WorldWideScience

Sample records for fr28jn10n self-regulatory organizations

  1. 17 CFR 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.

    Science.gov (United States)

    2010-04-01

    ... Miscellaneous § 1.52 Self-regulatory organization adoption and surveillance of minimum financial requirements... the minimum financial and related reporting requirements adopted by such self-regulatory organizations... monitoring and auditing for compliance with the minimum financial rules of the self-regulatory...

  2. 75 FR 54210 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Science.gov (United States)

    2010-09-03

    ...-2010-032] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of... Transactions August 30, 2010. On June 17, 2010, the Financial Industry Regulatory Authority, Inc....

  3. 78 FR 77512 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-23

    ... Interest Rate Swaps (``IRS Manual''). II. Self-Regulatory Organization's Statement of the Purpose of, and... Manual (as described above) that are limited to CME's business as a derivatives clearing organization... COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

  4. 77 FR 33527 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2012-06-06

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... hereby given that on May 23, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of...

  5. 75 FR 28841 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-05-24

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... thereunder,\\2\\ notice is hereby given that on May 18, 2010, Financial Industry Regulatory Authority, Inc.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  6. 76 FR 70195 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2011-11-10

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...,\\2\\ notice is hereby given that on October 28, 2011, Financial Industry Regulatory Authority, Inc.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  7. 78 FR 42581 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2013-07-16

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... thereunder,\\2\\ notice is hereby given that on June 27, 2013, Financial Industry Regulatory Authority, Inc.... 78s(b)(3)(A)(i). \\4\\ 17 CFR 240.19b-4(f)(1). I. Self-Regulatory Organization's Statement of the...

  8. 77 FR 12098 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2012-02-28

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... February 9, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of...

  9. 76 FR 72463 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2011-11-23

    ...-FINRA-2011-044] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of... is hereby given that on November 8, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA...\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the...

  10. 76 FR 9840 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2011-02-22

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... that on February 4, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of...

  11. 78 FR 78451 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2013-12-26

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... thereunder,\\2\\ notice is hereby given that on December 9, 2013, Financial Industry Regulatory Authority, Inc.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  12. 76 FR 67787 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2011-11-02

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... thereunder,\\2\\ notice is hereby given that on October 13, 2011, Financial Industry Regulatory Authority, Inc.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of...

  13. 78 FR 24261 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2013-04-24

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on April 15, 2013, Financial Industry Regulatory...\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement of the Terms of Substance of...

  14. 77 FR 58880 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2012-09-24

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and...,\\2\\ notice is hereby given that on September 17, 2012, Financial Industry Regulatory Authority, Inc...\\ 15 U.S.C. 78s(b)(3)(A). \\4\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement...

  15. 75 FR 39069 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-07-07

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on June 30, 2010, Financial Industry Regulatory.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  16. 77 FR 33537 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2012-06-06

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... is hereby given that on May 24, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of...

  17. 78 FR 75954 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2013-12-13

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... thereunder,\\2\\ notice is hereby given that on November 25, 2013, Financial Industry Regulatory Authority, Inc.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  18. 75 FR 69503 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-11-12

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...\\ notice is hereby given that on October 29, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of...

  19. 75 FR 53998 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-09-02

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on August 16, 2010, Financial Industry Regulatory.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  20. 75 FR 62901 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-10-13

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... thereunder,\\2\\ notice is hereby given that on September 27, 2010, the Financial Industry Regulatory Authority....19b-4(f)(6). I. Self-Regulatory Organization's Statement of the Terms of Substance of the...

  1. 76 FR 50515 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-08-15

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on August 5, 2011, Financial Industry Regulatory...-4(f)(6). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed...

  2. 76 FR 65758 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2011-10-24

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... thereunder,\\2\\ notice is hereby given that on October 5, 2011, Financial Industry Regulatory Authority, Inc.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  3. 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...

  4. 78 FR 65400 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-10-31

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... thereunder,\\2\\ notice is hereby given that on October 17, 2013, the International Securities Exchange, LLC... the self-regulatory organization. The Commission is publishing this notice to solicit comments on...

  5. 76 FR 48187 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by International...

    Science.gov (United States)

    2011-08-08

    ... COMMISSION Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by International... July 25, 2011, the International Securities Exchange, Inc. (``ISE'' or the ``Exchange'') filed with the...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of...

  6. 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... prepared by the self- regulatory organization. The Commission is publishing this notice to solicit...

  7. 76 FR 64136 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-10-17

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

  8. 78 FR 78435 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-12-26

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... thereunder,\\2\\ notice is hereby given that on December 18, 2013, the International Securities Exchange, LLC.... \\1\\ 15 U.S.C. 78s(b)(1) \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  9. 76 FR 77275 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-12-12

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of... on November 29, 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE...(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of...

  10. 78 FR 11921 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2013-02-20

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of... 19b-4 thereunder,\\2\\ notice is hereby given that on February 6, 2013, the International Securities... self-regulatory organization. The Commission is publishing this notice to solicit comments on...

  11. 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...

  12. 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...

  13. 77 FR 17102 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-03-23

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...\\ notice is hereby given that on March 7, 2012, 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...

  14. 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...

  15. 78 FR 75439 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-12-11

    ... COMMISSION Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and... is hereby given that on November 26, 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...

  16. 78 FR 54359 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2013-09-03

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on August 20, 2103, Financial Industry Regulatory.... \\3\\ 15 U.S.C. 78s(b)(3)(A)(i). \\4\\ 17 CFR 240.19b-4(f)(1). ] I. Self-Regulatory...

  17. 77 FR 12092 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2012-02-28

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...\\ notice is hereby given that February 9, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...

  18. 76 FR 20065 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-04-11

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on March 30, 2011, Financial Industry Regulatory... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...

  19. 75 FR 49542 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-08-13

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... 19b-4 thereunder,\\2\\ notice is hereby given that on July 27, 2010, Financial Industry Regulatory... from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...

  20. 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... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...

  1. 76 FR 2173 - 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... thereunder,\\2\\ notice is hereby given that on January 5, 2011, the International Securities Exchange, LLC... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...

  2. 76 FR 21416 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-04-15

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...\\ notice is hereby given that on April 7, 2011, the International Securities Exchange, LLC (the ``Exchange... described in Items I, II, and III below, which items have been prepared by the self-regulatory...

  3. 77 FR 14847 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-03-13

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...,\\2\\ notice is hereby given that on February 22, 2012, the International Securities Exchange, LLC (the... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...

