goods and services as higher if information framing suits their regulatory focus. Study 1 supported this hypothesis for induced regulatory focus. Study 2 replicated the findings for chronic regulatory focus and further demonstrated that regulatory fit also affects tax compliance. The results provide further evidence for findings from previous studies concerning regulatory fit effects on tax attitudes and extend these findings to a context with low tax morale.

  7. 78 FR 49311 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed...

    Science.gov (United States)

    2013-08-13

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed... On June 5, 2013, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed...

  8. 77 FR 36589 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-06-19

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange... the self-regulatory organization. The Commission is publishing this notice to solicit comments on the...

  9. 76 FR 59472 - Self-Regulatory Organizations; International Securities Exchange, Inc., Order Granting Approval...

    Science.gov (United States)

    2011-09-26

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; International Securities Exchange, Inc., Order Granting Approval of... International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange...

  10. 78 FR 64039 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-25

    ... burdensome and more efficient regulatory compliance. As such, the proposed rule change would foster... Exchange and FINRA rules, resulting in less burdensome and more efficient regulatory compliance for common... burdensome and more efficient ] regulatory compliance. Additionally, the Exchange believes the proposed rule...

  11. 78 FR 64041 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-25

    ... burdensome and more efficient regulatory compliance. As such, the proposed rule change would foster... Exchange and FINRA rules, resulting in less burdensome and more efficient regulatory compliance for common... burdensome and more efficient ] regulatory compliance. Additionally, the Exchange believes proposed rule...

  12. 76 FR 32382 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-06-06

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...\\ notice is hereby given that on May 18, 2011, the International Securities Exchange, LLC (the ``Exchange.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance...

  13. 77 FR 35729 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-06-14

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... hereby given that on June 1, 2012, the International Securities Exchange, LLC (the ``Exchange'' or the.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance...

  14. 76 FR 41850 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-07-15

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of... on July 1, 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the...

  15. 78 FR 24265 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-04-24

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...\\ notice is hereby given that on April 12, 2013, the International Securities Exchange, LLC (the ``Exchange... described in Items I, II, and III below, which items have been prepared by the self-regulatory organization...

  16. 78 FR 37870 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2013-06-24

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...\\ notice is hereby given that on June 5, 2013, the International Securities Exchange, LLC (the ``Exchange.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the...

  17. 76 FR 79236 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-12-21

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... 30, 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule...

  18. 76 FR 60574 - Self-Regulatory Organizations; International Securities Exchange, Incorporated; Notice of...

    Science.gov (United States)

    2011-09-29

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, Incorporated; Notice of Proposed... given that on September 21, 2011, the International Securities Exchange, LLC (the ``Exchange'' or the.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance...

  19. 76 FR 2170 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-01-12

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... December 23, 2010, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with... range of fees assessed by other exchanges employing similar pricing schemes. For example, the proposed...

  20. 78 FR 36805 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-06-19

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...\\ notice is hereby given that on June 6, 2013, Chicago Board Options Exchange, Incorporated (the ``Exchange.... In 2002, the Exchange added to its Fees Schedule a rebate for duplicate fees related to manual data...

  1. 78 FR 77512 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-23

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate... Manual of Operations December 17, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of... December 5, 2013, Chicago Mercantile Exchange Inc. (``CME'') filed with the Securities and Exchange...

  2. 77 FR 10016 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-02-21

    ... International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The ISE is... change is available on the Exchange's Web site ( http://www.ise.com ), at the principal office of the...

  3. 76 FR 13252 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-03-10

    ... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The ISE.... The text of the proposed rule change is available on the Exchange's website ( http://www.ise.com ), at...

  4. 77 FR 10579 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-02-22

    ... International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The ISE is... change is available on the Exchange's Web site ( http://www.ise.com ), at the principal office of the...

  5. 78 FR 25777 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of...

    Science.gov (United States)

    2013-05-02

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of.... Introduction On February 26, 2013, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE...

  6. 78 FR 973 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-01-07

    ... expressed by market participants at their true prices. ] C. Self-Regulatory Organization's Statement on... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

  7. 75 FR 77931 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-12-14

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... thereunder,\\2\\ notice is hereby given that, on November 30, 2010, the International Securities Exchange, LLC... self-regulatory organization. The Commission is publishing this notice to solicit comments on the...

  8. 78 FR 35349 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-06-12

    ... COMMISSION Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...\\ notice is hereby given that on May 30, 2013, Miami International Securities Exchange LLC (``MIAX'' or.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance...

  9. 77 FR 74252 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-12-13

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... thereunder,\\2\\ notice is hereby given that on November 29, 2012, the International Securities Exchange, LLC...- regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule...

  10. 77 FR 33535 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-06-06

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...-4 thereunder,\\2\\ notice is hereby given that on May 25, 2012, the International Securities Exchange... from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization...

  11. 77 FR 74905 - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-12-18

    ... COMMISSION Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and... thereunder,\\2\\ notice is hereby given that on December 7, 2012, Miami International Securities Exchange LLC...- regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule...

  12. 77 FR 74898 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-12-18

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...\\ notice is hereby given that on December 3, 2012, the International Securities Exchange, LLC (the... described in Items I, II, and III below, which items have been prepared by the self- regulatory organization...

  13. 78 FR 24271 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-04-24

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... thereunder,\\2\\ notice is hereby given that on April 10, 2013, the International Securities Exchange, LLC (the... described in Items I, II, and III below, which items have been prepared by the self-regulatory organization...

  14. 78 FR 3934 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-01-17

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...\\ notice is hereby given that on January 2, 2013, the International Securities Exchange, LLC (the...-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule...

  15. 78 FR 3952 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-01-17

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...\\ notice is hereby given that on January 3, 2013, the International Securities Exchange, LLC (the... described in Items I, II, and III below, which items have been prepared by the self- regulatory organization...

  16. 78 FR 27462 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-05-10

    ... COMMISSION Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and... thereunder,\\2\\ notice is hereby given that on April 24, 2013, Miami International Securities Exchange LLC... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's...

  17. 78 FR 37856 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-06-24

    ... COMMISSION Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...\\ notice is hereby given that on June 12, 2013, Miami International Securities Exchange LLC (``MIAX'' or...\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms...

  18. 77 FR 63391 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-10-16

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...\\ notice is hereby given that on October 1, 2012, the International Securities Exchange, LLC (the... described in Items I, II, and III below, which items have been prepared by the self- regulatory organization...

  19. 78 FR 69900 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-21

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule November 15, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange...

  20. 78 FR 19034 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-28

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule March 22, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Ac...

  1. 76 FR 23634 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-04-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add the CHX Only Order Type April 21, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...

  2. 77 FR 19741 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-04-02

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule March 27, 2012. Pursuant to Section 19(b)(1) of...

  3. 78 FR 41158 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-07-09

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule July 2, 2013. Pursuant to Section 19(b)(1) of...

  4. 76 FR 44386 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-07-25

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Obligations of Exchange-Registered Institutional Brokers July 19, 2011. Pursuant to Section 19(b)(...

  5. 76 FR 56246 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-09-12

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Cancellation Fee September 6, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...

  6. 77 FR 10790 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving...

    Science.gov (United States)

    2012-02-23

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to the CBOE Stock Exchange Request for Quote Rules February 16, 2012. On December 27, 2011, Chicago Board Options...

  7. 77 FR 68873 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-11-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68206; File No. SR-NSX-2012-18] Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee and Rebate Schedule November 9, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the `...

  8. 76 FR 72739 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-11-25

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Trade Processing Fee November 18, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act...

  9. 77 FR 8927 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule...

    Science.gov (United States)

    2012-02-15

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change Regarding Suspension of a Participant's Trading Privileges on the Exchange February 9, 2012. I. Introduction On December 16, 2011, the Chicago...

  10. 76 FR 27730 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-05-12

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule May 5, 2011. Pursuant to Section 19(b)(1) of th...

  11. 75 FR 2914 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-01-19

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a Tiered Fee Schedule January 11, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act...

  12. 76 FR 77279 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-12-12

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... thereunder,\\2\\ notice is hereby given that, on November 22, 2011, the International Securities Exchange, LLC..., the Exchange has lower fees (or no fees) for customer orders; \\7\\ and tiered pricing that reduces...

  13. 77 FR 76319 - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Minor Rule Violation...

    Science.gov (United States)

    2012-12-27

    ... COMMISSION Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Minor Rule Violation Plan... violation plan (``MRVP'') pursuant to Section 19(d)(1) of the Securities Exchange Act of 1934 (the ``Act.... Id. Upon approval of the plan, the Exchange will provide the Commission a quarterly report of actions...

  14. 78 FR 76685 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-18

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4...

  15. 78 FR 76693 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-18

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4...

  16. 78 FR 58359 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-23

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...

  17. 78 FR 55130 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-09-09

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act'') \\1\\ and Rule 19b-4...

  18. 78 FR 56955 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-16

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness... to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4...

  19. 78 FR 56960 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-09-16

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and... to the provisions of Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule...

  20. 78 FR 76684 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-12-18

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and... Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2...

  1. 77 FR 69910 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal...

    Science.gov (United States)

    2012-11-21

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of a Proposed Rule Change To Amend the Customer Large Trade Discount November 15, 2012. On July 11, 2012, Chicago Board Options Exchange,...

  2. 77 FR 60735 - Self-Regulatory Organizations; NYSE Arca, Inc.; International Securities Exchange, LLC; Notice of...

    Science.gov (United States)

    2012-10-04

    ... COMMISSION Self-Regulatory Organizations; NYSE Arca, Inc.; International Securities Exchange, LLC; Notice of... by Amendments No. 1 To List and Trade Option Contracts Overlying 10 Shares of Certain Securities..., International Securities Exchange, LLC (``ISE,'' and together with NYSE Arca, ``Exchanges''), filed with the...

  3. 77 FR 22825 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2012-04-17

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order... March 30, 2012, the Chicago Mercantile Exchange Inc. (``CME'') filed with the Securities and Exchange... clearing OTC IRS transactions. In addition, CME also proposes to make corresponding changes to its Manual...

  4. 77 FR 58899 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2012-09-24

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order..., Chicago Mercantile Exchange Inc. (``CME'') filed with the Securities and Exchange Commission (``Commission... GBP to 51 years and 10 days. The Manual of Operations for CME Cleared Interest Rate Swaps (the ``IRS...

  5. 78 FR 73211 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-12-05

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a... hereby given that on November 18, 2013, Chicago Board Options Exchange, Incorporated (the ``Exchange'' or... such rejection. Because the current order creation process is a manual, on-floor process, the current...

  6. 76 FR 67509 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule...

    Science.gov (United States)

    2011-11-01

    ... COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule.... Introduction On September 14, 2011, the Chicago Stock Exchange, Inc. (``CHX'' or the ``Exchange'') filed with.... Typically, Institutional Brokers provide manual order handling and execution services for other broker...

  7. 78 FR 62887 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-10-22

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a... September 27, 2013, Chicago Board Options Exchange, Incorporated (the ``Exchange'' or ``CBOE'') filed with... that limitation). Further, this $0.01 minimum increment will put the electronic and manual entry of...

  8. 77 FR 59226 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-09-26

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...\\ notice is hereby given that on September 12, 2012, Chicago Board Options Exchange, Incorporated (the... Basis for, the Proposed Rule Change 1. Purpose Currently, the Exchange assesses a Manual Appointment...

  9. 78 FR 16311 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-14

    ... COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate... given that on March 1, 2013, the Chicago Stock Exchange, Inc. (``CHX'' or the ``Exchange'') filed with... the Matching System when entered or (2) it is at a price that would lock or cross a Manual or...

  10. 75 FR 1437 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a...

    Science.gov (United States)

    2010-01-11

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a..., the Chicago Board Options Exchange, Incorporated (``CBOE'' or the ``Exchange'') filed with the... route to the CBOE's Complex Order Book or to PAR for manual handling.\\5\\ \\4\\ See CBOE Rule 6.53C(d). \\5...

  11. 76 FR 42757 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-07-19

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and... hereby given that on June 30, 2011, the Chicago Board Options Exchange, Incorporated (the ``Exchange'' or... orders of a Non- Trading Permit Holder Affiliate as defined herein: $.25 per contract for manual...

  12. 77 FR 57171 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2012-09-17

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a... that on August 30, 2012, Chicago Board Options Exchange, Incorporated (``Exchange'' or ``CBOE'') filed... Official workstations located in the trading crowds for manual handling, and/ or to other order management...

  13. 78 FR 71694 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-29

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate... November 12, 2013, Chicago Mercantile Exchange Inc. (``CME'') filed with the Securities and Exchange... rate swaps denominated in MXN. CME will also be making certain conforming changes to its IRS Manual of...

  14. 76 FR 67011 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-10-28

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate..., 2011, Chicago Mercantile Exchange Inc. (``CME'') filed with the Securities and Exchange Commission... same time amending its Manual of Operations to reflect the proposed rule changes related to Eris. The...

  15. 77 FR 4844 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a...

    Science.gov (United States)

    2012-01-31

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a.... Introduction On November 29, 2011, the Chicago Board Options Exchange, Incorporated (``Exchange'' or ``CBOE... complex order is routed for manual handling to PAR or a booth. \\11\\ CBOE Rule 6.53C, Interpretation and...

  16. 77 FR 13668 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Order Approving Proposed Rule...

    Science.gov (United States)

    2012-03-07

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Order Approving Proposed Rule... January 23, 2012, Chicago Mercantile Exchange Inc. (``CME'') filed with the Securities and Exchange... market. CME is also proposing to make conforming changes to its CDS Manual of Operations. III. Discussion...

  17. 75 FR 78301 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-12-15

    ... COMMISSION [Release No. 34-63506; File No. SR-ISE-2010-117) Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE..., 2010, the International Securities Exchange, LLC (the ``Exchange'' or ``ISE'') filed with the...

  18. 75 FR 5826 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-02-04

    ... Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... by the self- regulatory organization. On January 27, 2010, ISE filed Amendment No. 1 to the proposed rule change. On January 27, 2010, ISE withdrew Amendment No. 1 and filed Amendment No. 2 to the...

  19. 77 FR 33543 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2012-06-06

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of... is hereby given that on May 21, 2012, the International Securities Exchange, LLC (the ``Exchange'' or... organization. The Commission is publishing this notice to solicit comments on the proposed rule change from...

  20. 75 FR 61795 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-10-06

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... is hereby given that on September 21, 2010, the International Securities Exchange, LLC (the... Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend...

  1. 78 FR 51242 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-20

    ... investigations with other exchanges designed to address potential intermarket manipulation and trading abuses... sharing is to coordinate regulatory efforts to address potential intermarket trading abuses and... much more labor intensive and requires greater expenditure of human and technical resources than...

  2. 77 FR 2329 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-01-17

    ... a self-regulatory organization to give the Commission written notice of its intent to file the... incur. As such, based on the Exchange's feedback from Members it surveyed in September 2011, the...

  3. 75 FR 56628 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2010-09-16

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of... and To Broaden the Definition of ``Futures-Linked Securities'' September 9, 2010. Pursuant to Section... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. ] I. Self-Regulatory Organization's...

  4. 76 FR 74103 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-11-30

    ... COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exclude All Rights and Warrants From the Definition of ``Circuit.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance...

  5. 75 FR 69726 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-11-15

    ...-107] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... and To Broaden the Definition of ``Futures-Linked Securities'' November 8, 2010. Pursuant to Section.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the...

  6. 77 FR 44301 - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of...

    Science.gov (United States)

    2012-07-27

    ... of a broker or dealer, and such services relate to the director's, officer's, or employee's... COMMISSION Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of the Substance of...

  7. 76 FR 31385 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-05-31

    ... COMMISSION [Release No. 34-64538; File No. SR-ISE-2011-30) Self-Regulatory Organizations; International... thereunder,\\2\\ notice is hereby given that on May 23, 2011, the International Securities Exchange, LLC (the.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the...

  8. 78 FR 66094 - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-11-04

    ... COMMISSION Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and... 19b-4 thereunder,\\2\\ notice is hereby given that on October 23, 2013, Miami International Securities... from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization...

  9. 78 FR 75629 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-12-12

    ... COMMISSION Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and... 19b-4 thereunder,\\2\\ notice is hereby given that on November 29, 2013, Miami International Securities... from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization...

  10. 77 FR 63390 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-10-16

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... 19b-4 thereunder,\\2\\ notice is hereby given that on October 1, 2012, the International Securities... self- regulatory organization. The Commission is publishing this notice to solicit comments on the...

  11. 76 FR 20793 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-04-13

    ... not have personnel available to act as agent. Some Trading Permit Holders or TPH organizations obtain... purposes of the Act. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

  12. 78 FR 78457 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-26

    ... express their true prices to buy and sell options for the benefit of all market participants. B. Self... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

  13. 78 FR 78435 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-12-26

    ... express their true prices to buy and sell options for the benefit of all market participants. B. Self... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

  14. 77 FR 68167 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-11-15

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Single-Sided Orders Fees and Rebates November 8, 2012 Pursuant to Section 19(b)(1) of the Securities...

  15. 76 FR 20393 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-04-12

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to Individual Securities Circuit Breakers April 6, 2011. Pursuant to Sectio...

  16. 77 FR 68185 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-11-15

    ... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Its Fee Schedule To Increase Its DEA Fees November 8, 2012. Pursuant to Section 19(b)(1) of the...

  17. 78 FR 21485 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-10

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Rule 11.24, Limit Up/Limit Down April 4, 2013. Pursuant to Section 19(b)(1) of the Securities...