  4. 77 FR 66888 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-07

    ... conduct manual cabinet trading. B. Self-Regulatory Organization's Statement on Burden on Competition The... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... have been prepared by the self-regulatory organization. The Commission is publishing this notice to...

  5. 75 FR 30453 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2010-06-01

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving..., Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of Securities Dealers... National Association of Securities Dealers, Inc., the Financial Industry Regulatory Authority, Inc., or...

  6. 75 FR 70757 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Science.gov (United States)

    2010-11-18

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a... 12, 2010. I. Introduction On August 6, 2010, the Financial Industry Regulatory Authority, Inc... Kimmel, Executive Director, Financial Information Forum, to Elizabeth M. Murphy, Secretary,...

  7. 77 FR 47470 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Science.gov (United States)

    2012-08-08

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal... FINRA Rulebook August 2, 2012. On April 22, 2009, the Financial Industry Regulatory Authority,...

  8. 77 FR 55517 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Science.gov (United States)

    2012-09-10

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a.... Introduction On May 24, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the... General Counsel, Securities Industry and Financial Markets Association, dated June 26, 2012...

  9. 75 FR 62439 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Science.gov (United States)

    2010-10-08

    ...-2010-043] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving..., 2010. I. Introduction On August 6, 2010, the Financial Industry Regulatory Authority, Inc. (``FINRA..., 2010 (``Wiesenberg Letter''); Letter from Manisha Kimmel, Executive Director, Financial...

  10. 77 FR 12340 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Science.gov (United States)

    2012-02-29

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting... Accounting Support Fee February 23, 2012. I. Introduction On December 20, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission...

  11. 76 FR 20757 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Science.gov (United States)

    2011-04-13

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting... February 4, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the...

  12. 75 FR 61793 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2010-10-06

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving... Encrypted September 29, 2010. I. Introduction On June 2, 2010, the Financial Industry Regulatory Authority... Taunt, Chief Executive Officer, Regal Financial Group, to Elizabeth M. Murphy, Secretary,...

  13. 75 FR 40000 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2010-07-13

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc. July 2, 2010. On May 21, 2010, Financial Industry Regulatory Authority, Inc....

  14. 78 FR 3928 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Disapproving Proposed Rule...

    Science.gov (United States)

    2013-01-17

    ... NASDAQ router as needed to complete the Benchmark Order.\\15\\ Child Orders would be processed in an... securities exchange under the Act, it is, by definition, a self-regulatory organization, and that...

  15. 75 FR 3950 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed...

    Science.gov (United States)

    2010-01-25

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

  16. 77 FR 4852 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Science.gov (United States)

    2012-01-31

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

  17. 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...

  18. 78 FR 14390 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-03-05

    ... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's... (``OCC'') firms and other interested parties at their requests. These persons and organizations often..., Daily Firm Report, etc.) that do not require historical data generation, customization beyond a...

  19. 78 FR 14386 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-03-05

    ... from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization... Permit Holders (``TPHs'') and other interested parties at their requests. These persons and organizations... require historical data generation, customization beyond a standard format (PDF, HTML, etc.)...

  20. 76 FR 2739 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-01-14

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... is hereby given that on January 5, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is...

  1. 75 FR 2899 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2010-01-19

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving... January 12, 2010. On November 24, 2009, the Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k...- regulatory organizations.\\6\\ \\6\\ See, e.g., Nasdaq Rule 4761 and NYSE-Arca Rule 7.39. It is therefore...

  2. 75 FR 15470 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-03-29

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... thereunder,\\2\\ notice is hereby given that, on March 9, 2010, Financial Industry Regulatory Authority, Inc...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is...

  3. 77 FR 40121 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-07-06

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...\\ notice is hereby given that on June 20, 2012, the International Securities Exchange, LLC (the ``Exchange... Organization's Statement of the Terms of Substance of the Proposed Rule Change The ISE proposes to amend...

  4. 77 FR 3308 - 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... 19b-4 thereunder,\\2\\ notice is hereby given that, on January 5, 2012, the International Securities... Organization's Statement of the Terms of Substance of the Proposed Rule Change The ISE is proposing to...

  5. 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...- regulatory organization. The Commission is publishing this notice to solicit comments on the proposed...

  6. 75 FR 79058 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-12-17

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

  7. 77 FR 27503 - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a...

    Science.gov (United States)

    2012-05-10

    ... in turn assist IPAs in making better informed credit decisions when an issuer has more maturities... COMMISSION Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed... money market industry members include the Commercial Paper Issuers Working Group, which is comprised of...

  8. 75 FR 65680 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order...

    Science.gov (United States)

    2010-10-26

    ... corporate governance and accountability to shareholders.\\13\\ \\13\\ As the Commission stated in approving NYSE... U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of... corporate accountability to shareholders while also serving to fulfill the Congressional intent in...

  9. 78 FR 9763 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-11

    ... non- Member to connect into the Exchange at the data centers where Exchange servers are located... 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...

  10. 75 FR 78791 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-12-16

    ...-member to literally plug into the Exchange at the data centers where the Exchange's servers are located... 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...

  11. 78 FR 9749 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-11

    ... non- Member to connect into the Exchange at the data centers where Exchange servers are located... 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...

  12. 78 FR 25334 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-04-30

    ... subject to the MDX Port Fee if it does not establish a port connection to an MDX server. The Exchange also... 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...

  13. 75 FR 78794 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-12-16

    ...-member to literally plug into the Exchange at the data centers where the Exchange's servers are located... 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...

  14. 78 FR 19350 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-29

    ... physical ports to access the Exchange at the primary data center where the Exchange's servers are located... 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...

  15. 77 FR 1524 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2012-01-10

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving..., 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and... effective date of the proposed rule change in a Regulatory Notice to be published no later than 60...

  16. 78 FR 10655 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Science.gov (United States)

    2013-02-14

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...) February 8, 2013. I. Introduction On December 20, 2012, Financial Industry Regulatory Authority, Inc... Equity Securities.\\5\\ FINRA may impose a ``Foreign Regulatory Halt'' when a foreign securities...

  17. 75 FR 17460 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-04-06

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and...'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on March 26, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  18. 78 FR 59995 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2013-09-30

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on September 16, 2013, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``Commission'')...

  19. 75 FR 30457 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-06-01

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory...'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on May 21, 2010, Financial...

  20. 77 FR 5610 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2012-02-03

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and...\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on January 24, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``Commission'')...

  1. 78 FR 46652 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2013-08-01

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... thereunder,\\3\\ notice is hereby given that, on July 18, 2013, Financial Industry Regulatory Authority, Inc... as described in Items I, II and III below, which Items have been prepared by the...

  2. 75 FR 27606 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-05-17

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on April 27, 2010, the Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of Securities Dealers,...

  3. 78 FR 37261 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2013-06-20

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on June 3, 2013, Financial Industry Regulatory... rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I....

  4. 77 FR 68181 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2012-11-15

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 2, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  5. 75 FR 8771 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2010-02-25

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook February 18, 2010. On November 18, 2009, the Financial Industry Regulatory Authority,...

  6. 76 FR 65307 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2011-10-20

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on October 6, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission...

  7. 78 FR 25331 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Science.gov (United States)

    2013-04-30

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal.... On January 7, 2013, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the... Regulatory Policy, Wells Fargo Advisors, LLC, dated Feb. 15, 2013; Letter from Tamara K. Salmon,...

  8. 78 FR 76341 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2013-12-17

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... thereunder,\\2\\ notice is hereby given that, on December 2, 2013, Financial Industry Regulatory Authority, Inc... considers the subscriber's financial condition and its regulatory history. FINRA believes that the...

  9. 76 FR 11830 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-03-03

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on February ] 22, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  10. 77 FR 4599 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2012-01-30

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on January 10, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  11. 77 FR 7218 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2012-02-10

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on January 30, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  12. 75 FR 7532 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-02-19

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and...,\\2\\ notice is hereby given that on February 4, 2010, Financial Industry Regulatory Authority, Inc... in Regulatory Notice 09-71 that the new financial responsibility rules will be implemented...

  13. 75 FR 58004 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-09-23

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... is hereby given that on September 7, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA... Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., The New York Stock Exchange,...

  14. 76 FR 78706 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Science.gov (United States)

    2011-12-19

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a... On October 20, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the... advised that it would announce the implementation date of the proposed rule change in a Regulatory...

  15. 75 FR 9459 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-03-02

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... hereby given that Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association... National Association of Securities Dealers, Inc., the Financial Industry Regulatory Authority, Inc., or...

  16. 75 FR 36756 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-06-28

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on June 17, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  17. 75 FR 59300 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-09-27

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on September 17, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``Commission'')...

  18. 75 FR 39610 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-07-09

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Financial Industry Regulatory Authority, Inc...'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on June 24, 2010, Financial...

  19. 77 FR 5611 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Science.gov (United States)

    2012-02-03

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a..., 2012. I. Introduction On October 13, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA... change in a Regulatory Notice to be published no later than 90 days following Commission approval,...

  20. 76 FR 66344 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2011-10-26

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving.... Introduction On August 31, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National... Regulatory Notice to be published no later than 90 days following this Commission approval. The...

  1. 76 FR 29808 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Science.gov (United States)

    2011-05-23

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting... Distributions) May 18, 2011. I. Introduction On April 26, 2011, the Financial Industry Regulatory Authority, Inc... 29, 2011. II. Description of the Proposed Rule Change On November 29, 2010, FINRA issued...

  2. 76 FR 11542 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2011-03-02

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving... 24, 2011. I. Introduction On November 10, 2010, the Financial Industry Regulatory Authority, Inc... fidelity bond will be a great financial burden for small firms.\\16\\ The third commenter agrees with...

  3. 76 FR 64419 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-10-18

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 7 Examination Program September...

  4. 76 FR 68240 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2011-11-03

    ...-2011-062] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on October 20, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  5. 77 FR 1119 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2012-01-09

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 19, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission...

  6. 76 FR 77034 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-12-09

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and...''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 2, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange...

  7. 76 FR 44638 - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing of Proposed...

    Science.gov (United States)

    2011-07-26

    ... entry, management and recordation system provided by the Exchange for use by Institutional Brokers. In... rules of other self-regulatory organizations. New Interpretation and Policy .01 to Rule 6 will require... Exchange obtain documentary evidence of the non- Exchange trade execution no later than the close...

  8. 75 FR 57092 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-09-17

    ... Congress's conclusion that the evolution of self-regulatory organization governance and competitive market..., NYSEArca, and BATS. Any ATS or BD can combine with any other ATS, BD, or multiple ATSs or BDs to produce... production and sale of proprietary data products, as BATS and Arca did before registering as exchanges...

  9. 77 FR 12635 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2012-03-01

    ... office of FINRA and at the Commission's Public Reference Room. II. Self-Regulatory Organization's... the investment banking or securities business of a FINRA member who are to function as principals or...-sponsored and co-sponsored examinations to cover the development, maintenance, and delivery of these...

  10. 75 FR 80097 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-12-21

    ... COMMISSION Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Establishing Strike Price Intervals of $1 and Increasing Position and Exercise Limits With Respect to Options on the KBW Bank Index December 15, 2010. Pursuant to Section 19(b)(1)...

  11. 78 FR 77519 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-12-23

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... thereunder,\\2\\ notice is hereby given that, on December 5, 2013, the International Securities Exchange, LLC... handle enforcement jurisdiction in this manner. See supra note 6. With respect to arbitration...

  12. 78 FR 1901 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-01-09

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 21, 2012, the International... change references in Supplementary Material .01 from NASD to FINRA. ISE Rule 1800 (Arbitration) is being...

  13. 78 FR 3925 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2013-01-17

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Customer and Industry Codes of Arbitration Procedure To... proposing to amend the Customer and Industry Codes of Arbitration Procedure (``Codes'') to revise the...

  14. 75 FR 42795 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-07-22

    ... Disputes (``Customer Code'') and Rule 13602 of the Code of Arbitration Procedure for Industry Disputes (``Industry Code'') (collectively, the ``Codes'') to provide that a non-party witness may be represented by an... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

  15. 77 FR 74712 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2012-12-17

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Customer and Industry Codes of Arbitration Procedure Relating to... and Industry Codes of Arbitration Procedure (collectively, the ``Codes'') (1) to provide that when...

  16. 75 FR 7297 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2010-02-18

    ... Arbitration Procedure for Industry Disputes (``Industry Code'') (together, the ``Codes'') to clarify the... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Postponement Fee and Hearing Session Fee Rules of the Codes of...

  17. 75 FR 8169 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-02-23

    ... the Code of Arbitration Procedure for Industry Disputes (``Industry Code'') (together, ``Codes'') to... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the Codes of Arbitration Procedure To Provide for Attorney Representation of...