  18. 78 FR 61413 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-03

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Data Revenue Rebates Program September 27, 2013. Pursuant to Section 19(b)(1) of the Securitie...

  19. 77 FR 68183 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-11-15

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Its Fee Schedule To Amend Its Institutional Broker Credits November 8, 2012. Pursuant to Section 19(b)(...

  20. 77 FR 72423 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-12-05

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Order Type Called the Double Play Order November 29, 2012. Pursuant to Section 19(b)(1) of the...

  1. 77 FR 69522 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-11-19

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee and Rebate Schedule November 13, 2012. Pursuant to Section 19(b)(1) of the Securities...

  2. 76 FR 74088 - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing Proposed...

    Science.gov (United States)

    2011-11-30

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing Proposed Rule Change To Exclude Rights and Warrants From the Individual Securities Circuit Breaker Rule November 23, 2011. Pursuant to Section 19(b)(1) of...

  3. 78 FR 1290 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-08

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Telemarketing Rules December 18, 2012. Correction In notice document 2012-30886 appearing on pages...

  4. 76 FR 50524 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-15

    ... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Relating to Clearly Erroneous Transactions August 9, 2011. Pursuant to Section 1...

  5. 75 FR 1674 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-01-12

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 30, 2009, the International... adjust DECN's pricing model to be more consistent with other exchanges (even though DECN is not an...

  6. 77 FR 38869 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-06-29

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...,\\2\\ notice is hereby given that on June 14, 2012, the International Securities Exchange, LLC (the... the result of a momentary pricing error. \\3\\ The changes proposed to ISE Rule 720 are based on Chicago...

  7. 77 FR 3295 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-01-23

    ...] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate...\\ notice is hereby given that, on January 3, 2012, the International Securities Exchange, LLC (the... OMX PHLX, Inc. (``PHLX'') and Nasdaq Options Market (``NOM'') Update Pricing Effective January 3, 2012...

  8. 78 FR 7844 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-02-04

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... thereunder,\\2\\ notice is hereby given that on January 17, 2013, the International Securities Exchange, LLC... and $0.82 per contract for removing liquidity in the Non-Penny Pilot Symbols. see also PHLX Pricing...

  9. 78 FR 48742 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-08-09

    ... COMMISSION Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and... thereunder,\\2\\ notice is hereby given that on July 23, 2013, Miami International Securities Exchange LLC...\\ See CBOE Fees Schedule, fn. 6; NASDAQ OMX Phlx, LLC (``Phlx'') Pricing Schedule, section on Payment...

  10. 78 FR 13107 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-02-26

    ... Maker obligations regarding the opening process on the Exchange. The text of the proposed rule change is... Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The... COMMISSION Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

  11. 77 FR 5067 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-02-01

    ... COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Effectuate an Amendment to Its Amended and Restated Certificate of...\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on January 20, 2012, National Stock Exchange...

  12. 75 FR 77032 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-12-10

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... thereunder,\\2\\ notice is hereby given that on December 2, 2010, the International Securities Exchange, LLC... organization. The Commission is publishing this notice to solicit comments on the proposed rule change from...

  13. 77 FR 59029 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of...

    Science.gov (United States)

    2012-09-25

    ... received, and CBOE's response to the comment. Currently, the maximum term for equity and interest rate... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation...

  14. 78 FR 69720 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-11-20

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Rules 1302, 1304 and the MIAX Options Fee...

  15. 77 FR 58897 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2012-09-24

    ... Holders (``TPHs'') and TPH organizations on an ad hoc basis, in the course of discharging its regulatory... under Exchange rules regarding the production of books and records, each TPH or TPH organization shall...\\ requirements that the rules of an exchange be designed to promote just and equitable principles of trade, to...

  16. 75 FR 8776 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and...

    Science.gov (United States)

    2010-02-25

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reduction of the Customer Transaction Fee for OEX and XEO Weeklys Options February 1...

  17. 77 FR 56247 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Suspension of and...

    Science.gov (United States)

    2012-09-12

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Customer Large Trade Discount...

  18. 76 FR 63686 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-10-13

    ...-2011-041] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Definition of Professional and Require That All Professional... Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange filed a proposal...

  19. 77 FR 40664 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-07-10

    ... Exchange's Web site ( http://www.cboe.com/AboutCBOE/CBOELegalRegulatoryHome.aspx ), at the Exchange's... (as opposed to routing such orders to dark pools or other trading centers prior to seeking execution... being sent to other trading centers because orders that scrape through multiple trading centers before...

  20. 78 FR 25116 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed...

    Science.gov (United States)

    2013-04-29

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule... is hereby given that on April 9, 2013, Chicago Mercantile Exchange Inc. (``CME'') filed with the... CME's CDS Manual of Operations. The change will be announced to CDS market participants in an advisory...

  1. 78 FR 43953 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-07-22

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and... thereunder,\\2\\ notice is hereby given that on July 9, 2013, Chicago Board Options Exchange, Incorporated (the... to route such orders on a global basis or as a manual override on an order-by- order basis if some...

  2. 77 FR 48192 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing of Proposed...

    Science.gov (United States)

    2012-08-13

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing of Proposed... thereunder \\2\\ notice is hereby given that on July 25, 2012, the Chicago Mercantile Exchange, Inc. (``CME... text in the CME rulebook and does not necessitate any changes to CME's CDS Manual of Operations. The...

  3. 76 FR 44638 - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing of Proposed...

    Science.gov (United States)

    2011-07-26

    ... COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing of Proposed... thereunder,\\2\\ notice is hereby given that on July 7, 2011, the Chicago Stock Exchange, Incorporated... submissions to ensure that the manual comparison is valid. For example, many of these transactions represent...

  4. 77 FR 50730 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2012-08-22

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order... that on August 7, 2012, the Chicago Mercantile Exchange, Inc. (``CME'') filed with the Securities and... to the CME IRS Clearing House Manual of Operations. CME believes the rule changes will benefit...

  5. 76 FR 63971 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-10-14

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...\\ notice is hereby given that on October 3, 2011, the Chicago Board Options Exchange, Incorporated (the... and Firms as either electronic or manual. See NYSE Amex Options Fees Schedule, Trade Related Charges...

  6. 77 FR 19045 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed...

    Science.gov (United States)

    2012-03-29

    ...-06] Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed... \\2\\ notice is hereby given that on March 9, 2012, Chicago Mercantile Exchange Inc. (``CME'') filed... its CDS clearing offering and also make corresponding amendments to certain sections of its Manual of...

  7. 77 FR 28416 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule...

    Science.gov (United States)

    2012-05-14

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule... Timeline May 8, 2012. I. Introduction On March 9, 2012, Chicago Mercantile Exchange (``CME'') filed with... corresponding amendments to certain sections of its Manual of Operations for CME Cleared Credit Default Swaps...

  8. 77 FR 77160 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed...

    Science.gov (United States)

    2012-12-31

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule... is hereby given that on December 10, 2012, Chicago Mercantile Exchange Inc. (``CME'') filed with the... CME's CDS Manual of Operations. The change will be announced to CDS market participants in an advisory...

  9. 78 FR 42572 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-16

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate... is hereby given that on June 28, 2013, Chicago Mercantile Exchange Inc. (``CME'') filed with the... rates. The Manual of Operations for CME Cleared Interest Rate Swaps (the ``IRS Manual'') is also being...

  10. 78 FR 53490 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-29

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate... thereunder,\\2\\ notice is hereby given that on August 16, 2013, Chicago Mercantile Exchange Inc. (``CME.... Finally, CME will also be making certain conforming changes to its IRS Manual of Operations for CME...

  11. 77 FR 50748 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-08-22

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and... 19b-4 thereunder,\\2\\ notice is hereby given that on August 2, 2012, the Chicago Board Options Exchange... workstations located in the trading crowds for manual handling, and/ or to other order management terminals...

  12. 78 FR 9953 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-02-12

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and... 19b-4 thereunder,\\2\\ notice is hereby given that on January 28, 2013, Chicago Board Options Exchange... orders and quotes in the electronic book or other complex orders in the COB, execute or route for manual...

  13. 77 FR 22824 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-04-17

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...\\ notice is hereby given that on April 2, 2012, the Chicago Board Options Exchange, Incorporated (the... assesses professional customers a $0.25 per contract fee for manual executions and a $0.23 per contract fee...

  14. 78 FR 39807 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-07-02

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and... thereunder,\\2\\ notice is hereby given that on June 19, 2013, Chicago Board Options Exchange, Incorporated... into the book, cancellation, or routing for manual handling. Examples of such validation checks include...

  15. 78 FR 25112 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-04-29

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...\\ notice is hereby given that on April 10, 2013, Chicago Board Options Exchange, Incorporated (the... Proprietary Facilitation fees as being assessed a fee of $0.00 per contract for manual, AIM Agency/Primary...

  16. 76 FR 13690 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-03-14

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...\\ notice is hereby given that on February 25, 2011 , Chicago Board Options Exchange, Incorporated (the... collect these fees for orders initially routed for manual handling by CBOE Floor Brokers. More...

  17. 78 FR 78424 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-26

    ... that the proposed rule change reflects this competitive environment. B. Self-Regulatory Organization's... Exchange's trading facilities, encourage order flow, and allow the Exchange to remain competitive in today... operates in a highly competitive market in which market participants can readily favor competing venues. In...

  18. 78 FR 15065 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-08

    ... competitive market in which market participants can readily favor competing venues. In such an environment... competitive with other exchanges. For the reasons described above, the Exchange believes that the proposed rule change reflects this competitive environment. B. Self-Regulatory Organization's Statement on...

  19. 77 FR 67844 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2012-11-14

    ... offsets, in relation to a regulatory review conducted by the Exchange.'' In the Notice, the Exchange... prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade... market system, and, in general, to protect investors and the public interest. \\8\\ 15 U.S.C. 78f. \\9\\ In...

  20. 77 FR 47152 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-08-07

    ... receive (and pay for) additional market data based on their own internal analysis of the need for such... COMMISSION Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...'' or ``EDGX'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule...

  1. 77 FR 47150 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-08-07

    ... receive (and pay for) additional market data based on their own internal analysis of the need for such... COMMISSION Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...'' or ``EDGA'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule...

  2. 78 FR 7470 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2013-02-01

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend the International Securities Exchange, LLC Amended and Restated Constitution...'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on January 18, 2013, the International...

  3. 77 FR 74895 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-12-18

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Available a New Market Data Offering November 28...

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

    Science.gov (United States)

    2012-04-25

    ... COMMISSION [Release No. 34-66834; File Nos. SR-EDGA-2012-08; SR-EDGX-2012-07; SR- ISE-2012-21] Self... Exchange AG Will Transfer Its Interest in ISE Holdings, Inc. to a Newly Formed Swiss Corporation, Eurex... (``EDGA''), EDGX Exchange, Inc. (``EDGX''), International Securities Exchange, LLC (``ISE'' and, with EDGA...

  5. 75 FR 12590 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule...

    Science.gov (United States)

    2010-03-16

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION 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 ``Exchang...

  6. 76 FR 10631 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-02-25

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Price List February 18, 2011. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange...

  7. 75 FR 69491 - Self-Regulatory Organizations; Order Approving Proposed Rule Change by New York Stock Exchange...

    Science.gov (United States)

    2010-11-12

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION 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 Stock Exchange LLC (``Exchange'...

  8. 75 FR 26822 - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for EDGX Exchange, Inc.

    Science.gov (United States)

    2010-05-12

    ...-Regulatory Organizations; Order Approving Minor Rule Violation Plan for EDGX Exchange, Inc. May 5, 2010. On... and Exchange Commission (the ``Commission'') a proposed minor rule violation plan (``MRVP'') pursuant... the operation of EDGX Exchange, the Exchange must file a minor rule violation plan with the Commission...

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

    Science.gov (United States)

    2010-05-12

    ...-Regulatory Organizations; Order Approving Minor Rule Violation Plan for EDGA Exchange, Inc. May 5, 2010. On... and Exchange Commission (the ``Commission'') a proposed minor rule violation plan (``MRVP'') pursuant... the operation of EDGA Exchange, the Exchange must file a minor rule violation plan with the Commission...

  10. Interferon regulatory factor signaling in autoimmune disease.

    Science.gov (United States)

    Matta, Bharati; Song, Su; Li, Dan; Barnes, Betsy J

    2017-10-01

    Interferon regulatory factors (IRFs) play critical roles in pathogen-induced innate immune responses and the subsequent induction of adaptive immune response. Dysregulation of IRF signaling is therefore thought to contribute to autoimmune disease pathogenesis. Indeed, numerous murine in vivo studies have documented protection from or enhanced susceptibility to particular autoimmune diseases in Irf-deficient mice. What has been lacking, however, is replication of these in vivo observations in primary immune cells from patients with autoimmune disease. These types of studies are essential as the majority of in vivo data support a protective role for IRFs in Irf-deficient mice, yet IRFs are often found to be overexpressed in patient immune cells. A significant body of work is beginning to emerge from both of these areas of study - mouse and human. Copyright © 2017 Elsevier Ltd. All rights reserved.

  11. 76 FR 54275 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-31

    ... jeopardize the financial integrity of the Exchange. II. Self-Regulatory Organization's Statement of Purpose... order to receive equity member rates. 900.B. Financial Instrument Clearing Members. A Financial... guarantor that it agrees to guarantee the performance and financial obligations of the FICM to the Clearing...

  12. 75 FR 27029 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-05-13

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... 19b-4 thereunder,\\2\\ notice is hereby given that on April 30, 2010, the International Securities... be excessive. The proposed rule change reflects a competitive pricing structure designed to incent...

  13. 75 FR 58006 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and...

    Science.gov (United States)

    2010-09-23

    ... transactions between related entities were more restrictive than the rules in place at other national... Immediate Effectiveness of Proposed Rule Change to Withdraw Regulatory Circular RG01-61 September 17, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder...

  14. 76 FR 35503 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2011-06-17

    .... CBOE is confident that it has adequate tools in place to surveil for market manipulation. The Exchange... reports should prove more than sufficient for surveillance of market manipulation. Position Limits...) as to which the self-regulatory organization consents, the Commission will: (A) By order approve or...

  15. 78 FR 47041 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2013-08-02

    ... should dispel any concerns regarding market manipulation. By extension, ISE believes that the same... market manipulation is greatly reduced. Therefore, the Exchange believes that the proposed rule change to... reasons for so finding or (ii) as to which the self-regulatory organization consents, the Commission will...

  16. 78 FR 76667 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-12-18

    ... Act Release No. 69496 (May 2, 2013), 78 FR 26671 (May 7, 2013), (Notice of filing and immediate...), 69 FR 49924 (August 12, 2004) (policy adopted by the Financial Industry Regulatory Authority (``FINRA.... 48840 (November 25, 2003), 68 FR 67711 (December 3, 2003) (SR-ISE-2003-29). \\7\\ The Exchange notes that...

  17. 78 FR 76675 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-18

    ... Effectiveness of Proposed Rule Change To Permit the Reporting of Odd Lot Transactions for Inclusion on the... inclusion on the consolidated tape\\,\\, in light of the approval of an amendment to the Consolidated Tape... Change 1. Purpose On September 9, 2013, the Exchanges and the Financial Industry Regulatory Authority...

  18. 78 FR 70382 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-11-25

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Expiration Date for Most Options Contracts to... Rule 19b-4 thereunder,\\2\\ notice is hereby given that, on November 7, 2013, the International...

  19. 78 FR 21642 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2013-04-11

    ..., all trading centers would be required to develop, maintain, and enforce policies and procedures... book in the relevant series (or all TPHs if allowed by the Exchange) to step up to the NBBO price. \\27... Trading Permit Holders by Regulatory Circular. See Rule 6.53C(d)(i)(2) and Interpretation and Policy .01...

  20. 78 FR 14870 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2013-03-07

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order... (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on March 1, 2013, Chicago...-CIBOR-DKNA13; DKK-CIBOR2- DKNA13; and NOK-NIBOR-NIBR. The Manual of Operations for CME Cleared Interest...

  1. 76 FR 76783 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-12-08

    ...-2011-112] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing... 19b-4 thereunder,\\2\\ notice is hereby given that on November 23, 2011, the Chicago Board Options... for equity options respectively for manual, electronic and QQQ transactions; $0.40 per contract for...

  2. 78 FR 61437 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-03

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate... ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on September 19, 2013, Chicago... necessitate any changes to CME's CDS Manual of Operations. The change will be announced to CDS market...

  3. 76 FR 40948 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-07-12

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...\\ and Rule 19b-4 thereunder,\\2\\ ] notice is hereby given that on June 29, 2011, the Chicago Board... and Firms as either electronic or manual. See NYSE Amex Options Fees Schedule, Trade Related Charges...

  4. 78 FR 56261 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-09-12

    ... COMMISSION [Release No. 34-70336; File No. SR-CME-2013-13) Self-Regulatory Organizations; Chicago Mercantile... hereby given that on August 23, 2013, Chicago Mercantile Exchange Inc. (``CME'') filed with the... be reflected in CME's Manual of Operations for CME Credit Default Swaps (``CDS Manual''). The change...

  5. 76 FR 65224 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2011-10-20

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order...\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on October 7, 2011, Chicago Mercantile... the same time amending its Manual of Operation for CME Cleared Interest Rate Swaps to reflect the new...

  6. 77 FR 41207 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2012-07-12

    ... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order...\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on June 25, 2012, the Chicago Mercantile... superseded by other CME IRS working groups. CME also notes that it is making certain updates to its Manual of...

  7. 78 FR 76884 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-19

    ... Exchange believes that the proposed fee changes reflect this competitive environment. C. Self-Regulatory... executed during the opening rotation. \\3\\ The term Market Maker refers to ``Competitive Market Makers'' and... operates in a highly competitive market in which market participants can readily direct their order flow to...

  8. 78 FR 65400 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-10-31

    ... environment, the Exchange must continually review, and consider adjusting, its fees to remain competitive with... reflect this competitive environment. C. Self-Regulatory Organization's Statement on Comments on the... notes that it operates in a highly competitive market in which Members can readily direct their order...

  9. 77 FR 16290 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-03-20

    ... Immediate Effectiveness of a Proposed Rule Change Relating to Telemarketing Rules March 14, 2012. Pursuant... telemarketing acts or practices.\\3\\ The text of the proposed rule change is available on the Exchange's Web site... Industry Regulatory Authority, Inc. (``FINRA'') Rule 3230 (Telemarketing), which the Commission recently...

  10. 75 FR 71475 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-11-23

    ... the evolution of self-regulatory organization governance and competitive market structure have... registering as exchanges by publishing proprietary book data on the Internet. Second, because a single order... that end users will not purchase in sufficient numbers. Internet portals, such as Google, impose a...

  11. 75 FR 63237 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-10-14

    ... on the Exchange's Internet Web site at http://www.directedge.com . II. Self-Regulatory Organization's... that the rate of $0.0010 applies to when a Member adds greater than 1,000,000 shares hidden on a daily... method. The Commission will post all comments on the Commission's Internet Web site ( http://www.sec.gov...

  12. 76 FR 56838 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and...

    Science.gov (United States)

    2011-09-14

    ... crossing orders as agent. The fourth purpose of this proposed rule change is to eliminate the fee for non... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees September 7, 2011. Pursuant to...

  13. 17 CFR 240.0-10 - Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.

    Science.gov (United States)

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act. 240.0-10 Section 240.0-10 Commodity... Regulatory Flexibility Act. For purposes of Commission rulemaking in accordance with the provisions of...

  14. 76 FR 56824 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated: Notice of Filing and Immediate...

    Science.gov (United States)

    2011-09-14

    ...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange is... crossing orders as agent. Finally, the fourth purpose of this proposed rule change is to eliminate the fee... COMMISSION Self-Regulatory Organizations; C2 Options Exchange, Incorporated: Notice of Filing and Immediate...

  15. 77 FR 3297 - Self-Regulatory Organizations; EDGA Exchange, Inc.; EDGX Exchange, Inc.; International Securities...

    Science.gov (United States)

    2012-01-23

    ... the fact that there are not expected to be any independent, non-executive directors of NYSE Group; (x... qualify as independent under the independence policy of the NYSE Euronext board of directors (the ``Non... directors is required to designate as Non-Affiliated Exchange Directors the candidates recommended jointly...

  16. 75 FR 59310 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Science.gov (United States)

    2010-09-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Amending Its Price List To Reflect Fees Charged for Co-Location Services September 21, 2010. On August 3, 2010, New York Stock Exchange LLC (`...

  17. 78 FR 70987 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the New York Stock Exchange Price List Related to Co-Location Services November 21, 2013. Pursuant to...

  18. 78 FR 16551 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-15

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List To Increase the Gross FOCUS Fee March 11, 2013. Pursuant to...

  19. 77 FR 1769 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2012-01-11

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC To Amend the Schedule of Rebates Paid to Supplemental Liquidity Providers for Providing Liquidity January 5,...

  20. 78 FR 21457 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-10

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1000 April 4, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 ...

  1. 75 FR 59315 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing of a Proposed...

    Science.gov (United States)

    2010-09-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Enhance Quotation Requirements for Market Makers September 20, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...

  2. 77 FR 16298 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-03-20

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Changes to the Transaction Fees and Credits Within the New York Stock Exchange Price List...

  3. 75 FR 2175 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing of Proposed...

    Science.gov (United States)

    2010-01-14

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Its Co-Location Fees January 6, 2010. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\...

  4. 77 FR 47471 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-08-08

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Changes to the Credits Within the New York Stock Exchange Price List That Are Applicable to...

  5. 78 FR 2306 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-10

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Eliminating Certain Credits Within the New York Stock Exchange LLC Price List January 4, 2013. Pursuant to Sectio...

  6. 76 FR 27683 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Change...

    Science.gov (United States)

    2011-05-12

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Change To Add All NMS Stocks to the Single Securities Circuit Breaker Pilot Program May 6, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange...

  7. 77 FR 15826 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Science.gov (United States)

    2012-03-16

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Establish an NYBX Immediate-or- Cancel Order March 12, 2012. I. Introduction On January 11, 2012, the New York Stock Exchange LLC (``NYSE''...

  8. 77 FR 69528 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-11-19

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Interim Rule Change Relating to Rule 440B(b) November 13, 2012. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange...

  9. 75 FR 36746 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2010-06-28

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 11.19, Entitled ``Clearly Erroneous Executions'' June 21, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act o...

  10. 75 FR 36759 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2010-06-28

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 128 Relating to Clearly Erroneous Executions June 21, 2010. Pursuant to Section 19(b)(1)\\1\\ of the Securities Exchange Act of...

  11. 77 FR 57627 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-09-18

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.02 and 902.03 of the Listed Company Manual of the New York Stock Exchange LLC September 12,...

  12. 77 FR 63406 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-10-16

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to Certain Fees and Credits Within the New York Stock Exchange LLC Price List October 9, 201...

  13. 77 FR 67431 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-11-09

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Make Changes to Certain Fees and Credits Within the New York Stock Exchange LLC Price List November ...

  14. 75 FR 4600 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2010-01-28

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Relating to Changes in NYSE Realtime Reference Prices Service January 22, 2010. I. Introduction On November 27, 2009, the New York Stock Exchange...

  15. 77 FR 63404 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-10-16

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the New York Stock Exchange Listed Company Manual Regarding Waivers for Certain Listin...

  16. 77 FR 50742 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Science.gov (United States)

    2012-08-22

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Amending the New York Stock Exchange Price List To Provide for Additional Co-location Services and Establish Related Fees August 15, 2012. I....

  17. 77 FR 4604 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2012-01-30

    ... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish an NYBX Immediate-or-Cancel Order January 24, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act...

  18. 75 FR 2899 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2010-01-19

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending Its Listing Fees for Structured Products January 12, 2010. I. Introduction On November 19, 2009, New York Stock Exchange LLC (``NYSE'' o...

  19. 76 FR 75586 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-12-02

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the Proposed Rule Change in Connection With the Proposed Purchase and Sale of the National Stock Exchange, Inc. to CBOE Stock...

  20. 75 FR 64771 - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for BATS Y-Exchange, Inc.

    Science.gov (United States)

    2010-10-20

    ... COMMISSION Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for BATS Y-Exchange, Inc... with the Securities and Exchange Commission (the ``Commission'') a proposed minor rule violation plan... violation plan. Accordingly, the Commission noted that as a condition to the operation of BATS Y-Exchange...

  1. 77 FR 6166 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-02-07

    ... Chicago Board Options Exchange, Incorporated's (``CBOE'') Minor Rule Violation Plan imposes sanctions for... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

  2. 78 FR 42813 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-17

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate... on June 28, 2013, New York Stock Exchange LLC (``NYSE'' or ``Exchange'') filed with the Securities... notes that neither of the other two primary equities listing markets in the United States--the NASDAQ...

  3. 76 FR 65255 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2011-10-20

    ...-regulatory organizations (together, the ``NYSE Exchanges'')--the New York Stock Exchange, LLC (``NYSE... common stock of ISE Holdings as of and after the Combination. The Exchange is requesting approval by the... employees whose principal place of business and residence is outside the United States, will be deemed to...

  4. 76 FR 75573 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-12-02

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate..., on November 18, 2011, the New York Stock Exchange LLC (``NYSE'' or the ``Exchange'') filed with the... subject to real-time last sale reporting in the United States. The Listing and Annual Fees for debt...

  5. 76 FR 65264 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2011-10-20

    ...-regulatory organizations (together, the ``NYSE Exchanges'')--the New York Stock Exchange, LLC (``NYSE... common stock of ISE Holdings as of and after the Combination. The Exchange is requesting approval by the... principal place of business and residence is outside the United States, will be deemed to irrevocably submit...

  6. 78 FR 55128 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-09-09

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate... Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2...

  7. 77 FR 47444 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2012-08-08

    ...-based in scope to minimize potential manipulation. The Exchange notes that the Commission has previously... reasons for so finding, or (ii) as to which the self-regulatory organization consents, the Commission will...

  8. Allosteric activation of coagulation factor VIIa visualized by hydrogen exchange

    DEFF Research Database (Denmark)

    Rand, Kasper Dyrberg; Jørgensen, Thomas; Olsen, Ole H

    2006-01-01

    Coagulation factor VIIa (FVIIa) is a serine protease that, after binding to tissue factor (TF), plays a pivotal role in the initiation of blood coagulation. We used hydrogen exchange monitored by mass spectrometry to visualize the details of FVIIa activation by comparing the exchange kinetics...

  9. Two-photon exchange effect on deuteron electromagnetic form factors

    OpenAIRE

    Dong, Yu Bing; Chen, D. Y.

    2009-01-01

    Corrections of two-photon exchange to proton and neutron electromagnetic form factors are employed to study the effect of two-photon exchange on the deuteron electromagnetic form factors. Numerical results of the effect are given. It is suggested to test the effect in the measurement of $P_z$ in a small angle limit.

  10. 75 FR 39065 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2010-07-07

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend the List of Securities Subject to an Individual Circuit Breaker June 30, 2010. Pursuant to Section 19(b)(1) of the Securities...

  11. 75 FR 32832 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-06-09

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the Amount of Its Trading Permit Cancellation Fee June 3, 2010. Pursuant to Section 19(b)(1) of th...

  12. 75 FR 59316 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule...

    Science.gov (United States)

    2010-09-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend NSX Rule 11.8 To Enhance Quotation Requirements for Market Makers September 20, 2010. Pursuant to Section 19(b)(1) of the...

  13. 75 FR 80870 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Order Granting...

    Science.gov (United States)

    2010-12-23

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Eliminate the Validated Cross Trade Entry Functionality December 16, 2010. Pursuant to Section...

  14. 76 FR 51447 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-08-18

    ... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Article 20, Rule 10, Governing Clearly Erroneous Executions August 11, 2011. Pursuant to Section 19(b)(1) of the Securities...

  15. 77 FR 42024 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-07-17

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to the Transaction Fees and Credits Within Its Price List July 11, 2012. Pursuant to Section 19(b)(1) of the...

  16. 76 FR 50529 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-15

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Credits to Supplemental Liquidity Providers August 9, 2011. Pursuant to Section 19(b)(1) of the...

  17. 75 FR 36737 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-06-28

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 1000 Regarding Order Size Eligible for Automatic Execution June 22, 2010. Pursuant to section 19(b)...

  18. 76 FR 46860 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-08-03

    ...-Regulatory Organization's Statement of the Purpose of, and the Statutory Basis for, the Proposed Rule Change... proposed rule change, the Exchange will advise member organizations of the implementation date of the rule... paperwork in the process while holding each member organization accountable for identifying to the Exchange...

  19. Structural outline of the detailed mechanism for elongation factor Ts-mediated guanine nucleotide exchange on elongation factor Tu.

    Science.gov (United States)

    Thirup, Søren S; Van, Lan Bich; Nielsen, Tine K; Knudsen, Charlotte R

    2015-07-01

    Translation elongation factor EF-Tu belongs to the superfamily of guanine-nucleotide binding proteins, which play key cellular roles as regulatory switches. All G-proteins require activation via exchange of GDP for GTP to carry out their respective tasks. Often, guanine-nucleotide exchange factors are essential to this process. During translation, EF-Tu:GTP transports aminoacylated tRNA to the ribosome. GTP is hydrolyzed during this process, and subsequent reactivation of EF-Tu is catalyzed by EF-Ts. The reaction path of guanine-nucleotide exchange is structurally poorly defined for EF-Tu and EF-Ts. We have determined the crystal structures of the following reaction intermediates: two structures of EF-Tu:GDP:EF-Ts (2.2 and 1.8Å resolution), EF-Tu:PO4:EF-Ts (1.9Å resolution), EF-Tu:GDPNP:EF-Ts (2.2Å resolution) and EF-Tu:GDPNP:pulvomycin:Mg(2+):EF-Ts (3.5Å resolution). These structures provide snapshots throughout the entire exchange reaction and suggest a mechanism for the release of EF-Tu in its GTP conformation. An inferred sequence of events during the exchange reaction is presented. Copyright © 2015 The Authors. Published by Elsevier Inc. All rights reserved.

  20. 78 FR 30378 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule...

    Science.gov (United States)

    2013-05-22

    ..., it will be able to improve administrative efficiency and effectiveness by operating with a smaller... Public Reference Room. ] II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory... Commission has approved a similar change to that proposed herein to the Operating Agreement of the Exchange...

  1. 78 FR 36279 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-06-17

    ... Minimum Number of DMM Units an Issuer Must Interview From the Pool of DMM Units Eligible To Participate in... units an issuer must interview from the pool of DMM units eligible to participate in the allocation. The... principal office of the Exchange, and at the Commission's Public Reference Room. II. Self-Regulatory...

  2. 78 FR 72944 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Approving a Proposed Rule Change To...

    Science.gov (United States)

    2013-12-04

    ... COMMISSION Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Approving a Proposed Rule Change To... produce sufficient documentation justifying reliance on the No-Knowledge Exception for any given trade. To... data into relevant systems, including reliance on incorrect cash positions, withdrawals, or securities...

  3. 78 FR 72949 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change To...

    Science.gov (United States)

    2013-12-04

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change To... produce sufficient documentation justifying reliance on the No-Knowledge Exception for any given trade. To... data into relevant systems, including reliance on incorrect cash positions, withdrawals, or securities...

  4. 78 FR 27263 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2013-05-09

    ... rule proposal because it provides that market participants may take advantage of legitimate investment... COMMISSION Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Provide for the Manner in Which Mini Options Will Trade as a Complex Order Pursuant to BOX Rule...

  5. 76 FR 49513 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-08-10

    ... Reverse Merger would not include the acquisition of an operating company by a listed company that... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule... Listing Requirements for Companies Applying To List After Consummation of a ``Reverse Merger'' With a...

  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. Insights into the biological functions of Dock family guanine nucleotide exchange factors.

    Science.gov (United States)

    Laurin, Mélanie; Côté, Jean-François

    2014-03-15

    Rho GTPases play key regulatory roles in many aspects of embryonic development, regulating processes such as differentiation, proliferation, morphogenesis, and migration. Two families of guanine nucleotide exchange factors (GEFs) found in metazoans, Dbl and Dock, are responsible for the spatiotemporal activation of Rac and Cdc42 proteins and their downstream signaling pathways. This review focuses on the emerging roles of the mammalian DOCK family in development and disease. We also discuss, when possible, how recent discoveries concerning the biological functions of these GEFs might be exploited for the development of novel therapeutic strategies.

  8. 77 FR 48576 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-08-14

    ... or event that affects the Exchange at the Exchange's primary data center. Thus, the secondary data... charging for certain physical ports used to access the Exchange at the Exchange's secondary data center... Ports to Secondary Data Center The Exchange currently charges for both ``logical'' ports used for order...

  9. 75 FR 8158 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-02-23

    ... Exchange notes that there are several market centers that account for a significant portion of all foreign exchange transactions and which are active in the foreign exchange markets prior to the Exchange's current... International Settlements' Triennial Central Bank Survey of Foreign Exchange and Derivatives Market Activity in...

  10. 78 FR 25130 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-29

    ... Options Exchange (``CBOE''), C2 Options Exchange (``C2''), International Securities Exchange (``ISE... International Securities Exchange LLC ] (``MIAX''), and NASDAQ OMX BX (``BX'').\\3\\ \\3\\ See NOM Chapter V... is only slightly outside of the prescribed time periods due to a timing conflict. The Exchange...

  11. 77 FR 76334 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-12-27

    ... Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 504(f) To Permit the Exchange To List... that on December 19, 2012, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE... of the Proposed Rule Change The Exchange proposes to amend ISE Rule 504(f) to permit the Exchange to...

  12. 77 FR 37082 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-06-20

    ...] [FR Doc No: 2012-15054] SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67201; File No. SR-ISE-2012... International Securities Exchange, LLC (the ``ISE'' or the ``Exchange'') filed with the Securities and Exchange... Change The ISE is proposing to amend fees for certain regular orders executed on the Exchange. The text...

  13. 75 FR 79433 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-12-20

    ... Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... Statement of the Terms of the Substance of the Proposed Rule Change The ISE is proposing to amend its... available on the Exchange's Web site ( http://www.ise.com ), at the principal office of the Exchange, and at...

  14. 78 FR 8675 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-02-06

    ... Immediate Effectiveness of a Proposed Rule Change to Amend ISE Rule 2102 to Extend the Market-Wide Circuit..., International Securities Exchange, LLC (the ``Exchange'' or ``ISE'') filed with the Securities and Exchange... on the Exchange's Internet Web site at http://www.ise.com , at the principal office of the Exchange...

  15. 75 FR 3508 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-01-21

    ... Into ISE's Rules January 14, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934... International Securities Exchange, LLC (the ``Exchange'' or ``ISE'') filed with the Securities and Exchange.... The text of the proposed rule change is available on the Exchange's Web site http://www.ise.com , at...