  18. 76 FR 61773 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-10-05

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Expansion of the Order Audit Trail System to All NMS Stocks September 29, 2011. Pursuant to Section 19(b)(1... given that on September 27, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed...

  19. 75 FR 52380 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-08-25

    ...-2010-044] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS...\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on August 6, 2010, the Financial...

  20. 76 FR 81551 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2011-12-28

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules December 21, 2011. I. Introduction On October 28, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with...

  1. 76 FR 25399 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-05-04

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... of the Order Audit Trail System to All NMS Stocks April 29, 2011. Pursuant to Section 19(b)(1) of the... April 26, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities...

  2. 75 FR 69725 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-11-15

    ...-2010-058] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of... the FINRA Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-043 November 8... thereunder,\\2\\ notice is hereby given that on November 5, 2010, Financial Industry Regulatory Authority,...

  3. 76 FR 71404 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-11-17

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Order Audit Trail System Definitions of... November 4, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities...

  4. 76 FR 37384 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-06-27

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exemptions from the Order Audit Trail System..., Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange...

  5. 77 FR 48580 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Science.gov (United States)

    2012-08-14

    ... COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting... transactions (``Pilot Program'') which, practically, allows FLEX Option trades to be initiated at levels as low... institutional and high net worth customers, rather than retail investors.\\18\\ In approving the Pilot...

  6. 78 FR 68888 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-15

    ... COMMISSION Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate... immediate effectiveness pursuant to Section 19(b)(3)(A)(iii) of the Act \\8\\ and Rule 19b- 4(f)(4)(ii) \\9... on the subject line if email is used. To help the Commission process and review your comments more...

  7. 75 FR 70328 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2010-11-17

    ... that are currently processed by the Mortgage-Backed Securities Division (``MBSD''). II. Self-Regulatory... mortgage-backed securities were physically settled, and it was difficult to organize physical pools into $1... amount delivered). As mortgage-backed securities migrated from physical to electronic settlement...

  8. 78 FR 19047 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-28

    ... Display Reserve Order in an NMS Stock \\14\\ during a crossed market. The Exchange proposes to amend Rule 11... away to another trading center.'' \\14\\ ``NMS Stock'' shall have the same definition as under Rule 600(b... COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and...

  9. 75 FR 21688 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Accelerated Approval...

    Science.gov (United States)

    2010-04-26

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Accelerated Approval of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities April 20, 2010. I. Introduction On March 11, 2010, The NASDAQ Stock Market LLC (``Nasdaq''...

  10. 75 FR 78783 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-12-16

    ... and open market and a national market system and, in general, to protect investors and the public... COMMISSION Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.14 To Extend the Operation of a Pilot Pursuant to...

  11. 75 FR 78787 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-12-16

    ... and open market and a national market system and, in general, to protect investors and the public... COMMISSION Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.14 To Extend the Operation of a Pilot Pursuant to...

  12. 77 FR 4608 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-01-30

    ... of a free and open market and a national market system and, in general, to protect investors and the... COMMISSION Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.14 To Extend the Operation of the Single Stock...

  13. 77 FR 4606 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-01-30

    ... of a free and open market and a national market system and, in general, to protect investors and the... COMMISSION Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.14 To Extend the Operation of the Single Stock...

  14. 78 FR 9975 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-02-12

    ... 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 Proposed Rule Change To Extend the Individual Stock Trading Pause Pilot Program February 6, 2013. Pursuant...

  15. 78 FR 62766 - Self-Regulatory Organizations; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether...

    Science.gov (United States)

    2013-10-22

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether To.... Introduction On June 21, 2013, NYSE MKT LLC (``NYSE MKT'') filed with the Securities and Exchange Commission...-4 ] thereunder,\\2\\ a proposed rule change to amend NYSE MKT Rule 965NY to revise the...

  16. 75 FR 30095 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Amending Its...

    Science.gov (United States)

    2010-05-28

    ... Securities Exchange Act Release No. 61895 (April 13, 2010), 75 FR 20417. The Commission has carefully... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Amending...

  17. 76 FR 2160 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-01-12

    ... 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 Proposed Rule Change To Clarify Reciprocal Listing Respecting a $5 Strike Program for Stock Options January 6,...

  18. 77 FR 77157 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-12-31

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Interpretative Guidance Relating to the Adjustment of Stock Options and Single Stock Futures...

  19. 78 FR 37644 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-06-21

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. June 17, 2013. Pursuant to...\\ notice is hereby given that on June 4, 2013, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'')...

  20. 77 FR 58195 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-19

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. September 13, 2012. Pursuant... thereunder,\\2\\ notice is hereby given that on August 31, 2012, BATS Exchange, Inc. (the ``Exchange''...

  1. 78 FR 77736 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-24

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify BATS Options Market Maker Continuous Quoting Obligation Rules... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 5, 2013, BATS Exchange, Inc....

  2. 78 FR 8617 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-06

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rules Related to Price Sliding Functionality January 31, 2013... thereunder,\\2\\ notice is hereby given that on January 25, 2013, BATS Exchange, Inc. (the ``Exchange''...

  3. 76 FR 26331 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-05-06

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Trading Hours of BATS Options for Certain Products May 2... 19b-4 thereunder,\\2\\ notice is hereby given that, on April 26, 2011, BATS Exchange, Inc....

  4. 78 FR 51235 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-20

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. August 14, 2013. Pursuant to...\\ notice is hereby given that on August 7, 2013, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'')...

  5. 76 FR 1208 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-01-07

    ... Release Nos. 62663 (August 9, 2010), 75 FR 49543 (August 13, 2010) (SR-NASDAQ-2010-077) (order approving... (August 10, 2010), 75 FR 50020 (August 16, 2010) (SR-EDGA-2010-06) (order approving fees for both 1G and... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate...

  6. 78 FR 62804 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-22

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. October 11, 2013. Pursuant to...\\ notice is hereby given that on October 1, 2013, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'')...

  7. 78 FR 7826 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-04

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rules in Connection With the Elimination of Discretionary Orders for BATS Options January 29, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act...

  8. 75 FR 66170 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-10-27

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. October 21, 2010. Pursuant to...\\ notice is hereby given that on October 14, 2010, BATS Exchange, Inc. (``BATS'' or the ``Exchange'')...

  9. 77 FR 35735 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-06-14

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. June 8, 2012. Pursuant to... is hereby given that on May 31, 2012, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'') filed...