  16. 78 FR 16325 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-14

    ... ``pegged'' orders would be handled under proposed Exchange Rule 11.24; (3) amend Exchange Rule 11.15 to... how undisplayed ``pegged'' orders would be handled under proposed Exchange Rule 11.24; (3) amend... pursuant to Rule 11.15. Pegged Orders Under Exchange Rule 11.11(c)(2)(A) Under Exchange Rule 11.11(c)(2)(A...

  17. Putative regulatory factors associated with intramuscular fat content.

    Directory of Open Access Journals (Sweden)

    Aline S M Cesar

    Full Text Available Intramuscular fat (IMF content is related to insulin resistance, which is an important prediction factor for disorders, such as cardiovascular disease, obesity and type 2 diabetes in human. At the same time, it is an economically important trait, which influences the sensorial and nutritional value of meat. The deposition of IMF is influenced by many factors such as sex, age, nutrition, and genetics. In this study Nellore steers (Bos taurus indicus subspecies were used to better understand the molecular mechanisms involved in IMF content. This was accomplished by identifying differentially expressed genes (DEG, biological pathways and putative regulatory factors. Animals included in this study had extreme genomic estimated breeding value (GEBV for IMF. RNA-seq analysis, gene set enrichment analysis (GSEA and co-expression network methods, such as partial correlation coefficient with information theory (PCIT, regulatory impact factor (RIF and phenotypic impact factor (PIF were utilized to better understand intramuscular adipogenesis. A total of 16,101 genes were analyzed in both groups (high (H and low (L GEBV and 77 DEG (FDR 10% were identified between the two groups. Pathway Studio software identified 13 significantly over-represented pathways, functional classes and small molecule signaling pathways within the DEG list. PCIT analyses identified genes with a difference in the number of gene-gene correlations between H and L group and detected putative regulatory factors involved in IMF content. Candidate genes identified by PCIT include: ANKRD26, HOXC5 and PPAPDC2. RIF and PIF analyses identified several candidate genes: GLI2 and IGF2 (RIF1, MPC1 and UBL5 (RIF2 and a host of small RNAs, including miR-1281 (PIF. These findings contribute to a better understanding of the molecular mechanisms that underlie fat content and energy balance in muscle and provide important information for the production of healthier beef for human consumption.

  18. 76 FR 7884 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed...

    Science.gov (United States)

    2011-02-11

    ... Securities Exchange, LLC (``Exchange'' or ``ISE'') filed with the Securities and Exchange Commission...) (``SIFMA Letter''). II. Background The ISE's rules governing registration, examination, and continuing education requirements for associated persons of ISE members \\5\\ currently apply to ] associated persons who...

  19. AGRIS: Arabidopsis gene regulatory information server, an information resource of Arabidopsis cis-regulatory elements and transcription factors.

    Science.gov (United States)

    Davuluri, Ramana V; Sun, Hao; Palaniswamy, Saranyan K; Matthews, Nicole; Molina, Carlos; Kurtz, Mike; Grotewold, Erich

    2003-06-23

    The gene regulatory information is hardwired in the promoter regions formed by cis-regulatory elements that bind specific transcription factors (TFs). Hence, establishing the architecture of plant promoters is fundamental to understanding gene expression. The determination of the regulatory circuits controlled by each TF and the identification of the cis-regulatory sequences for all genes have been identified as two of the goals of the Multinational Coordinated Arabidopsis thaliana Functional Genomics Project by the Multinational Arabidopsis Steering Committee (June 2002). AGRIS is an information resource of Arabidopsis promoter sequences, transcription factors and their target genes. AGRIS currently contains two databases, AtTFDB (Arabidopsis thaliana transcription factor database) and AtcisDB (Arabidopsis thaliana cis-regulatory database). AtTFDB contains information on approximately 1,400 transcription factors identified through motif searches and grouped into 34 families. AtTFDB links the sequence of the transcription factors with available mutants and, when known, with the possible genes they may regulate. AtcisDB consists of the 5' regulatory sequences of all 29,388 annotated genes with a description of the corresponding cis-regulatory elements. Users can search the databases for (i) promoter sequences, (ii) a transcription factor, (iii) a direct target genes for a specific transcription factor, or (vi) a regulatory network that consists of transcription factors and their target genes. AGRIS provides the necessary software tools on Arabidopsis transcription factors and their putative binding sites on all genes to initiate the identification of transcriptional regulatory networks in the model dicotyledoneous plant Arabidopsis thaliana. AGRIS can be accessed from http://arabidopsis.med.ohio-state.edu.

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

    Science.gov (United States)

    2013-03-29

    ... with maintaining the primary and secondary data centers. Although the Exchange has historically... physical ports to access the Exchange at the primary data center where the Exchange's servers are located. The Exchange currently maintains a presence in two third-party data centers: (i) the primary data...

  1. 78 FR 29805 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-05-21

    ... primary data center and one port at the Exchange's secondary data center. With respect to BATS Options... capabilities. The Exchange recently began offering connectivity to the Exchange at its secondary data center... logical port fees are limited to logical ports in the Exchange's primary data center and that no logical...

  2. 78 FR 56760 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-13

    ... Presence (``PoP''), at a data center other than the Exchange's primary or secondary data center.\\6\\ By... Exchange maintains a PoP other than the Exchange's primary or secondary data center. The proposed fee for PoP connectivity is higher than the fee for connectivity in the Exchange's primary and secondary data...

  3. 78 FR 41453 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-07-10

    ... Exchange's primary data center and no logical port fees are assessed for redundant secondary data center... feed'' and ``D feed'', as well as all ports made available in the Exchange's secondary data center... Exchange's primary data center. Beginning July 1, 2013, the Exchange proposes to charge $400 per month per...

  4. 75 FR 47672 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-08-06

    ... the Minor Rule Violation Plan. The Exchange is proposing to add the subsections that were added to the... the Exchange's Minor Rule Violation Plan. The Exchange is proposing to modify these rule references... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE...

  5. 75 FR 2913 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-01-19

    ... incentive plan applicable to market makers in NZD, PZO and SKA.\\4\\ The Exchange subsequently extended the... these FX Options, the Exchange has an incentive plan pursuant to which the Exchange waives the... incentive plan no later than December 31, 2009. The Exchange now proposes to extend the date by which market...

  6. 76 FR 1488 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-01-10

    ... 3, 2009, the Exchange adopted an incentive plan applicable to market makers in NZD, PZO and SKA,\\4\\ and on January 19, 2010, added BRB to the incentive plan.\\5\\ The Exchange has since extended the date... trading in these FX Options, the Exchange has an incentive plan pursuant to which the Exchange waives the...

  7. 76 FR 42145 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-07-18

    ..., 2009, the Exchange adopted an incentive plan applicable to market makers in NZD, PZO and SKA,\\4\\ and on... Exchange has an incentive plan pursuant to which the Exchange waives the transaction fees for the Early... are currently required to enter into the incentive plan no later than June 30, 2011. The Exchange now...

  8. 78 FR 16351 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-03-14

    ... correspond with the Plan. Specifically, the Exchange is proposing to make proposed changes to Exchange Rules... Securities Exchange Act of 1934 (the ``Act'').\\3\\ The Plan is primarily designed to, among other things... markets are not harmed as a result of the Plan's implementation. As such, the Exchange is proposing to...

  9. 78 FR 79534 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of...

    Science.gov (United States)

    2013-12-30

    .... 70857 (November 13, 2013), 78 FR 69487. \\4\\ See letters to Elizabeth M. Murphy, Secretary, Commission... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... Exchange, Incorporated (the ``Exchange'' or ``CBOE'') filed with the Securities and Exchange Commission...

  10. 77 FR 37722 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-06-22

    ... classes in what is known as the Second Market. The text of the proposed rule change is available on the Exchange's Internet Web site at http://www.ise.com , at the principal office of the Exchange, and at the... other options exchanges. In general, the Exchange had chosen not to list and trade these options classes...

  11. 78 FR 16726 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2013-03-18

    ... ISE March 11, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1... Securities Exchange, LLC (``ISE'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC... errors during limit up-limit down states in securities that underlie options traded on the ISE on a pilot...

  12. 76 FR 50503 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-08-15

    ... Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 To Extend the Pilot Program August 9... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission....ise.com , at the principal office of the Exchange, and at the Commission's Public Reference Room. II...

  13. 76 FR 20062 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-04-11

    ... Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102 To Extend the Pilot Program April 5... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... text of the proposed rule change is available on the Exchange's Internet Web site at http://www.ise.com...

  14. 76 FR 56832 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-09-14

    ... (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission (``Commission... data offering called the ISE Real-time Implied Volatilities and Greeks Feed. The proposed rule change is available on the Exchange's Web site http://www.ise.com , at the principal office of the Exchange...

  15. 76 FR 5225 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-01-28

    ... on January 14, 2011, the International Securities Exchange, LLC (the ``Exchange'' or ``ISE'') filed... Change'') to the Commission to amend ISE Rule 312 (Limitation on Affiliation between the Exchange and... Exchange Holdings, Inc. (``ISE Holdings''), in Ballista Holdings LLC (formerly Optifreeeze LLC), a Delaware...

  16. 75 FR 44995 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-07-30

    ... Doc No: 2010-18724] SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62568; File No. SR-ISE-2010-76... and Non-ISE Market Makers July 26, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act..., the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities...

  17. 75 FR 78275 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-12-15

    ... Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 To Extend the Pilot Program December... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... Web site at http://www.ise.com , at the principal office of the Exchange, at the Commission's Public...

  18. 76 FR 20733 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-04-13

    ... Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 To Extend the Pilot Program April 7... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission....ise.com , at the principal office of the Exchange, and at the Commission's Public Reference Room. II...

  19. 78 FR 77519 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-12-23

    ... (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission (``Commission... proposes to adopt a rule that will permit ISE to enter into arrangements with one or more other exchanges that would provide trading facilities for ISE listed options at another exchange in the event that the...

  20. 77 FR 1103 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-01-09

    ... 20, 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the... Change The ISE is proposing to amend fees for certain complex orders executed on the Exchange. The text of the proposed rule change is available on the Exchange's Web site ( http://www.ise.com ), at the...

  1. 76 FR 50513 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-08-15

    ... Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102 To Extend the Pilot Program August 9... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... text of the proposed rule change is available on the Exchange's Internet Web site at http://www.ise.com...

  2. 78 FR 60991 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-10-02

    ... Immediate Effectiveness of Proposed Rule Change to Amend ISE Rule 2128 Relating to Clearly Erroneous Trades... Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... text of the proposed rule change is available on the Exchange's Internet Web site at http://www.ise.com...

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

    Science.gov (United States)

    2010-02-18

    ... Securities Exchange, LLC (``ISE'' or ``Exchange'') filed with the Securities and Exchange Commission.... Exchange Holdings'') Corporate Documents (as defined below) and the ISE Trust Agreement (as defined below... wholly owns ISE Holdings, Inc. (``ISE Holdings''). ISE Holdings wholly owns ISE, as well as a 31.54...

  4. 77 FR 5081 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-02-01

    ... Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 to Extend the Pilot Program January... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission....ise.com , at the principal office of the Exchange, and at the Commission's Public Reference Room. II...

  5. 75 FR 17980 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-04-08

    ... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... Exchange proposes to amend Direct Edge ECN's (``DECN'') fee schedule for ISE Members \\3\\ to (i) reflect... of the changes described herein are applicable to ISE Members. \\3\\ References to ISE Members in this...

  6. 77 FR 46532 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-08-03

    ... Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 To Extend the Pilot Program Until... International Securities Exchange, LLC (the ``Exchange'' or ``ISE'') filed with the Securities and Exchange... http://www.ise.com , at the principal office of the Exchange, and at the Commission's Public Reference...

  7. 77 FR 61036 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-10-05

    ... (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission the proposed rule... Organization's Statement of the Terms of the Substance of the Proposed Rule Change The ISE is proposing to... Exchange's Web site ( http://www.ise.com ), at the principal office of the Exchange, and at the Commission...

  8. 77 FR 21615 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-04-10

    ... ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission (the ``Commission'') the... Statement of the Terms of Substance of the Proposed Rule Change The ISE proposes to add notes to its... Exchange's Web site ( http://www.ise.com ), at the principal office of the Exchange, and at the Commission...

  9. 75 FR 32526 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-06-08

    ... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... The Exchange proposes to amend Direct Edge ECN's (``DECN'') fee schedule for ISE Members \\3\\ to pass through rebates/fees from other market centers. All of the changes described herein are applicable to ISE...

  10. 78 FR 10684 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-02-14

    ... Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102 To Extend the Pilot Program February... Exchange, LLC (``ISE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission... available on the Exchange's Internet Web site at http://www.ise.com , at the principal office of the...

  11. Folding and purification of a recombinantly expressed interferon regulatory factor, IRF-4.

    Science.gov (United States)

    Moellering, B J; Yoshinaga, S K; Hui, A; Delaney, J M; Hara, S; Narhi, L O; Westcott, K R

    1999-06-01

    Interferon regulatory factor 4 (IRF-4), an intracellular, multidomain protein, is a member of the interferon regulatory factor family and a lymphoid-specific transcription factor that can form a ternary complex with DNA and the transcription factor PU.1. Recombinant human IRF-4 was expressed in Escherichia coli and purified from the soluble cell extract and the insoluble inclusion bodies. The inclusion bodies were solubilized with guanidinium-hydrochloride and sequentially buffer exchanged into urea- and then NaCl-containing solutions. This two-step process for the removal of the denaturants was the critical step to allow for the correct folding of IRF-4. Following purification through immobilized metal affinity, hydrophobic interaction, and gel permeation chromatographies, the renatured protein was shown to be structurally and physically equivalent to a sample of IRF-4 produced in the soluble fraction of E. coli cells. This was confirmed by near and far UV circular dichroism analysis, including thermal stability analysis. The purified IRF-4 was also shown to be capable of binding DNA in a PU.1-dependent manner by electrophoretic mobility shift analysis. The protein folding and purification methods are suitable for producing large quantities of full-length IRF-4. Copyright 1999 Academic Press.

  12. 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

  13. The Toxoplasma Centrocone Houses Cell Cycle Regulatory Factors.

    Science.gov (United States)

    Naumov, Anatoli; Kratzer, Stella; Ting, Li-Min; Kim, Kami; Suvorova, Elena S; White, Michael W

    2017-08-22

    Our knowledge of cell cycle regulatory mechanisms in apicomplexan parasites is very limited. In this study, we describe a novel Toxoplasma gondii factor that has a vital role in chromosome replication and the regulation of cytoplasmic and nuclear mitotic structures, and we named this factor ECR1 for essential for chromosome replication 1. ECR1 was discovered by complementation of a temperature-sensitive (ts) mutant that suffers lethal, uncontrolled chromosome replication at 40°C similar to a ts mutant carrying a defect in topoisomerase. ECR1 is a 52-kDa protein containing divergent RING and TRAF-Sina-like zinc binding domains that are dynamically expressed in the tachyzoite cell cycle. ECR1 first appears in the unique spindle compartment of the Apicomplexa (centrocone) of the nuclear envelope in early S phase and then in the nucleus in late S phase where it reaches maximum expression. Following nuclear division, but before daughter parasites separate from the mother parasite, ECR1 is downregulated and is absent in new daughter parasites. The proteomics of ECR1 identified interactions with the ubiquitin-mediated protein degradation machinery and the minichromosome maintenance complex, and the loss of ECR1 led to increased stability of a key member of this complex, MCM2. ECR1 also forms a stable complex with the cyclin-dependent kinase (CDK)-related kinase, Tgondii Crk5 (TgCrk5), which displays a similar cell cycle expression and localization during tachyzoite replication. Importantly, the localization of ECR1/TgCrk5 in the centrocone indicates that this Apicomplexa-specific spindle compartment houses important regulatory factors that control the parasite cell cycle.IMPORTANCE Parasites of the apicomplexan family are important causes of human disease, including malaria, toxoplasmosis, and cryptosporidiosis. Parasite growth is the underlying cause of pathogenesis, yet despite this importance, the molecular basis for parasite replication is poorly understood. Filling

  14. 78 FR 62782 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-22

    ... certain other language and punctuation issues. 2. Statutory Basis The Exchange believes that its proposal... language and punctuation items, thereby enhancing the clarity of Exchange rules, which is consistent with...

  15. 77 FR 42029 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-07-17

    ... of this fee change is to maintain the attractive and competitive economics for Priority Customer... are consistent with price differentiation that exists today at other options exchanges. The Exchange...

  16. 78 FR 16003 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-13

    ... introduction of higher volumes of orders into the price and volume discovery processes. The Exchange believes... maintaining consistency with the Exchange's overall pricing philosophy of encouraging displayed liquidity. The...

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

    Science.gov (United States)

    2011-01-18

    ... Immediate Effectiveness of Proposed Rule Change Related to Exchange Fees for Fiscal Year 2011 January 11... one or more exchanges in connection with the Options Order Protection and Locked/Crossed Market Plan... Fees Schedule: Booth Fees: The Exchange currently charges $185 per month for use of a perimeter booth...

  18. 76 FR 64136 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-10-17

    ..., the Exchange adopted an incentive plan applicable to market makers in NZD, PZO and SKA,\\4\\ and on...-2011-38). In order to promote trading in these FX Options, the Exchange has an incentive plan pursuant... enter into the incentive plan no later than September 30, 2011. The Exchange now proposes to extend the...