  10. 76 FR 9841 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-02-22

    ... FR 51295 (August 19, 2010) (order approving application of BATS Y-Exchange, Inc. for registration as... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.13, Entitled ``Order Execution'' February 15,...

  11. 76 FR 57092 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-09-15

    ... Act Release No. 65133 (August 15, 2011), 76 FR 52032 (August 19, 2011) (SR-BATS-2011-029). The... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a Bulk-Quoting Interface To All Users of BATS Options September...

  12. 78 FR 51261 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-20

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. August 14, 2013. Pursuant to...\\ notice is hereby given that on August 1, 2013, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'')...

  13. 78 FR 61422 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-03

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Trading Halt Rule of BATS Options September 27, 2013... thereunder,\\2\\ notice is hereby given that, on September 20, 2013, BATS Exchange, Inc. (the ``Exchange''...

  14. 77 FR 23307 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-04-18

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. April 12, 2012. Pursuant to... is hereby given that on April 2, 2012, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'') filed...

  15. 77 FR 35719 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-06-14

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules Related to Risk Management Functionality for BATS Options June... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on June 1, 2012, BATS Exchange, Inc....

  16. 75 FR 66183 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-10-27

    ...), 75 FR 51295 (August 19, 2010) (order approving application of BATS Y-Exchange, Inc. for registration... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. To Amend BATS Rule 11.13, Entitled ``Order...

  17. 76 FR 50803 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-08-16

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. August 10, 2011. Pursuant to...\\ notice is hereby given that on July 29, 2011, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'')...

  18. 78 FR 23965 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-04-23

    ... Securities Exchange Act Release No. 68752 (January 29, 2013), 78 FR 7826 (February 4, 2013) (SR-BATS-2013-003... Release No. 69121 (March 12, 2013), 78 FR 16750 (March 18, 2013) (SR-BATS-2013-014) (notice of filing and... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate...

  19. 77 FR 5588 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-03

    ... forth below. \\6\\ See Securities Exchange Act Release No. 65619 (October 25, 2011), 76 FR 67238 (October... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. January 30, 2012. Pursuant...

  20. 75 FR 20418 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-04-19

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. April 9, 2010. Pursuant to...\\ notice is hereby given that on March 31, 2010, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'')...

  1. 75 FR 27847 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-05-18

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. May 11, 2010. Pursuant to...\\ notice is hereby given that on May 4, 2010, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'') filed...

  2. 78 FR 56955 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-16

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. September 10, 2013. Pursuant... thereunder,\\2\\ notice is hereby given that on August 30, 2013, BATS Exchange, Inc. (the ``Exchange''...

  3. 75 FR 11951 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-03-12

    ... equity options on the Exchange. See Securities Exchange Act Release No. 61419 (January 26, 2010), 75 FR... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. March 4, 2010. Pursuant...

  4. 77 FR 8310 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-14

    ... 4, 2012), 77 FR 1532 (January 10, 2012) (SR-Phlx-2011-185) (notice of filing and immediate..., 2011), 76 FR 78322 (December 16, 2011) (SR-Phlx-2011-162) (notice of filing and immediate effectiveness... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate...

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

    Science.gov (United States)

    2013-03-18

    ...'').\\5\\ \\5\\ See Securities Exchange Act Release No. 67091 (May 31, 2012), 77 FR 33498 (June 6, 2012) (the... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Operation of Market Orders for BATS Options March 12,...

  6. 76 FR 20414 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-04-12

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. April 6, 2011. Pursuant to...\\ notice is hereby given that, on April 1, 2011, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'')...

  7. 78 FR 53814 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-30

    ... (July 30, 2013), 78 FR 47469 (Aug. 5, 2013) (SR-CBOE-2013-078); Securities Exchange Act Release No... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Registration and Continuing Education Fees for BATS...

  8. 77 FR 50199 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-08-20

    ... Securities Exchange Act Release No. 67093 (June 1, 2012), 77 FR 33798 (June 7, 2012) (SR-BATS-2012-018). \\10... Exchange at $10.11. See Securities Exchange Act Release No. 64475 (May 12, 2011), 76 FR 28830, 28832 (May... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate...

  9. 76 FR 12155 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-03-04

    ..., 2009), 74 FR 11386 (March 17, 2009). In order to allow Members sufficient time to review and complete... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Adopt BATS Rule 11.21, entitled ``Input of...

  10. 76 FR 27677 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-05-12

    ... COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change by International Securities Exchange to Amend ISE Rule 2102 May 6, 2011. Pursuant to...\\ notice is hereby given that on May 5, 2011, the International Securities Exchange, LLC (the...

  11. 76 FR 40758 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Science.gov (United States)

    2011-07-11

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Complex Orders July 5, 2011. I. Introduction On May 23, 2011, the...

  12. 75 FR 47041 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2010-08-04

    ... Nabors Industries Ltd. BHI Baker Hughes Inc... ESRX Express Scripts Inc. KMP Kinder Morgan ACAS American Capital Energy Partners LP. Ltd. MRO Marathon Oil Corp.. XLNX Xilinx Inc. AGO Assured Guaranty DO Diamond...(b). \\6\\ 15 U.S.C. 78f(b)(5). B. Self-Regulatory Organization's Statement on Burden on Competition...

  13. 78 FR 62921 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-22

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness... marketed by the Exchange by featuring and advertising them on the Exchange's Web site. Market-Q will be... comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing...

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

    Science.gov (United States)

    2011-04-25

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate... Futures Correction In notice document 2011-7981 appearing on pages 18818-18821 in the issue of...

  15. 75 FR 48393 - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-08-10

    ... COMMISSION Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate... recommendations for certain customers for whom futures trading is too risky. \\6\\ 15 U.S.C. 78o-3(k)(2)(B). B. Self... ensure that customers have full and appropriate disclosures of the risks of futures trading. C....

  16. 75 FR 47666 - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-08-06

    ... COMMISSION Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate... Statement for Security Futures Contracts'' August 2, 2010. Pursuant to Section 19(b)(7) of the Securities..., 2010, National Futures Association (``NFA'') filed with the Securities and Exchange Commission...

  17. 75 FR 1431 - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-01-11

    ... COMMISSION Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of a Proposed Change to the Interpretive Notice Regarding Security Futures Products Proficiency...\\ and Rule 19b-7 under the Act \\2\\ notice is hereby given that on December 11, 2009, National...

  18. 76 FR 3188 - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-01-19

    ... COMMISSION Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees for the NASDAQ Options Market January 12, 2011...,\\2\\ notice is hereby given that on January 6, 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or...

  19. 76 FR 78325 - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-12-16

    ... COMMISSION Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate... hereby given that on November 30, 2011. The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed... of the Proposed Rule Change The NASDAQ Stock Market LLC proposes to amend Rule 7056 entitled ``NASDAQ...

  20. 78 FR 33138 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2013-06-03

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule... Distributions or Other Corporate Actions, That Affect the Underlying Security or Other Underlying Interest May...

  1. 78 FR 42815 - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2013-07-17

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule... Distributions or Other Corporate Actions, That Affect the Underlying Security or Other Underlying Interest July...

  2. 78 FR 77181 - Self-Regulatory Organizations; The Options Clearing Corporation; Advance Notice Concerning the...

    Science.gov (United States)

    2013-12-20

    ... corporate governance of OCC and recommend improvements to OCC's Board. The GC Charter describes the role the... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The Options Clearing Corporation; Advance Notice Concerning the...

  3. 77 FR 4591 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-01-30

    ... being inserted elsewhere within the introductory language to Rule 8.15. 2. Statutory Basis The Exchange... 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...

  4. 78 FR 78447 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-26

    ..., the Exchange proposes to revise the relevant language in its Schedule of Fees to state that Priority... 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...

  5. 76 FR 74103 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-11-30

    ... under NSX Rule 11.20B. Finally, as a conforming edit, the Exchange has added language to address when... 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...

  6. 76 FR 63698 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-10-13

    ...] [FR Doc No: 2011-26380] SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65492; File No. SR-CBOE-2011-095] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing... Language With Respect to the SPX Tier Appointment October 6, 2011. Pursuant to Section 19(b)(1) of...

  7. 76 FR 74092 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-11-30

    ... filing, the Exchange proposes to amend the language of two routing options contained in Rule 11.9(b)(3... 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...

  8. 75 FR 32826 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-06-09

    ... Exchange proposes to add language to the Fee Schedule to clarify the applicability of rebates for adding... liquidity in an electronic auction. The Exchange's proposal would add language to the Fee Schedule to state... language is consistent with the Exchange's current practice. B. Self-Regulatory Organization's Statement...

  9. 77 FR 26813 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-05-07

    ..., the Exchange proposes deleting from the Fees Schedule the language that states that for FLEX Options... 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...

  10. 78 FR 64046 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-25

    .... In addition, the Exchange believes that removing section (a)(2) and adding the new language would... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and...

  11. 78 FR 70382 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-11-25

    ... Exchange is proposing to adopt a definition of expiration date and add language to its rules that reflects... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing...

  12. 76 FR 74090 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-11-30

    ... filing, the Exchange proposes to amend the language of two routing options contained in Rule 11.9(b)(3... 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...

  13. 76 FR 74105 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-11-30

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... November 21, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and... significant increase in trading pauses involving rights and warrants since the inclusion of the Phase...

  14. 78 FR 37267 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2013-06-20

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on June 3, 2013, Financial... the mandatory inclusion of a non- public arbitrator in a three-arbitrator case raised a...

  15. 76 FR 9838 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2011-02-22

    ... Arbitration Procedure for Industry Disputes (``Industry Code'') to provide that FINRA will appoint a chair... procedures leads FINRA to propose amending the Industry Code to provide that FINRA will appoint a chair... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

  16. 75 FR 41262 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2010-07-15

    ... Arbitration Procedure for Industry Disputes (``Industry Code'') to increase ] the number of arbitrators on.... FINRA also proposed to amend Rule 13403 of the Industry Code to expand the number of arbitrators on... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

  17. 76 FR 20741 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Science.gov (United States)

    2011-04-13

    ... the Code of Arbitration Procedure for Industry Disputes (``Industry Code'') to provide that FINRA will... procedures led FINRA to propose amending the Industry Code to provide that FINRA will appoint a chair... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

  18. 75 FR 29594 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-05-26

    ... 13404 of the Code of Arbitration Procedure for Industry Disputes (``Industry Code'') to increase the... the Industry Code to expand the number of arbitrators on lists generated through NLSS.\\8\\ For disputes...-2010-022] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

  19. 17 CFR 31.28 - Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation...

    Science.gov (United States)

    2010-04-01

    ... TRANSACTIONS § 31.28 Self-regulatory organization adoption and surveillance of minimum financial, cover... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation and sales practice requirements....

  20. 75 FR 69492 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-11-12

    ... facility or system which BX operates or controls. The amended fee schedule applies to all subscribers... COMMISSION Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness... comments on the proposed rule change from interested persons. I. Self-Regulatory Organization's Statement...

  1. 76 FR 20760 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Time...

    Science.gov (United States)

    2011-04-13

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Time... no comments on the proposal. The Commission subsequently extended the time period in which to either... publishes the reasons for such determination, or the self-regulatory organization that filed the proposed...

  2. 17 CFR 249.821 - Form PILOT, information required of self-regulatory organizations operating pilot trading systems...

    Science.gov (United States)

    2010-04-01

    ... required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this... Associations § 249.821 Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this chapter. This form shall be used by all...

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

    Science.gov (United States)

    2011-10-20

    ... herein, the current corporate structure, governance and self-regulatory independence and separation of... Relating to a Corporate Transaction in Which Its Indirect Parent, Deutsche B rse AG, Will Become a Wholly... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed...

  4. 76 FR 65264 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2011-10-20

    ... modifications described herein, the current corporate structure, governance and self-regulatory independence and... Relating to a Corporate Transaction in Which Its Indirect Parent, Deutsche B rse AG, Will Become a Wholly... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed...

  5. 77 FR 35462 - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-06-13

    ... control of ICC or for which it is responsible. \\6\\ 15 U.S.C. 78q-1(b)(3)(F). (B) Self-Regulatory... COMMISSION Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICE Clear Credit LLC Rules To Amend the...

  6. 76 FR 28830 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change by...

    Science.gov (United States)

    2011-05-18

    ... Act Release No. 34-54714 at 4 (November 6, 2006), 71 FR 66352 (November 14, 2006). B. Self-Regulatory... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change by BATS Exchange, Inc. To Amend BATS Rule 11.9, Entitled ``Orders and Modifiers'' and BATS Rule...

  7. 17 CFR 1.59 - Activities of self-regulatory organization employees, governing board members, committee members...

    Science.gov (United States)

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Activities of self-regulatory... Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Miscellaneous § 1.59 Activities of self-regulatory organization employees, governing...