  19. 75 FR 42812 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-07-22

    ... Exchange adopted an incentive plan applicable to market makers in NZD, PZO and SKA, \\4\\ and on January 19, 2010, added BRB to the incentive plan.\\5\\ The Exchange subsequently extended the date by which market makers may join the incentive plan.\\6\\ The Exchange proposes to again extend the date by which market...

  20. 75 FR 73153 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-11-29

    ... of Proposed Rule Change by BATS Exchange, Inc. to Modify the Minor Rule Violation Plan for BATS... disposition under the Exchange's Minor Rule Violation Plan (``MRVP'') as it relates to the equity options... Exchange's Minor Rule Violation Plan (``MRVP'') as it relates to options in order to improve the...

  1. 75 FR 62900 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-10-13

    ... Exchange adopted an incentive plan applicable to market makers in NZD, PZO and SKA,\\4\\ and on January 19, 2010, added BRB to the incentive plan.\\5\\ The Exchange subsequently extended the date by which market makers may join the incentive plan.\\6\\ The Exchange proposes to again extend the date by which market...

  2. 75 FR 18565 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-04-12

    ... incentive plan.\\5\\ The Exchange subsequently extended the date by which market makers may join the incentive plan.\\6\\ The Exchange proposes to again extend the date by which ] market makers may join the incentive... to promote trading in these FX Options, the Exchange has an incentive plan pursuant to which the...

  3. 78 FR 21634 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-11

    ... Plan April 5, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act... terms of the Plan. \\14\\ The Exchange is a Participant in the Plan. \\15\\ See Section (V)(A) of the Plan... VII(A) of the Plan. As discussed below, however, upon declaring a Trading Pause, the Exchange proposes...

  4. 76 FR 12778 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-03-08

    .... Purpose The purpose of this proposed rule change is to amend the Exchange's incentive plan for market makers in FX options. The Exchange currently has an incentive plan for FX options that was initially... (``BRB'') to the incentive plan.\\4\\ The Exchange now proposes to add the following FX options to the...

  5. 76 FR 20431 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-04-12

    ... (``YUK'') and the Swiss franc (``SFC'').\\3\\ On August 3, 2009, the Exchange adopted an incentive plan... incentive plan pursuant to which the Exchange waives the transaction fees for the Early Adopter \\8\\ FXPMM \\9... currently required to enter into the incentive plan no later than March 31, 2011. The Exchange now proposes...

  6. 78 FR 16334 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-14

    ... of Proposed Rule Change To Amend Exchange Rules in Connection With the Limit Up-Limit Down Plan March... Regulation NMS under the Act (the ``Limit Up-Limit Down Plan'' or ``Plan'').\\5\\ \\5\\ See Securities Exchange... comply with the requirements of the Limit Up-Limit Down Plan. The Exchange proposes to adopt the changes...

  7. 77 FR 1757 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-01-11

    ..., 2009, the Exchange adopted an incentive plan applicable to market makers in NZD, PZO and SKA,\\4\\ and on... and SFC \\6\\ to the incentive plan. The Exchange has since extended the date by which market makers may...-66). In order to promote trading in these FX Options, the Exchange has an incentive plan pursuant to...

  8. 76 FR 58315 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-09-20

    ... the benefit of the Exchange and its stockholders. The Exchange believes that combining nominating and... reflects the Board's determination that outsourcing the internal audit function to a third-party auditor can benefit the Exchange by providing another mechanism to detect and prevent fraudulent and...

  9. 76 FR 58317 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-09-20

    ... the benefit of the Exchange and its stockholders. The Exchange believes that combining nominating and... reflects the Board's determination that outsourcing the internal audit function to a third-party auditor can benefit the Exchange by providing another ] mechanism to detect and prevent fraudulent and...

  10. 78 FR 76360 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-17

    ... make two changes to both Step-Up Tiers. First, the Exchange proposes to correct an inadvertent drafting... routing table. The Exchange recently began to incur increased excessive messaging fees from PSX.\\11\\ To... equally. Step-Up Tiers 1 and 2 The Exchange believes that correcting an inadvertent drafting error by...

  11. 77 FR 27827 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-05-11

    ... program with Eris Exchange, LLC (``Eris''). CME currently clears interest rate swap futures contracts... futures together with Eris Exchange Interest Rate Swap futures. The portfolio margining program will allow... portfolio margining of CME Eurodollar futures together with Eris Exchange Interest Rate Swap futures. The...

  12. 78 FR 69723 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-11-20

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that...'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as...

  13. 78 FR 69718 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-11-20

    ... Exchange Act Release No. 70670 (October 11, 2013), 78 FR 62815 (October 22, 2013) (SR-Topaz-2013-08). \\8... (October 10, 2013), 78 FR 62899 (October 22, 2013) (SR-ISE-2013-51). \\10\\ The Exchange will not be... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE...

  14. 78 FR 72731 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-03

    ... and modifiers. See Securities Exchange Act Release No. 69538 (May 8, 2013), 78 FR 28671 (May 15, 2013) (SR-CHX-2013-10); see also Securities Exchange Act Release No. 69075 (March 8, 2013), 78 FR 16311... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE...

  15. 78 FR 69714 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-11-20

    ..., GOOG and SPY. \\7\\ See Securities Exchange Act Release No. 69270 (April 2, 2013), 78 FR 20988 (April 8... Securities Exchange Act Release No. 64274 (April 8, 2011), 76 FR 20754 (April 13, 2012) (SR-ISE-2011-13). \\11\\ See e.g. Securities Exchange Act Release No. 70670 (October 11, 2013), 78 FR 62815 (October 22, 2013...

  16. 78 FR 71015 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed...

    Science.gov (United States)

    2013-11-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is... Securities and Exchange Commission (``Commission'') the proposed rule change described in Items I, II and III...

  17. 78 FR 56955 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of a...

    Science.gov (United States)

    2013-09-16

    ... FR 47041. \\4\\ See letter to Elizabeth M. Murphy, Secretary, Commission, from Edward T. Tilly, Chief... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange...

  18. 78 FR 34417 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of...

    Science.gov (United States)

    2013-06-07

    ... Exchange System operates as follows: LMM3 is entitled to the greater of: (i) pro-rata allocation, 0.375... Exchange System applies the pro-rata allocation logic of Exchange Rule 514(c)(2), which allocates one (1... receiving a pro-rata allocation, because LMM3 has already been allocated a participation entitlement. See...

  19. 77 FR 8304 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving...

    Science.gov (United States)

    2012-02-14

    .... I. Introduction On December 12, 2011, the Chicago Board Options Exchange, Incorporated (``Exchange... enhanced FLEX System. D. Electronic Allocation Algorithms Further, the Exchange proposes to modify and simplify the allocation algorithms applicable to the FLEX electronic book and to the FLEX electronic RFQ...

  20. 78 FR 11921 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2013-02-20

    ... to price. Providing these more refined increments will permit the Exchange's market makers the... previously approved a proposal by NASDAQ OMX PHLX, Inc. permitting that exchange to also trade its foreign... similar trading increments. The Exchange further believes that investors and other market participants...

  1. 76 FR 64417 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-10-18

    ... 2213 with respect to foreign currency options. (1) On a quarterly basis, the Exchange shall assign...) The Exchange may suspend or terminate any appointment of a market maker under this Rule and may make additional appointments whenever, in the Exchange's judgment, the interests of a fair and orderly market are...

  2. 75 FR 4891 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-01-29

    ... Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Trading Licenses for Foreign Currency... The Exchange proposes to amend its Rule 2213 regarding market maker trading licenses for the Exchange's foreign currency options. The text of the ] proposed rule change is available on the Exchange's...

  3. 78 FR 5548 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-01-25

    ... of the fee for extra CMI CAS Servers is to cover the costs related to the provision, management and... changes are equitable and not unfairly discriminatory from the Exchange's position because the Exchange... competitive. It is not within the Exchange's position to determine whether the proposed changes to the...

  4. 76 FR 63964 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-10-14

    ... participants that employ a similar trading strategy. The Exchange further notes that with this proposed... differentiation between the various market participants is justified because market makers have obligations to the... with price differentiation that exists today at other options exchanges. Additionally, the Exchange...

  5. 77 FR 69711 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-11-20

    ... competitive market in which market participants can readily favor competing venues. In such an environment... competitive with other exchanges. The Exchange believes that the proposed rule change reflects this competitive environment. Operative Date and Notice The Exchange currently intends to make the proposed...

  6. 78 FR 47457 - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-08-05

    ... this competitive environment because it reduces the Exchange's fees in a manner that encourages market... contracts traded on MIAX. To the extent that there is an additional competitive burden on non-Market Makers... competition on the Exchange. The Exchange notes that it operates in a highly competitive market in which...

  7. 78 FR 21666 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-04-11

    ...'s Internet Web site at www.directedge.com , at the Exchange's principal office, and at the Public...-Exchanges_Fee_Schedules.pdf . The Exchange believes that reducing the percentage of TCV required to achieve... (January 14, 2010), 75 FR 3594 (January 21, 2010) (noting that dark pools and internalizing broker- dealers...

  8. 77 FR 38362 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-06-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... Facebook June 21, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act... have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the...

  9. 78 FR 5535 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-01-25

    ... an attempt to attract greater electronic business and compete with other exchanges for such business. Moreover, the competitive pressures from other exchanges in electronic orders and different business model... to compete with other exchanges for electronic orders. The business models surrounding electronic...

  10. 76 FR 74095 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-11-30

    ... Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102(f) to Exclude From the Pilot Rule All..., the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities... http://www.ise.com , at the principal office of the Exchange, and at the Commission's Public Reference...

  11. 75 FR 39311 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order...

    Science.gov (United States)

    2010-07-08

    ... Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members July... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... Edge ECN (``DECN''), in its capacity as an introducing broker for non-ISE Members, passes through to...

  12. 75 FR 1678 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order...

    Science.gov (United States)

    2010-01-12

    ... Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members... Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... Edge ECN (``DECN''), in its capacity as an introducing broker for non-ISE Members, passes through to...

  13. 76 FR 64980 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Science.gov (United States)

    2011-10-19

    ... International Securities Exchange, LLC (the ``Exchange'' or the ``ISE''), filed with the Securities and Exchange...\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to amend ISE Rule 722, ``Complex Orders.'' The... received one comment letter regarding the proposed rule change and \\4\\ ISE submitted a response to the...

  14. 77 FR 61035 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-10-05

    ... Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 711 To Provide for the Nullification of... on September 19, 2012, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE... Substance of the Proposed Rule Change The Exchange proposes to amend ISE Rule 711 to provide for the...

  15. 75 FR 39070 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2010-07-07

    ... Proposed Rule Change To Amend ISE Rule 2102 To Add Additional Securities to the Pilot Rule June 30, 2010... ``Exchange'' or ``ISE'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule....ise.com , at the principal office of the Exchange, and at the Commission's Public Reference Room. II...

  16. 75 FR 36458 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-06-25

    ... International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange... Mechanism (``PIM'') at a price that matches the ISE BBO in certain circumstances. The text of the proposed... Material.08 below, a Crossing Transaction must be entered only at a price that is better than the ISE best...

  17. 75 FR 27034 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order...

    Science.gov (United States)

    2010-05-13

    ... Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members May... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... Edge ECN (``DECN''), in its capacity as an introducing broker for non-ISE Members, passes through to...

  18. 75 FR 6782 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order...

    Science.gov (United States)

    2010-02-10

    ... Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... Edge ECN (``DECN''), in its capacity as an introducing broker for non-ISE Members, passes through to...

  19. 76 FR 27677 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-05-12

    ... Proposed Rule Change by International Securities Exchange to Amend ISE Rule 2102 May 6, 2011. Pursuant to...'' or the ``ISE'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule... the proposed rule change is available on the Exchange's Internet Web site at http://www.ise.com , at...

  20. 77 FR 28914 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-05-16

    ..., 2012, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the... Change The ISE is proposing to amend transaction fees and rebates for certain complex orders traded on...://www.ise.com ), at the principal office of the Exchange, and at the Commission's Public Reference Room...

  1. 78 FR 38424 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-06-26

    ... ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission (``Commission'') the proposed... Statement of the Terms of Substance of the Proposed Rule Change The ISE proposes to amend its Schedule of... proposed rule change is available on the Exchange's Web site ( http://www.ise.com ), at the principal...

  2. 76 FR 51082 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-08-17

    ... Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 August 11, 2011. Pursuant to Section... ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission (``Commission'') the proposed... proposed rule change is available on the Exchange's Internet Web site at http://www.ise.com , at the...

  3. 75 FR 32528 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order...

    Science.gov (United States)

    2010-06-08

    ... Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members June... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... Edge ECN (``DECN''), in its capacity as an introducing broker for non-ISE Members, passes through to...

  4. 75 FR 23314 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of...

    Science.gov (United States)

    2010-05-03

    ... April 26, 2010. On March 5, 2010, the International Securities Exchange, LLC (``ISE'' or ``Exchange... (``Notice''). I. Description of Proposal Recently, the Commission authorized ISE to list and trade options... (May 30, 2008), 73 FR 32061 (June 5, 2008) (SR-ISE-2008-12). \\5\\ See Securities Exchange Act Release No...

  5. 75 FR 6743 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order...

    Science.gov (United States)

    2010-02-10

    ... Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... Edge ECN (``DECN''), in its capacity as an introducing broker for non-ISE Members, passes through to...

  6. 75 FR 19437 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order...

    Science.gov (United States)

    2010-04-14

    ... Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... Edge ECN (``DECN''), in its capacity as an introducing broker for non-ISE Members, passes through to...

  7. 77 FR 15417 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2012-03-15

    ... AG, Will Transfer Its Indirect Ownership Interest in ISE Holdings, Inc. to a Newly Formed Swiss... hereby given that on March 8, 2012, International Securities Exchange, LLC (``Exchange'' or ``ISE... International Securities Exchange Holdings, Inc. (``ISE Holdings'') to a ] newly formed Swiss corporation, Eurex...

  8. 77 FR 76336 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2012-12-27

    ... on December 19, 2012, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE... proposed rule change is available on the Exchange's Internet Web site at http://www.ise.com , on the... this proposed rule change is to amend ISE Rules 716 (Block Trades) and 723 (Price Improvement Mechanism...

  9. 77 FR 4852 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Science.gov (United States)

    2012-01-31

    ... International Securities Exchange, LLC (the ``Exchange'' or ``ISE'') filed with the Securities and Exchange... ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to amend ISE Rule 715, ``Types of... (``Notice''). II. Description A complex order resting on ISE's complex order book may be executed either by...

  10. 75 FR 43211 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2010-07-23

    ... (``Exchange'' or ``ISE'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule... additions in italics: \\3\\ The Exchange first proposed to adopt Qualified Contingent Cross Orders in SR-ISE... approval of SR-ISE-2009-35 simultaneously with approval of this modified proposal. Letter from Michael J...

  11. 75 FR 38587 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed...

    Science.gov (United States)

    2010-07-02

    ... Rule Change Relating to Fees for the ISE Order Feed June 28, 2010. I. Introduction On May 11, 2010, the International Securities Exchange, LLC (``Exchange'' or ``ISE'') filed with the Securities and Exchange... subscription fees for the sale of a new market data offering called the ISE Order Feed. The proposed rule...

  12. 76 FR 40758 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Science.gov (United States)

    2011-07-11

    ... Securities Exchange, LLC (the ``Exchange'' or ``ISE''), filed with the Securities and Exchange Commission...-4 thereunder,\\2\\ a proposed rule change to allow complex orders in options classes traded on the ISE..., 2011); 76 FR 31385 (``Notice''). II. Description The ISE proposes to amend ISE Rule 723, ``Price...

  13. 77 FR 16295 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-03-20

    ... ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission (the ``Commission'') the... Statement of the Terms of Substance of the Proposed Rule Change The ISE is proposing to amend certain....ise.com ), at the principal office of the Exchange, and at the Commission's Public Reference Room...

  14. 78 FR 1901 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-01-09

    ... Immediate Effectiveness of Proposed Rule Change To Make Non-Substantive, Technical Corrections to ISE Rules... Securities Exchange, LLC (the ``Exchange'' or ``ISE'') filed with the Securities and Exchange Commission... technical corrections include updating ISE rule number citations and cross references, correcting...

  15. 78 FR 39390 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-07-01

    ... Doc No: 2013-15614] SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69853; File No. SR-ISE-2013-41... ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission the proposed rule change as... Terms of Substance of the Proposed Rule Change The ISE proposes to extend two pilot programs related to...

  16. 77 FR 46530 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-08-03

    ... Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102 To Extend the Single Stock Circuit..., 2012, the International Securities Exchange, LLC (the ``Exchange'' or ``ISE'') filed with the... Internet Web site at http://www.ise.com , at the principal office of the Exchange, and at the Commission's...

  17. 78 FR 79037 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-12-27

    ... Immediate Effectiveness of Proposed Rule Change to Make Non-Controversial Changes to ISE Rules December 20... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission.... Examples of such corrections include updating ISE rule number citations and cross references, correcting...

  18. 75 FR 2915 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Science.gov (United States)

    2010-01-19

    ... International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange... Fees to (1) increase the annual subscription rate for the ISE Open/Close Trade Profile, (2) adopt subscription fees for the sale of three ] new market data offerings, all of which are based on the ISE Open...

  19. 76 FR 16464 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Science.gov (United States)

    2011-03-23

    ... On January 12, 2011, the International Securities Exchange, LLC (``ISE'' or ``Exchange'') filed with... Makers (``IXCMM''),\\5\\ collectively referred to as IXMMs. \\4\\ An IXPMM is defined in new ISE Rule 2013(a) as a primary market maker in Eligible Index Options traded on the Exchange pursuant to new ISE Rule...