  8. 17 CFR 1.69 - Voting by interested members of self-regulatory organization governing boards and various...

    Science.gov (United States)

    2010-04-01

    ... of a registered futures association, pursuant to Section 17(j) of the Act, to address the avoidance... defined in § 3.1(a); (D) Net positions held at that self-regulatory organization in “customer”...

  9. 78 FR 46661 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting...

    Science.gov (United States)

    2013-08-01

    ... and manipulative acts and practices, to promote just and equitable principles of trade, to remove... by a self-regulatory organization. See Securities Act Amendments of 1975, Senate Comm. on Banking.... O'Neill, Deputy Secretary. BILLING CODE P ...

  10. Emergent organization of oscillator clusters in coupled self-regulatory chaotic maps

    Indian Academy of Sciences (India)

    Hiroyasu Ando; Sudeshna Sinha; Kazuyuki Aihara

    2008-06-01

    Here we introduce a model of parametrically coupled chaotic maps on a one-dimensional lattice. In this model, each element has its internal self-regulatory dynamics, whereby at fixed intervals of time the nonlinearity parameter at each site is adjusted by feedback from its past evolution. Additionally, the maps are coupled sequentially and unidirectionally, to their nearest neighbor, through the difference of their parametric variations. Interestingly we find that this model asymptotically yields clusters of superstable oscillators with different periods. We observe that the sizes of these oscillator clusters have a power-law distribution. Moreover, we find that the transient dynamics gives rise to a 1/ power spectrum. All these characteristics indicate self-organization and emergent scaling behavior in this system. We also interpret the power-law characteristics of the proposed system from an ecological point of view.

  11. 77 FR 69534 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-11-19

    ... Basis for, the Proposed Rule Change In its filing with the Commission, the self-regulatory organization... role as agent and therefore contributes to maintaining a fair and orderly market, during the period... Organization's Statement on Burden on Competition The Exchange does not believe that the proposed rule...

  12. 78 FR 13127 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-02-26

    ... Proposed Rule Change In its filing with the Commission, the self-regulatory organization included... part of a Floor broker's role as agent and therefore contributes to maintaining a fair and orderly... Organization's Statement on Burden on Competition The Exchange does not believe that the proposed rule...

  13. 78 FR 13110 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-02-26

    ... organization included statements concerning the purpose of, and basis for, the proposed rule change and... broker's role as agent and therefore contributes to maintaining a fair and orderly market, during the.... Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From...

  14. 78 FR 50471 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-19

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...\\ notice is hereby given that on August 1, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with... organizations, as that term is defined in the definitions section of the General and Floor Rules of the NYSE...

  15. 78 FR 75952 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to Proposed...

    Science.gov (United States)

    2013-12-13

    ... stock,\\5\\ companies with such securities listed on the Exchange must also meet certain quantitative... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to Proposed..., 2013, the New York Stock Exchange, LLC (``NYSE'' or ``Exchange'') filed with the Securities...

  16. 76 FR 20757 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer...

    Science.gov (United States)

    2011-04-13

    ... or More Listed Companies April 8, 2011. On February 24, 2011, New York Stock Exchange LLC (``Exchange... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a...

  17. 78 FR 3958 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to Proposed...

    Science.gov (United States)

    2013-01-17

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to Proposed... January 11, 2013. I. Introduction On November 8, 2012, the New York Stock Exchange LLC (``NYSE'' or... that listed companies must follow to notify the Exchange upon the occurrence of certain events, and...

  18. 75 FR 17818 - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2010-04-07

    ... definition of Trust Units in Rule 1600 to remove the master/feeder structure requirement and permit the... COMMISSION Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change...), 75 FR 9265 (``Notice''). I. Description of the Proposal NYSE Amex previously adopted Rule 1600 et...

  19. 76 FR 73756 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Order Granting...

    Science.gov (United States)

    2011-11-29

    ... corporate governance and accountability to shareholders.\\13\\ \\13\\ As the Commission stated in approving NYSE.... Self-Regulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change...) of the Act because it should enhance corporate accountability to shareholders while also serving...

  20. 76 FR 24949 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-05-03

    ... Nominating and Governance Committee and amending references to an exchange name to reflect a corporate change...). \\2\\ 17 CFR 240.19b-4. ] I. Self-Regulatory Organization's Statement of the Terms of Substance of the... name of the Nominating Committee to the Nominating & Governance Committee; (ii) amended the...

  1. 77 FR 77141 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule...

    Science.gov (United States)

    2012-12-31

    ... listing on the Global Select, Global Market, and Capital Market, respectively. The corporate governance...\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms... exempt the Program from Rule 2460. \\4\\ The term ``Market Maker'' is defined in Rule 5005(a)(24) as...

  2. 76 FR 24947 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-05-03

    ... Nominating and Governance Committee and amending references to an exchange name to reflect a corporate change...). \\2\\ 17 CFR 240.19b-4. ] I. Self-Regulatory Organization's Statement of the Terms of Substance of the...) Amended the name of the Nominating Committee to the Nominating & Governance Committee; (ii) amended...

  3. 75 FR 9985 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2010-03-04

    ... present is duly elected to the Board.\\3\\ Under Corporate Governance Guidelines adopted by the Board...(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... to its By-Laws to make improvements in its governance. Currently, NASDAQ OMX By-Laws provide...

  4. 78 FR 77755 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2013-12-24

    ... promotional activity was occurring; and (d) sales that represented a high percentage of trading volume or of... significant aspects of such statements. (A) Self-Regulatory Organization's Statement of the Purpose of, and... specific standards for making a security an Eligible Security: Generally, the issues that may be...

  5. 78 FR 785 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-01-04

    ... COMMISSION Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To... invest in ``Financial Instruments.'' The term ``Financial Instruments,'' as defined in Commentary .02(b... Malaysia (``Malaysia'') (each a ``Futures Exchange'' and collectively, ``Futures Exchanges''), and (b)...

  6. 75 FR 47323 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2010-08-05

    ... COMMISSION Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change..., Chile, Colombia, Hungary, Indonesia, Israel, Malaysia, Mexico, Peru, Poland, Russia, South Africa, South... invest in deposits and other obligations of U.S. and non-U.S. banks and financial institutions;...

  7. 77 FR 42032 - Self-Regulatory Organizations; The NASDAQ Stock Market 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; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX Options Routing July 11, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act...

  8. 76 FR 12171 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-03-04

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Clarifying Changes to Rule 7002 Concerning the Application and Collection of the Sales Fee February...