  20. 75 FR 17983 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order...

    Science.gov (United States)

    2010-04-08

    ... Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members... Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange Commission... Edge ECN (``DECN''), in its capacity as an introducing broker for non-ISE Members, passes through to...

  1. 78 FR 64046 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-25

    ... National Best Bid and Offer, nor can the Exchange place an order on its books that would cause the Exchange... book an order, it will route the order to an Away Exchange on behalf of the Options Participant who... takes such action, the Commission shall institute proceedings to determine whether the proposed rule...

  2. 75 FR 64371 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2010-10-19

    ... index options upon which the Exchange calculates a constant three-month volatility index. In support of... the Exchange calculates a constant three-month volatility index. The Exchange believes that the... investment objectives. The Commission believes that the proposal strikes a reasonable balance between the...

  3. 76 FR 72469 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-11-23

    ... Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify That CBSX Will Process Only Round.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... Change In its filing with the Commission, the self-regulatory organization included statements concerning...

  4. 77 FR 46533 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2012-08-03

    ...-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change CME... clarifying changes that will facilitate the prompt and accurate clearance and settlement of securities... competition. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From...

  5. 77 FR 74536 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-12-14

    ... published quotation, and (iv) distribute attributed quotations through the Exchange's Depth-of Book market... currently provides ECN's with ``free advertising'' through attributed quotations, which facilitates an...

  6. MicroRNA and transcription factor mediated regulatory network analysis reveals critical regulators and regulatory modules in myocardial infarction.

    Directory of Open Access Journals (Sweden)

    Guangde Zhang

    Full Text Available Myocardial infarction (MI is a severe coronary artery disease and a leading cause of mortality and morbidity worldwide. However, the molecular mechanisms of MI have yet to be fully elucidated. In this study, we compiled MI-related genes, MI-related microRNAs (miRNAs and known human transcription factors (TFs, and we then identified 1,232 feed-forward loops (FFLs among these miRNAs, TFs and their co-regulated target genes through integrating target prediction. By merging these FFLs, the first miRNA and TF mediated regulatory network for MI was constructed, from which four regulators (SP1, ESR1, miR-21-5p and miR-155-5p and three regulatory modules that might play crucial roles in MI were then identified. Furthermore, based on the miRNA and TF mediated regulatory network and literature survey, we proposed a pathway model for miR-21-5p, the miR-29 family and SP1 to demonstrate their potential co-regulatory mechanisms in cardiac fibrosis, apoptosis and angiogenesis. The majority of the regulatory relations in the model were confirmed by previous studies, which demonstrated the reliability and validity of this miRNA and TF mediated regulatory network. Our study will aid in deciphering the complex regulatory mechanisms involved in MI and provide putative therapeutic targets for MI.

  7. 78 FR 30357 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-05-22

    ... particular investment strategy.'' See Securities Release No. 69419 (April 19, 2013), 78 FR 24449 (April 25... of the customer. As such, the Exchange believes that exempting and crediting Public Customer Complex... sophisticated than other Participants and the Exchange believes exempting and crediting Public Customer Complex...

  8. 78 FR 17988 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-03-25

    ..., the Exchange notes that CBOE, Phlx and NYSE Amex all have market structures that allocate trades to... price-time market structure (such as Arca). While these different markets and market structures may... upon them that does not exist on other competitive markets with similar market structures. The Exchange...

  9. 77 FR 39547 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-07-03

    ..., at ] the Commission's Public Reference Room and also on the Exchange's Internet Web site at www... subsidiary of MX (``MXUS2''), holds a 40% Economic Percentage Interest (as defined below) and 20% Voting... and 20% Voting Percentage Interest in the Exchange and MXUS2's 53.83% ownership interest in BOX...

  10. 75 FR 65680 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order...

    Science.gov (United States)

    2010-10-26

    ... Granting Accelerated Approval of Proposed Rule Change To Adopt ISE Rule 421 Relating to Proxy Voting... the Substance of the Proposed Rule Change The Exchange proposes to adopt Rule 421 (Proxy Voting), in... Internet Web site at http://www.ise.com , at the principal office of the Exchange, and at the Commission's...

  11. 78 FR 62842 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-22

    ... Voting; (ii) amend Rule 13.3, Forwarding of Issuer Materials; and (iii) adopt new Rule 12.14, Front... proposed rule change is available on the Exchange's Internet Web site at www.directedge.com , at the... purposes of the 17d-2 Agreement, the Exchange proposes to: (i) Amend Rule 3.22, Proxy Voting; (ii) amend...

  12. 76 FR 8794 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-02-15

    ... approximately the same number of strike prices being opened above and below the value of the underlying security... change from week-to-week. CBOE believes that these class pick changes have negatively impacted investors... investor recently requested another exchange to reinstate a Weekly option class that that exchange had...

  13. 77 FR 46781 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a...

    Science.gov (United States)

    2012-08-06

    ... regarding the universe of eligible responders to certain Exchange auctions and the redistribution of auction... 37724. The Exchange determines the eligible order size, eligible order types, eligible order origin code..., eligible order origin code (i.e., public customer orders, non-Market-Maker broker-dealer orders, and Market...

  14. 77 FR 21134 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-04-09

    ... Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Trading Floor Booth Fees and Policy... the trading floor. The fee for booths located along the perimeter of the trading floor is $195 per... Exchange's trading floor booth policy does not: (i) Significantly affect the protection of investors or the...

  15. 78 FR 28269 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-05-14

    ... liquidity pool, supporting the quality of price discovery, promoting market transparency and improving... of price transparency and displayed markets. See also Mary L. Schapiro, Strengthening Our Equity... the EDGX Exchange and supports price discovery on EDGX. Finally, the Exchange believes that the...

  16. 78 FR 48532 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-08-08

    ... to erroneous trades or monetary gaps of liquidity). \\3\\ See Securities Exchange Act Release No. 64547...\\ The Exchange is proposing to further amend these rules to clarify how the ``Hybrid Opening System... market orders in the system will be cancelled except market orders that are considered limit orders...

  17. 78 FR 26671 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-05-07

    ... taken to the Attorney General of the United States or his or her designee for identification and... from the Attorney General of the United States or his or her designee for evaluation and use, in... Exchange (``ISE''), Rule 28 of the New York Stock Exchange (``NYSE''), Rule 0140 of the Nasdaq Stock Market...

  18. 76 FR 65247 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-10-20

    ... ``NYSE Exchanges'')--the New York Stock Exchange, LLC (``NYSE''), NYSE Arca, Inc. (``NYSE Arca'') and... principal place of business and residence is outside the United States, will be deemed to irrevocably submit... to the U.S. Regulated Subsidiaries will be maintained within the United States, except that to the...

  19. 77 FR 59429 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-27

    ... proposed rule change is available on the Exchange's Web site at www.directedge.com , at the Exchange's... dark pools for low-cost, low impact executions, which takes a greater amount of time to fill an order... submitted by any of the following methods: Electronic Comments Use the Commission's Internet comment form...

  20. 77 FR 59441 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-27

    ... proposed rule change is available on the Exchange's Web site at www.directedge.com , at the Exchange's... dark pools for low-cost, low impact executions, which takes a greater amount of time to fill an order... with the Act. Comments may be submitted by any of the following methods: Electronic Comments Use the...

  1. 78 FR 73577 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-06

    ... filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed... Monitor Mechanism'', in order to modify the risk monitoring functionality offered to all Users \\5\\ of the... text. \\5\\ As defined in Exchange Rule 16.1(a)(63), a User is any Exchange member or sponsored...

  2. 78 FR 75435 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-12-11

    ... the selection of the arbitration panel for TPH controversies. By way of background, the Exchange..., including sexual harassment. The Exchange may, however, make its arbitration facilities available for the... flexibility with regard to the selection of the arbitration panel for TPH controversies. Specifically, CBOE...

  3. 78 FR 41132 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-07-09

    ... flags are defined as B, HA, V, Y, MM, RP, ZA, 3, or 4 and removal flags are defined as BB, MT, N, W, PI... are defined as BB, MT, N, W, PI, PR, ZR, or 6 (emphasis added) . . . The Exchange notes that its... basis and provide discounts that are reasonably related to the value to an exchange's market quality...

  4. 77 FR 67695 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-11-13

    ... remove liquidity and yield Flags N, W, BB, PI, and 6.\\4\\ Accordingly, the Exchange proposes to append..., 4, N, W, BB, PI, and 6. The Exchange believes the Step-Up Take Tier will encourage large market... dollar value of the transaction in lieu of the current fee of $0.0023 per share for stocks priced below...

  5. 78 FR 56967 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-16

    ... (September 12, 2012), 77 FR 57631 (September 18, 2012) (SR-EDGA-2012-41) (adding Flag RP to the Fee Schedule). \\7\\ See Securities Exchange Release No. 70146 (August 8, 2013), 78 FR 49574 (August 14, 2013) (SR... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE...

  6. 78 FR 69737 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-11-20

    ... (September 27, 2012) 77 FR 60489 (October 3, 2012) (SR-CBOE-2012-091). In proposing to extend the SPY Pilot... file with this current extension request. \\6\\ See 77 FR at 60490. The Exchange believes that it is... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE...

  7. 77 FR 58198 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-19

    ...- listed securities (``Competitive Liquidity Provider Program'' or ``CLP Program'').\\6\\ The Exchange... incentives for the CLP Program. Specifically, when the CLP Program was originally proposed, the Exchange... Release No. 66307 (February 2, 2012), 77 FR 6608 (February 8, 2012) (SR-BATS-2011-051) (``CLP Program...

  8. 77 FR 5286 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a...

    Science.gov (United States)

    2012-02-02

    .... Introduction On October 26, 2011, Chicago Board Options Exchange, Incorporated (``Exchange'' or ``CBOE'') filed... and quotes will be ranked pursuant to one of the matching algorithms set forth in CBOE Rule 6.45A, which may be different from the matching algorithm in place for other option products, including SPX...

  9. 78 FR 41966 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-12

    ... market or limit orders for which an ETP Holder instructs the System to route to designated away Trading.... (``SIRI''). \\6\\ NSX Rule 2.11(a) defines a Trading Center as other securities exchanges, facilities of securities exchanges, automated trading systems, electronic communications networks or other brokers or...

  10. 78 FR 36625 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-06-18

    ... the proposed additional language in the Rule text will provide the Exchange the necessary flexibility... available on the Exchange. In addition, the proposed clarifying language will protect investors and the... following methods: Electronic Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules...

  11. 78 FR 50128 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-16

    ... applicable to EDGX Members. The text of the proposed rule change is available on the Exchange's Internet Web...''). Clarification to Interpretation and Policy .06 to Rule 2.5 The Exchange proposes to delete unnecessary language... proposal to delete unnecessary language from Interpretation and Policy .06 to Rule 2.5 is consistent with...

  12. 78 FR 47469 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-08-05

    ... Rule 3.6A.08. \\5\\ See Exchange Rule 9.3A(a). \\6\\ See Securities Exchange Act Release No. 34-70027 (July... pass a qualification exam as outline in Rule 3.6A and fulfill a CE requirement as outlined in Rule 9.3A...

  13. 78 FR 51240 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-20

    ... serve a legitimate purpose. Accordingly, the Exchange does not believe that the proposed rule change... of Proposed Rule Change To Eliminate Rules Related to CYCLE Routing August 14, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2...

  14. 77 FR 28643 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-05-15

    ... candidates and chairpersons to serve on the Board's Committee. Other non-substantive grammatical and... ``EDGA Exchange, Inc.'' to correct a typographical error. The Exchange proposes to delete dated... proposes to correct a typographical error in Article I, paragraph (cc) (proposed to be re-numbered as...

  15. 77 FR 28649 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-05-15

    ... candidates and chairpersons to serve on the Board's Committee. Other non-substantive grammatical and... ``EDGX Exchange, Inc.'' to correct a typographical error. The Exchange proposes to delete dated... proposes to correct a typographical error in Article I, paragraph (cc) (proposed to be re-numbered as...

  16. 78 FR 14380 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-05

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

  17. 78 FR 21993 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-12

    ... Schedule. Transactions in Non-Penny Pilot Classes Exchange Total fee \\11\\ Add fee charged Effect Treated as... Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on BOX April 8, 2013. Pursuant to... Securities and Exchange Commission (``Commission'') a proposed rule change to amend the Fee Schedule for...

  18. 76 FR 61127 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-10-03

    ... executed. Pursuant to Exchange price sliding, an order that would lock or cross a protected quotation is... access and receive information from the Exchange's cash equities platform. A logical port is also... or non-member and grants that Member or non-member the ability to operate a specific application...

  19. 77 FR 42026 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-07-17

    ... currently charges to other market participants that employ a similar trading strategy. The Exchange also... order book.\\11\\ \\11\\ Id. The Exchange believes that the price differentiation between the various market... unfairly discriminatory because the proposed fees are consistent with price differentiation that exists...

  20. 77 FR 16304 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-03-20

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... Proposed Rule Change 1. Purpose The Exchange currently assesses per contract transaction charges and... Plus at the end of each month by looking back at each Market Maker's quoting statistics during that...

  1. 77 FR 35735 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-06-14

    ... greater than 1% of average TCV. Finally, the Exchange currently offers its Grow with Us pricing program to... average TCV of 0.15% on BATS Options, such Member will receive one-half of the economic benefit such... Mark will now be 0.15%. The Exchange proposes to increase the current Grow with Us rebates and to adopt...

  2. 77 FR 43892 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-07-26

    ... of Proposed Rule Change by BATS Exchange, Inc. To Amend BATS Rules Related to Telemarketing July 20... Substance of the Proposed Rule Change The Exchange proposes to adopt BATS Rule 3.23 ``Telemarketing'', to...'') rules that prohibit deceptive and other abusive telemarketing acts or practices.\\5\\ The text of the...

  3. 78 FR 62804 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-22

    ... (``NBBO Setter'' orders), the Exchange proposes to adopt a program to attract aggressively priced... the current NBBO Setter program, the Exchange proposes to limit the ability to qualify for NBBO Joiner... NBBO Setter and NBBO Joiner rebates to all qualifying orders entered by Members qualifying for Tier 2...

  4. 75 FR 61533 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of...

    Science.gov (United States)

    2010-10-05

    ... Mini DAX will be A.M. cash- settled and will have European-style exercise provisions. \\3\\ Under ISE... broad-based index. Options on the Mini DAX are European-style and A.M. cash-settled. The Exchange's... their respective symbols are integrated into the Exchange's existing surveillance system architecture...

  5. 77 FR 37944 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2012-06-25

    ... Internet Web site at http://www.ise.com , at the principal office of the Exchange, and at the Commission's... to choose the options classes to which they are appointed.\\3\\ On October 3, 2011, the Exchange made three refinements to the point values assigned to certain options classes.\\4\\ Currently, under this...

  6. 77 FR 40123 - Self-Regulatory Organizations; BOX Options Exchange, LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-07-06

    ... Pilot Program) to extend, through December 31, 2012, the pilot program that permits certain classes to... available from the principal office of the Exchange, on the Exchange's Internet Web site at http... Pilot Program permits certain classes to be quoted in penny increments. The minimum price variation for...

  7. 78 FR 37854 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-06-24

    ... pilot program that permits certain classes to be quoted in penny increments (``Penny Pilot Program... from the principal office of the Exchange, on the Exchange's Internet Web site at http://boxexchange... Pilot Program permits certain classes to be quoted in penny increments. The minimum price variation for...

  8. 78 FR 76691 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-18

    ... permits certain classes to be quoted in penny increments (``Penny Pilot Program''). The text of the proposed rule change is available from the principal office of the ] Exchange, on the Exchange's Internet..., through June 30, 2014.\\3\\ The Penny Pilot Program permits certain classes to be quoted in penny increments...

  9. 77 FR 75234 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-12-19

    ... classes to be quoted in penny increments (``Penny Pilot Program''). The text of the proposed rule change is available from the principal office of the Exchange, on the Exchange's Internet Web site at http... Pilot Program permits certain classes to be quoted in penny increments. The minimum price variation for...

  10. 75 FR 70052 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-11-16

    ... an Authorized Trader. The purpose of the proposed rule change is to expand the types of exams that... have successfully completed the basic exam of the U.K. and who are in good standing with the Financial... same advantage they have at other exchanges by eliminating duplicative examinations. The Exchange...

  11. 75 FR 70057 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-11-16

    ... an Authorized Trader. The purpose of the proposed rule change is to expand the types of exams that... have successfully completed the basic exam of the U.K. and who are in good standing with the Financial... same advantage they have at other exchanges by eliminating duplicative examinations. The Exchange...

  12. 75 FR 29381 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2010-05-25

    ... Proposed Rule Change Relating to Fees for the ISE Order Feed May 18, 2010. Pursuant to Section 19(b)(1) of... given that on May 11, 2010, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE... of the Proposed Rule Change The ISE is proposing to amend its Schedule of Fees to adopt subscription...

  13. 77 FR 38100 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Instituting...

    Science.gov (United States)

    2012-06-26

    ..., 2012, the International Securities Exchange, LLC (``Exchange'' or ``ISE'') filed with the Securities... list and trade options on the ISE Max SPY Index (``ISE Max SPY''). The proposed rule change was... Commission action to June 20, 2012.\\5\\ On May 4, 2012, ISE submitted a response to the comment letters \\6...

  14. 78 FR 22591 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-04-16

    ... Exchange, LLC (``ISE'') and approved by the Commission.\\5\\ The Exchange opposed the ISE proposal and the... position) as a result of other components of the contingent trade. See CBOE Rule 6.53(u)(i). \\5\\ ISE first proposed to adopt a qualified contingent cross order type through SR-ISE-2009-35. This proposal was...

  15. 77 FR 69910 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Withdrawal of...

    Science.gov (United States)

    2012-11-21

    ... Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Options on the ISE Max SPY Index November 15, 2012. On March 9, 2012, the International Securities Exchange, LLC (``ISE'' or ``Exchange... trade options on the ISE Max SPY Index. The proposed rule change was published for comment in the...

  16. 76 FR 77275 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-12-12

    ... on November 29, 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE... generated for market maker quotes on the complex order book, as such quotes cannot leg into the market. ISE... the BBO net price available for the complex order on the ISE's regular order book is $2.40 as follows...

  17. 75 FR 3950 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed...

    Science.gov (United States)

    2010-01-25

    ..., the International Securities Exchange, LLC (``ISE'' or ``Exchange'') filed with the Securities and... (November 24, 2009). II. Description of the Proposal ISE Rule 2205 governs the opening for trading of series of FX Options.\\4\\ Pursuant to ISE Rule 2205, after a class of options contracts on any underlying...

  18. 76 FR 63689 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-10-13

    ...] [FR Doc No: 2011-26439] SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65502; File No. SR-ISE-2011... Immediate Effectiveness of Proposed Rule Change To Retire a Pilot Program and To Harmonize ISE's Rules... is hereby given that, on September 26, 2011, the International Securities Exchange, LLC (``ISE'' or...

  19. 77 FR 16106 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2012-03-19

    ... Proposed Rule Change To Amend ISE Rule 722 (Complex Orders) To Provide Its Members With a Choice in...'' or the ``ISE'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule... site at http://www.ise.com , at the principal office of the Exchange, and at the Commission's Public...

  20. 77 FR 34436 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2012-06-11

    ... Proposed Rule Change To Temporarily Suspend the Requirements of ISE Rule 306 and Related ISE Rules... on June 5, 2012, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed... requirements of ISE Rule 306 and related ISE rules concerning approval of new member organizations in order to...

  1. 78 FR 24273 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of...

    Science.gov (United States)

    2013-04-24

    ..., the International Securities Exchange, LLC (``Exchange'' or ``ISE'') filed with the Securities and...), 78 FR 16733 (March 18, 2013) (SR-ISE-2013-18) (``Notice''). II. Description of the Proposal New Supplementary Material .02 to ISE Rule 1901 (Order Protection) and New ISE Rule 1903 (Order Routing to Other...

  2. 78 FR 9973 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Science.gov (United States)

    2013-02-12

    .... Introduction On December 19, 2012, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE... ISE Rules 716 (Block Trades) and 723 (Price Improvement Mechanism for Crossing Transactions) to reduce... (December 20, 2012), 77 FR 76336 (``Notice''). ] II. Description of the Proposed Rule Change ISE Rule 716...

  3. 75 FR 39597 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-07-09

    ...'' or the ``ISE'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the... Statement of the Terms of Substance of the Proposed Rule Change The ISE proposes to expand the $1 Strike Program. The text of the proposed rule change is available on the Exchange's Web site ( http://www.ise.com...

  4. 78 FR 17727 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed...

    Science.gov (United States)

    2013-03-22

    ... ``ISE'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1... change to amend its Amended and Restated Constitution \\3\\ (the ``ISE Constitution'') to declassify the... more fully in the Notice, the Exchange's proposal would amend the ISE Constitution to: (i) Declassify...

  5. 78 FR 21657 - Self-Regulatory Organizations; International Securities Exchange LLC; Order Approving, on an...

    Science.gov (United States)

    2013-04-11

    ... States in Securities That Underlie Options Traded on the ISE April 5, 2013. I. Introduction On March 8, 2013 the International Securities Exchange, LLC (the ``Exchange'' or ``ISE'') filed with the Securities... Simon, General Counsel, ISE, dated April 4, 2013 (``ISE Letter''). II. Background On May 6, 2010, the U...

  6. 77 FR 15407 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-03-15

    ... on the Exchange's Internet Web site at http://www.directedge.com , at the Exchange's principal office... ``rate contingent upon Member adding or removing (emphasis added) greater than 1,000,000 shares hidden on... hidden liquidity. This change allows Members who utilize both forms of hidden liquidity (add and remove...

  7. 77 FR 10595 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-22

    ... delivery charges will apply to it. \\6\\ Although the size of the dataset can vary from day to day based on... connection with the same, the Exchange is proposing to amend its fee schedule applicable to Members and non... trading day. The downloaded file will contain the exact messages that were disseminated via the Exchange...

  8. 77 FR 10593 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-22

    ... delivery charges will apply to it. \\6\\ Although the size of the dataset can vary from day to day based on... with the same, the Exchange is proposing to amend its fee schedule applicable to Members and non... trading day. The downloaded file will contain the exact messages that were disseminated via the Exchange...

  9. 78 FR 56957 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-16

    ... change is available on the Exchange's Internet Web site at www.directedge.com , at the Exchange's... orders. As a result, a Member has a priority disadvantage when using such order type and therefore, the... Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an email to [email protected

  10. 77 FR 41864 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-07-16

    ... on the Exchange's Internet Web site at http://www.directedge.com , at the Exchange's principal office... have a lower priority than displayed orders. As a result, a Member has a priority disadvantage when... the following methods: Electronic Comments Use the Commission's Internet comment form ( http://www.sec...

  11. 78 FR 39395 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-07-01

    ... mitigation, as it would reduce the impact of another firm's message peaks or programming mistakes on the... traffic or programming mistakes because the Subscriber's order flow on its dedicated access gateways would.../regulation/rule_book/BATS-Exchanges_Fee_Schedules.pdf (listing fees for logical ports); EDGX Exchange, Inc...

  12. 78 FR 39386 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-07-01

    ... it would reduce the impact of another firm's message peaks or programming mistakes on the Subscriber... traffic or programming mistakes because the Subscriber's order flow on its dedicated access gateways would.../regulation/rule_book/BATS-Exchanges_Fee_Schedules.pdf (listing fees for logical ports); EDGA Exchange, Inc...

  13. 75 FR 33875 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-06-15

    ... Web site at http://www.batstrading.com , on the Commission's Web site at http://www.sec.gov , at the... routed to a dark liquidity venue (referred to by the Exchange as ``Dark Scan'' orders). In addition, the... for Modified Destination Specific Orders routed to a dark liquidity venue (referred to by the Exchange...

  14. 78 FR 2477 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-01-11

    ... of Proposed Rule Change To Amend EDGX Rule 11.5(c) (NBBO Offset Peg Order) January 7, 2013. Pursuant... describes the manner in which the NBBO Offset Peg Order operates. All of the changes described herein are... Exchange proposes to amend Rule 11.5(c), the NBBO Offset Peg Order. As described in the Exchange's filing...

  15. 78 FR 2475 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-01-11

    ... of Proposed Rule Change To Amend EDGA Rule 11.5(c) (NBBO Offset Peg Order) January 7, 2013. Pursuant... describes the manner in which the NBBO Offset Peg Order operates. All of the changes described herein are... Exchange proposes to amend Rule 11.5(c), the NBBO Offset Peg Order. As described in the Exchange's filing...

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

    Science.gov (United States)

    2012-09-18

    ... Flag RP to the Exchange's fee schedule for Non-Displayed Orders that add liquidity using the Route Peg.... 67727 (August 24, 2012), (SR-EDGX-2012-25). As defined in Exchange Rule 11.5(c)(17), a Route Peg Order... equal to or less than the original size of the Route Peg Orders. Route Peg Orders are passive, resting...

  17. 77 FR 57631 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-18

    ... Flag RP to the Exchange's fee schedule for Non-Displayed Orders that add liquidity using the Route Peg...-EDGA-2012-28). As defined in Exchange Rule 11.5(c)(14), a Route Peg Order is a non-displayed limit... original size of the Route Peg Orders. Route Peg Orders are passive, resting orders on the EDGA Book and do...

  18. 78 FR 5236 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-24

    ... increase efficiency and reduce financial risk by allowing the Exchange to draft against the Clearing Member... reduce financial risk by allowing the Exchange to draft against the Clearing Member's account the amount... via check or bank transfer, which is designed to increase efficiency and reduce financial risk. The...

  19. 78 FR 26667 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-05-07

    ... charges as its billing for port fees is reasonably constrained by competitive alternatives.\\10\\ If a... competitive dynamic imposes powerful restraints on the ability of any exchange to charge unreasonable fees for... discussed above, the Exchange believes that fees for connectivity are constrained by the robust competition...

  20. 78 FR 28669 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-05-15

    ... connectivity are constrained by the active competition for the order flow of such participants as well as... data revenues. The Exchange believes that this competitive dynamic imposes powerful restraints on the... Exchange believes that fees for connectivity are constrained by the robust competition for order flow among...

  1. 78 FR 26669 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-05-07

    ..., and other charges as its billing for port fees is reasonably constrained by competitive alternatives... that this competitive dynamic imposes powerful restraints on the ability of any exchange to charge... the Act. As discussed above, the Exchange believes that fees for connectivity are constrained by the...

  2. 77 FR 14847 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-03-13

    ... fee for a new 10 Gigabit (GB) low latency Ethernet connectivity option. The Exchange currently offers two Ethernet connection options, a 1 GB connection at a cost of $500 per month and a 10 GB connection...\\ 15 U.S.C. 78f. \\4\\ 15 U.S.C. 78f(b)(4). The Exchange's proposal for a low latency 10 GB Ethernet...

  3. 77 FR 73096 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-12-07

    ... fees. Currently, the Exchange only offers 1 Gigabit Ethernet (``1 Gbps'') network access connectivity... Ethernet (``10 Gbps'') network access. The Exchange would like to make such a connection available to CBOE... Fees, page 9 , which lists a low-latency Ethernet network access fee of $7,000 per month. The fee for...

  4. 78 FR 48757 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-08-09

    ... in the first instance to make the data available, unlike the best bid and offer which must be made... Immediate Effectiveness of a Proposed Rule Change To Offer a New Data Feed August 5, 2013. Pursuant to... Change The Exchange proposes to offer a new data feed. There are no proposed changes to Exchange rule...

  5. A GTP-exchange factor required for cell orientation.

    Science.gov (United States)

    Nern, A; Arkowitz, R A

    1998-01-08

    The Rho-family of GTPases and their regulators are essential for cytoskeletal reorganization and transcriptional activation in response to extracellular signals. Little is known about what links these molecules to membrane receptors. In the budding yeast Saccharomyces cerevisiae, haploid cells respond to mating pheromone through a G-protein-coupled receptor and the betagamma subunit of the G protein, resulting in arrest of the cell cycle, transcriptional activation, and polarized growth towards a mating partner. The Rho-family GTPase Cdc42 and its exchange factor Cdc24 have been implicated in the mating process, but their specific role is unknown. Here we report the identification of cdc24 alleles that do not affect vegetative growth but drastically reduce the ability of yeast cells to mate. When exposed to mating pheromone, these mutants arrest growth, activate transcription, and undergo characteristic morphological and actin-cytoskeleton polarization. However, the mutants are unable to orient towards a pheromone gradient, and instead position their mating projection adjacent to their previous bud site. The mutants are specifically defective in the binding of Cdc24 to the G-protein betagamma subunit. Our results demonstrate that the association of an exchange factor and the betagamma subunit of a hetero-trimeric G protein links receptor-mediated activation to oriented cell growth.

  6. Factors contributing to attitude exchange amongst preservice elementary teachers

    Science.gov (United States)

    Palmer, David H.

    2002-01-01

    Previous research has shown that elementary education majors often dislike science and lack confidence in their ability to teach it. This is an important problem because students who hold these attitudes are likely to avoid teaching science, or teach it poorly, when they become teachers. It is therefore necessary to identify preservice elementary teachers who hold negative attitudes towards science, and attempt to convert these attitudes to positive before they become teachers. This study was designed to identify students whose attitudes had changed from negative to positive (i.e., attitude exchange had occurred) after participating in a one-semester elementary science education course, and to identify the course factors that were responsible. Four participants were individually interviewed. The transcripts indicated that attitude exchange had occurred for each of the four students. Each student described several features of the course that had a positive influence. These were of three main types: personal attributes of the tutor, specific teaching strategies, and external validation. It was proposed that many of the individual factors were effective because they represented either performance accomplishments or vicarious experience as defined by Bandura (Psychological Review, 84, 1977, 191-215).

  7. 77 FR 62541 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2012-10-15

    ... employee of a firm that is the listed company's internal or external auditor; (B) the director has an... numerical tests with respect to the factors specified in proposed Section 303A.02(a)(ii) or to adopt a... members, Rule 10C-1(b)(1)(ii) \\8\\ requires the exchanges to consider relevant factors including, but not...

  8. 77 FR 60496 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-10-03

    ...-controversial'' proposed rule change pursuant to Section 19(b)(3)(A) of the Act \\3\\ and Rule 19b-4(f)(6... simple orders are currently silent on the topic of multiple RFQs involving the same series.) The Exchange...

  9. 77 FR 62280 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-10-12

    ..., SIN, RND, HHO, PMP, POW, TNY, WMX, IXZ, UKX, and NXTQ. The Exchange has delisted these products and... reasonable to remove DMA, FUM, HSX, OOG, BYT, HVY, RUF, JLO, SIN, RND, HHO, PMP, POW, TNY, WMX, IXZ, UKX, and...

  10. 78 FR 41483 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-07-10

    ... offers both WAN-shaped and Gig-shaped versions of the Multicast feed. Exchange data recipients may choose... Feed results in much less data than other BATS data feeds and requires less technology development for...

  11. 78 FR 58354 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-09-23

    ...) Hybrid Classes. Subject to paragraphs (c)(iv) and (e) below, a Market-Maker can create a Virtual Trading... that the rules of an exchange be designed to prevent fraudulent and manipulative acts and practices, to...

  12. 78 FR 46395 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-07-31

    ... virtual pulse between a CAS and a Client Application and allows a CAS to continually monitor its...\\ requirements that the rules of an exchange be designed to prevent fraudulent and manipulative acts and...

  13. 77 FR 65600 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2012-10-29

    ..., Mexico, Morocco, Peru, Philippines, Poland, Russia, South Africa, Taiwan, Thailand, and Turkey.'' \\7... Holder (``TPH'') must report to the Exchange certain information in relation to any customer who, acting...

  14. 77 FR 29740 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-05-18

    ... non-discriminatory to provide Initiating Participants a tiered fee structure related to its.... Exchange Fees for Initiating Participants in Auction Transactions through Primary Improvement Orders..., unless otherwise noted. Initiating participant monthly ADV in Per contract fee (all auction transactions...

  15. 77 FR 72894 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-12-06

    ... entered into a sponsorship arrangement with a Sponsoring Member.\\4\\ A ``Sponsoring Member'' is defined as... establish a Sponsored Access Risk Management Tool). Given recent market events, the Exchange proposes to...

  16. 78 FR 77545 - Self-Regulatory Organizations; Topaz Exchange LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-23

    ... to members and non-members, and to both professional and non-professional subscribers. The Exchange..., and all written communications relating to the proposed rule change between the Commission and any...

  17. 78 FR 38423 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a...

    Science.gov (United States)

    2013-06-26

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE..., and institutional communications. Current definitions of ``sales literature,'' ``advertisement,'' and...), ``Approval by Registered Options Principal'', to replace the phrase ``advertisements, sales literature, and...

  18. 78 FR 14394 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-05

    ...-Point Peg Orders The Exchange proposes to amend Rule 11.5(c)(7) to describe the behavior of Mid-Point Peg Orders \\26\\ under the Plan. \\26\\ As defined in Rule 11.5(c)(7). The Exchange believes that, when a... Protected Quotation is no longer crossed by the Price Bands. Pursuant to Rule 11.9(a)(3), Mid-Point Peg...

  19. Altered oncomodules underlie chromatin regulatory factors driver mutations.

    Science.gov (United States)

    Frigola, Joan; Iturbide, Ane; Lopez-Bigas, Nuria; Peiro, Sandra; Gonzalez-Perez, Abel

    2016-05-24

    Chromatin regulatory factors (CRFs), are known to be involved in tumorigenesis in several cancer types. Nevertheless, the molecular mechanisms through which driver alterations of CRFs cause tumorigenesis remain unknown. Here, we developed a CRFs Oncomodules Discovery approach, which mines several sources of cancer genomics and perturbaomics data. The approach prioritizes sets of genes significantly miss-regulated in primary tumors (oncomodules) bearing mutations of driver CRFs. We applied the approach to eleven TCGA tumor cohorts and uncovered oncomodules potentially associated to mutations of five driver CRFs in three cancer types. Our results revealed, for example, the potential involvement of the mTOR pathway in the development of tumors with loss-of-function mutations of MLL2 in head and neck squamous cell carcinomas. The experimental validation that MLL2 loss-of-function increases the sensitivity of cancer cell lines to mTOR inhibition lends further support to the validity of our approach. The potential oncogenic modules detected by our approach may guide experiments proposing ways to indirectly target driver mutations of CRFs.

  20. Dock-family exchange factors in cell migration and disease.

    Science.gov (United States)

    Gadea, Gilles; Blangy, Anne

    2014-10-01

    Dock family proteins are evolutionary conserved exchange factors for the Rho GTPases Rac and Cdc42. There are 11 Dock proteins in mammals, named Dock1 (or Dock180) to Dock11 that play different cellular functions. In particular, Dock proteins regulate actin cytoskeleton, cell adhesion and migration. Not surprisingly, members of the Dock family have been involved in various pathologies, including cancer and defects in the central nervous and immune systems. This review proposes an update of the recent findings regarding the function of Dock proteins, focusing on their role in the control of cell migration and invasion and the consequences in human diseases. Copyright © 2014 Elsevier GmbH. All rights reserved.

  1. 78 FR 64038 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-25

    ... Commodity Futures Trading Commission (``CFTC'') by making reports to the CME SDR. II. Self-Regulatory... regarding the swaps it clears to a swap data repository (``SDR'') registered with the CFTC in accordance... DCO clearing swaps by making reports to the CME SDR. CME Rule 1001 was reviewed and affirmatively...

  2. 76 FR 70198 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-11-10

    ... Immediate Effectiveness of a Proposed Rule Change To Clarify the Process for the Qualification of the...-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1... contradiction in the Fees Schedule language regarding such process, the proposed rule change eliminates...

  3. 77 FR 60489 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-10-03

    ... procedures utilize daily monitoring of market movements via automated surveillance techniques ] to identify... program via regulatory circular. Conditional on the findings in the Pilot Report, CBOE will file with the... SPY is a multiply listed options class and currently there is not a uniform and consistent position...

  4. 77 FR 62300 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-10-12

    ... conducted. These procedures utilize daily monitoring of market movements via automated surveillance... dates of the pilot program via regulatory circular. Conditional on the findings in the Pilot Report, ISE... class and currently there is not a uniform and consistent position and exercise limits regime across all...

  5. 75 FR 80091 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2010-12-21

    ... Requirements. The communication links and firm delivery computer hardware must comply with standards defined by...) sitting for Regulatory Element continuing education through a window or by video monitor. The individual... received will be posted without change; the Commission does not edit personal identifying information from...

  6. 78 FR 16743 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-18

    ... Internet Web site at http://boxexchange.com . II. Self-Regulatory Organization's Statement of the Purpose..., Professionals will still benefit from certain priority advantages as a customer.\\9\\ As noted above...) continue to receive the appropriate marketplace advantages on BOX, while furthering fair competition among...

  7. 78 FR 21677 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-04-11

    ... evolution of self-regulatory organization governance and competitive market structure have rendered the... subscribers will not purchase in sufficient numbers. Internet portals, such as Google, impose a discipline by... methods: Electronic Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro...

  8. 78 FR 28906 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-05-16

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... complex orders, which lets them assess the availability of price improvement at other markets. This.... Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning...

  9. 75 FR 33867 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-06-15

    ... Exchange was aware that such dependence might occur, and included a Temporary Rule Governing P and P/A...: Electronic Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or... Commission will post all comments on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml...

  10. 78 FR 76363 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-12-17

    ... ability to execute hedging and trading strategies via STOs, particularly in the current fast and volatile... expiration options will continue to grow in importance for all market participants, including institutional... the importance of the Program, the Exchange is seeking to improve the Program for non-index STOs by...

  11. 76 FR 8796 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-02-15

    ... same number of strike prices being opened above and below the value of the underlying security at about... investors and traders, particularly retail public customers. The Exchange feels that it is essential that... believes that the STOS Program has provided investors with greater trading opportunities and flexibility...

  12. 78 FR 37865 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-06-24

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... Investments reconstitutes its family of indexes (``Russell Rebalance''), resulting in particularly high... reflects the TCV on the last Friday of June for each year dating to 2008 and compares it to the average...

  13. 78 FR 69159 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-11-18

    ... price within thirty minutes. Finally, the Exchange is proposing to make cosmetic changes to Rule 6.25 by...), respectively, and to make conforming changes to the references to these provisions in current Rules 6.25(b)(1... you wish to make available publicly. All submissions should refer to File Number SR-CBOE-2013-103 and...

  14. 77 FR 47146 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-08-07

    ..., the Exchange was a participant in the Plan for the Purpose of Creating and Operating an Intermarket... provide a more modern framework for options market order protection and locked/crossed markets. The new... national market system, and, in general, to protect investors and the public interest. Deleting Rule 6.83...

  15. 78 FR 62787 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-22

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... comments on the proposed rule change for interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4... account for negative zero rates that Singapore dollar Swap Offer Rate (SOR) has experienced, CME will...

  16. 78 FR 37642 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-06-21

    ... will designate such change as a stated policy, practice, or interpretation with respect to the administration of Rule 6.42 within the meaning of subparagraph (3)(A) of subsection 19(b) of the Exchange Act and... December 31, 2013. (4) No change. * * * Interpretations and Policies: .01-.04 No change. * * * * * The text...

  17. 77 FR 4591 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-01-30

    ... Rule 6.2B.01. The Exchange believes that having the ability to appoint LMMs and SMMs in this fashion...''), which utilized the ROS technology for opening rotations.\\10\\ \\10\\ See introductory language to Rule 8.15... to the proposed rule change that are filed with the Commission, and all written communications...

  18. 75 FR 61549 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-10-05

    ..., TXN, UCO, USO, VALE, VWO, WFC, XHB, XLB, XLK, XLP, XLU, XLV, XLY, XRX, YHOO).\\4\\ The Exchange now... Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an e-mail to rule-comments... comments on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml ). Copies of the...

  19. 77 FR 9275 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-02-16

    ... (``EWZ'') and the United States Oil Fund (``USO'') . \\4\\ See Securities Exchange Act Release No. 64551...: Electronic Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or.... The Commission will post all comments on the Commission's Internet Web site ( http://www.sec.gov/rules...

  20. 76 FR 20784 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2011-04-13

    ... exchange-traded funds (``ETFs''): The US Oil Fund, LP (``USO''), the iShares MSCI Emerging Markets Index... the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an e-mail to... post all comments on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml ). Copies...

  1. 76 FR 72482 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2011-11-23

    ... preceding day. Any additional strikes listed by the Exchange shall be within 30% above or below the current... demand for more series when market-moving events, such as corporate events and large price swings, have... acts and practices, to promote just and equitable principles of trade, to foster cooperation and...

  2. 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.... Currently, when a Member uses the ROUT strategy, it is charged $0.0030 per share (Flag ``I'') when it routes...

  3. 76 FR 20750 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-04-13

    ... on the Exchange's Internet Web site at http://www.directedge.com . \\3\\ A Member is any registered... strategy to the ROUD/ROUE routing strategies is Parallel D or Parallel 2D with the DRT (Dark routing...: Electronic Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or...

  4. 78 FR 21661 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-04-11

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... configurations. Also, because third party vendors are redistributing data and reselling services to other market... Room, 100 F Street NE., Washington, DC 20549, on official business days between the hours of 10:00 a.m...

  5. 77 FR 25767 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2012-05-01

    ... prevent undesirable executions with themselves or the potential for (or appearance of) ``wash sales'' that...-Trade Prevention modifiers operate in a different fashion during openings and re-openings than during... used in a more complete, comprehensive, and consistent fashion. Some of the other exchanges make the...

  6. 78 FR 72134 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-12-02

    ... by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule... proposed rule change and discussed any comments it received on the proposed rule change. The text of these...), 77 FR 38362 (June 27, 2012) (SR-CBOE-2012-057), which increased the CQL for Facebook to 60. The...

  7. 77 FR 40928 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Granting Approval of...

    Science.gov (United States)

    2012-07-11

    ... Board Options Exchange, Incorporated (``CBOE'') building in Chicago, Illinois.\\8\\ C2's main trading engine is located on the East Coast, thus there would be geographic diversity between the DRF and the... provides for geographic diversity between the DRF and C2's main trading system; references the written...

  8. 77 FR 61800 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-10-11

    ... to Members when reading the fee schedule. Accordingly, the proposed revised description will advise... Members when reading the fee schedule. Currently, the Exchange's fee schedule states that orders routed to... foregoing rule change has become effective pursuant to Section 19(b)(3)(A) of the Act \\12\\ and Rule 19b-4(f...

  9. 78 FR 17259 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-03-20

    ... trades standardized option contracts on a number of equities, and soon will add exchange-traded fund... average equity option price of $255.02.\\5\\ Proportionately equivalent mini- options contracts on AAPL.... Strike Price 125 125. Bid/offer 3.20 3.20. Premium Multiplier $100 $10. Total Value of Deliverable...

  10. 76 FR 20752 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-04-13

    ... allocation of quotes per day per user will not have an adverse effect on capacity on the Exchange. The... Commission is publishing this notice to solicit comments on the proposed rule change from interested persons... discussed any comments it received on the proposed rule change. The text of these statements may be examined...

  11. 76 FR 28110 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-05-13

    ... internalization. \\4\\ This occurs when two orders presented to the Exchange from the same Member (i.e., MPID) are...)(3)(c)(i) (Flag T, $0.0012 per share). The increased fee for the ``MM'' flag of $0.0012 per share...

  12. 77 FR 40136 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-07-06

    ... are met) when those orders trade with non- Priority Customer orders in the Complex Order Book. \\9\\ A... VXX that trade in the Complex Order Book. Additionally, Priority Customer complex orders in GLD and... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE...

  13. 75 FR 80872 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-12-23

    ... employed for Odd-lot orders. If an incoming Odd-lot order trades against a quote in the CBSX Book, the new... order trades against a limit order resting on the CBSX Book and an Odd-Lot amount remains from the limit... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE...

  14. 76 FR 35257 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-06-16

    ... information that is distributed in the Book Feed. \\8\\ The Book Feed includes transaction data for all trades... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... Effectiveness of Proposed Rule Change To Add a Rule Concerning the CHX Book Feed June 10, 2011. Pursuant to...

  15. 78 FR 8640 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To...

    Science.gov (United States)

    2013-02-06

    ... the Auction Book, the price of the Final Last Sale Eligible Trade will be used. See infra note 10 (defining ``Final Last Sale Eligible Trade''). BATS Rule 11.23(a)(1) defines the ``Auction Book'' as all... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE...

  16. 77 FR 71860 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-12-04

    .../remove liquidity using the FIX order entry protocol (FIX) but not the HP-API order entry protocol (HP-API..., which ultimately lead to substantial reductions in transaction costs. \\11\\ See Concept Release on Equity...), at 40679-40680 (citing Concept Release on Equity Market Structure and approval of an options exchange...

  17. 77 FR 22053 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-04-12

    ... flags are defined as B, HA, V, Y, MM, 3, or 4 \\5\\ and removal flags are defined as MT, N, W, PI, or 6... that are reasonably related to the value to an exchange's market quality associated with higher levels...

  18. 78 FR 69168 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-11-18

    ... 60161 (October 2, 2012). The service was originally entitled ``Customized Option Valuation Service'' but... with an ``end-of-day'' file \\4\\ of valuations for Flexible Exchange (``FLEX'') \\5\\ options and certain... users. These vendors impose price discipline based upon their business models. For example, vendors that...

  19. 78 FR 14866 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2013-03-07

    ... to Interest Rate Swaps Financial Safeguards Package March 1, 2013. Pursuant to Section 19(b)(1) of... business as a derivatives clearing organization offering interest rate swap (``IRS'') clearing services... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE...

  20. 78 FR 67207 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-08

    ... Effectiveness of Proposed Rule Change Related to the Reference Rate for Singapore Dollar Denominated Interest Rate Swaps November 4, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act... to the reference rate for Singapore Dollar (``SGD'') denominated interest rate swaps (``IRS''). II...

  1. 78 FR 76665 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-18

    .... 70794 (October 31, 2013), 78 FR 66789 (November 6, 2013) (SR-CTA-2013-05) (Order Approving the... Release No. 70793 (October 31, 2013), 78 FR 66788 (November 6, 2013) (File No. S7-24-89) (Order Approving... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE...

  2. 78 FR 76682 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-18

    .... 70794 (October 31, 2013), 78 FR 66789 (November 6, 2013) (SR-CTA-2013-05) (Order Approving the... Release No. 70793 (October 31, 2013), 78 FR 66788 (November 6, 2013) (File No. S7-24-89) (Order Approving... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE...

  3. 78 FR 16338 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2013-03-14

    ... Exchange nullifies obvious error transactions unless all parties to the trade are ISE market makers, in... relating to nullifying trades involving Priority Customers and adjusting trades where none of the parties...) provides that if it is determined that an Obvious Error has occurred where each party to the transaction is...

  4. 77 FR 20680 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-04-05

    ... Immediate Effectiveness of a Proposed Rule Change Relating to FLEX Transaction Fees March 30, 2012. Pursuant... orders that are initially entered as the contra party to an Agency/Primary Order, the transaction fee... standard transaction fees) because the Exchange believes charging a lower fee to the contra-party in CFLEX...

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

    Science.gov (United States)

    2012-02-27

    ... ``CLP Program'').\\4\\ The Exchange proposes to adopt financial incentives for the Competitive Liquidity...), 77 FR 6608 (February 8, 2012) (SR-BATS-2011-051). Daily Rebates Pursuant to the CLP Program, the... measure each CLP's quoted size at the NBB and NBO. The CLP with the greatest aggregate size at the NBB and...

  6. 77 FR 6608 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule...

    Science.gov (United States)

    2012-02-08

    ... Liquidity Provider Program (``CLP Program''). The securities eligible to be included in the CLP Program... consecutive calendar months during the first two years the security is subject to the CLP Program, or until the security has been subject to the CLP Program for two years. In addition, the Exchange proposes to...

  7. 77 FR 39767 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-07-05

    ... rebate tier depends on an ETP Holder's ADV. Endnote 3 provides that ``ADV'' means, with respect to an ETP... occurred. Endnote 3 further clarifies that ``ADV'' as used with respect to the Exchange's Automatic.... Endnote 5, which is proposed to apply to each of the four rebate tiers in Order Delivery, provides that an...

  8. 77 FR 14450 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-03-09

    ... liquidity based upon an ETP Holder's Liquidity Adding ADV (as such term is defined in Endnote 3 of the Fee... whether the security is Tape A, B or C. Corresponding edits are made to Endnote 3 to reflect the... (as defined in Endnote 4 of the Fee Schedule) that add liquidity in AutoEx, the Exchange currently...

  9. 77 FR 56886 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-09-14

    ... Endnote 4. The Exchange proposes to define the ADV as the average number of shares the ETP Holder has..., 2012.\\7\\ \\6\\ See Endnote 3. \\7\\ See Endnote 3. ETP Holders may elect to adopt the ``Variable Fee... participants will not be subject to this fee schedule. \\8\\ See Endnote 9. As stated above, an ETP Holder that...

  10. 78 FR 9756 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-02-11

    ... Fixed Fee Schedules under Section I. Endnote number three (3) in the Fee Schedule currently states that.... EST on the first trading day of the calendar month. Rather than including this option in an endnote, the Exchange proposes to move this endnote to Section I so that ETP Holders are more easily made aware...

  11. 75 FR 36147 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving...

    Science.gov (United States)

    2010-06-24

    ... (``UMA''), and price-time and pro-rata priority allocation algorithms. The price-time and pro-rata... applied to each of the three allocation algorithms (i.e., price-time, pro-rata or UMA).\\5\\ These overlays... best price are satisfied. For options classes using the pro-rata method, the Exchange may determine on...

  12. 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...

  13. 75 FR 34799 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-06-18

    ... destinations of the user's choice. The PULSe workstation will be made available by Signal Trading Systems, LLC... (CBSX) to be the default destination exchange for individually executed marketable option (stock) orders... allow any user to manually override CBOE (CBSX) as the default destination on an order- by-order basis...

  14. 78 FR 60954 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-02

    ... or limit orders for which an ETP Holder instructs the System to route to designated away Trading... America Corp. (``BAC''), Nokia Corporation (``NOK''), and Sirius XM Radio Inc. (``SIRI''). See Exchange... CBSX. A Double Play Order is a market or limit order for which the ETP Holder instructs the NSX System...

  15. 77 FR 71850 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-12-04

    ... their instrument definition (i.e. option legs) over various multi-cast channels in a FIX format. Spread... Agreement, MEB will operate and maintain the Service and the Exchange will provide certain marketing, first...-offered product versus a broker-dealer offered product through the wider dissemination and distribution of...

  16. 78 FR 75420 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-11

    ... trading on any business day, and that expires at the close of business on the last business day of a calendar quarter. The Exchange lists series that expire at the end of the next consecutive four (4... portfolio of securities.\\6\\ The requirements and conditions of the QOS Program in index options, moreover...

  17. 78 FR 38087 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-06-25

    ...'s Public Reference Room and also on the Exchange's Internet Web site at http://boxexchange.com . II... Phlx Rule 1003(b). The proposed rule change would amend the language in BOX Rule 3150(b). Specifically... provide these reports. The proposed language will eliminate the reporting burden for Market Makers, whose...

  18. 78 FR 50120 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-16

    ... applicable to EDGA Members. The text of the proposed rule change is available on the Exchange's Internet Web... delete unnecessary language from Interpretation and Policy .06 to Rule 2.5. Currently, Interpretation and... proposal to delete unnecessary language from Interpretation and Policy .06 to Rule 2.5 is consistent with...

  19. 76 FR 71398 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-11-17

    ... Immediate Effectiveness of Proposed Rule Change To Remove the Requirement That its Members Pass the DTR... examination (``DTR Exam'') to function as representatives if accepting orders from non-member customers.\\4... required to pass the DTR exam prior to receiving approval to enter quotations and orders on the Exchange...

  20. 77 FR 59444 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-09-27

    ... currently provides a ``menu'' of matching algorithms to choose from when executing incoming electronic orders. The menu format allows the Exchange to utilize different matching algorithms on a class-by-class....45B set forth, among other things, the manner in which electronic Hybrid System trades in options are...