  9. 76 FR 72230 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-11-22

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a ``Post-Only'' Order Type November 16, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange...

  10. 77 FR 64179 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-10-18

    ... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ's Schedule of Execution Fees for Order Routing Under Rule 7018 October 12, 2012. Pursuant...

  11. 77 FR 16309 - Self-Regulatory Organizations; The NASDAQ Stock Market 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; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the 100MB Connectivity Option and Fee March 14, 2012. Pursuant to Section 19(b)(1) of the...

  12. 76 FR 12178 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-03-04

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Market Data to the Public at No Charge February 25, 2011. Pursuant to Section 19(b)(1) of the...

  13. 77 FR 58199 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-09-19

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete NASDAQ Rule 7032 September 13, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...

  14. 76 FR 64411 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-10-18

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Minimum Quantity Order October 12, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange...

  15. 76 FR 70782 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-11-15

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C2 November 8, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act...

  16. 77 FR 28415 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-05-14

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NASDAQ Co-Location Super High Density Cabinet Monthly Fee May 8, 2012. Pursuant to Section...

  17. 78 FR 41489 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-10

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness to Conform Rule 5705 Governing Exchange Traded Funds to the Listing Requirements of Another Market July 3, 2013. Pursuant to Section...

  18. 76 FR 64403 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-10-18

    ... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates To Add Liquidity September 22, 2011. Correction In notice document...

  19. 77 FR 34453 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-06-11

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the NASDAQ Options Market Message Traffic Mitigation Rule June 5, 2012. Pursuant to Section...

  20. 77 FR 40926 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-07-11

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Fee Schedule Governing Order Routing July 5, 2012. Pursuant to Section 19(b)(1) of...

  1. 76 FR 11548 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-03-02

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the NASDAQ Order Imbalance Snapshot February 24, 2011. Pursuant to Section 19(b)(1) of the...

  2. 77 FR 12637 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-03-01

    ... Exchange does not intend to eliminate certain controls in Exchange rules related to potential conflicts of... Exchange proposes to eliminate the text in current Rule 304(e)(1), which requires an approved person to... COMMISSION Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change...

  3. 77 FR 12626 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2012-03-01

    ... approval from NYSE Rules 304, 308, and 311. The Exchange also would eliminate use of the Forms AP-1 and AD... Exchange Rules.\\8\\ \\8\\ The Exchange proposes to eliminate the text in current Rule 304(e)(1), which... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed...

  4. 76 FR 75593 - Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-12-02

    ... that the evolution of self-regulatory organization governance and competitive market structure have..., NYSEArca, and BATS. Any ATS or BD can combine with any other ATS, BD, or multiple ATSs or BDs to produce... production and sale of proprietary data products, as BATS and Arca did before registering as exchanges...

  5. 75 FR 57321 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-09-20

    ... amendment to Section 19 reflects Congress's conclusion that the evolution of self-regulatory organization... currently do or have announced plans to do so, including NASDAQ, NYSE, NYSE Amex, NYSEArca, and BATS. ] Any... sale of proprietary data products, as BATS and Arca did before registering as exchanges by...

  6. 75 FR 18250 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-04-09

    ... attract order flow, execute orders, and grow as a market. NASDAQ thus believes that its fees are fair and... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets April 1,...

  7. 76 FR 12161 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-03-04

    ... short selling, including potentially manipulative or abusive short selling, from driving down further... Release, 75 FR 11232, 11247. \\28\\ See 17 CFR 242.612. With respect to NYBX pegging orders during the Short... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and...

  8. 77 FR 1537 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-01-10

    ..., the Commission granted self-regulatory organizations (``SROs'') and broker-dealers (``BDs'') increased... legislative history. If the free market should determine whether proprietary data is sold to BDs at all, it... ``eyeballs'' that contribute to their advertising revenue. Retail BDs, such as Schwab and Fidelity,...

  9. 75 FR 47871 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule...

    Science.gov (United States)

    2010-08-09

    ... self-regulatory organization (``SRO'') markets, as well as internalizing broker-dealers (``BDs'') and... reports. It is common for BDs to further and exploit this competition by sending their order flow and... proprietary data products. The large number of SROs, TRFs, BDs, and ATSs that currently produce...

  10. 77 FR 65596 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2012-10-29

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...,\\2\\ notice is hereby given that on October 10, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or... testing prior to offering the service for a fee to members. After this ``beta'' testing period, upon...

  11. 78 FR 39383 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-01

    ...-084] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... thereunder,\\2\\ notice is hereby given that on June 14, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or the... service for a fee to members. After this ``beta'' testing period, upon initial roll-out of the service...

  12. 76 FR 64137 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-10-17

    ... data products is also highly contestable because market entry is rapid, inexpensive, and profitable... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... September 30, 2011, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the Securities and Exchange...

  13. 76 FR 64147 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-10-17

    ... data products is also highly contestable because market entry is rapid, inexpensive, and profitable... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... is hereby given that, on September 30, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or...

  14. 78 FR 62820 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-22

    ... contestable because market entry is rapid, inexpensive, and profitable. The history of electronic trading is... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...,\\2\\ notice is hereby given that on September 25, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or the...

  15. 77 FR 21125 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-04-09

    ... data products is also highly contestable because market entry is rapid, inexpensive, and profitable... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...-of-Book Market Data April 3, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...

  16. 78 FR 1910 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-09

    ... market entry is rapid, inexpensive, and profitable. The history of electronic trading is replete with... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...\\ notice is hereby given that on December 20, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or the...

  17. 77 FR 1545 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-01-10

    ....15c3-5. Because these are NYSE Arca proprietary firms, the regulatory risk of extending the time to... COMMISSION Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of... Regulatory Authority Members to March 31, 2012 January 4, 2012. Pursuant to Section 19(b)(1) \\1\\ of...

  18. 77 FR 52090 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-28

    ... Regulatory Bulletin any applicable minimum, maximum and/or default settings for the Risk Limitation... Regulatory Bulletin the applicable time period(s) for the Risk Limitation Mechanisms proposed under Rule... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness...

  19. 76 FR 70206 - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change to...

    Science.gov (United States)

    2011-11-10

    ... COMMISSION Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change to... hereby given that on November 4, 2011, ICE Clear Credit LLC (``ICC'') filed with the Securities and...), the Federal Reserve Bank of New York and the New York State Banking Department. Implementation...

  20. 78 FR 32287 - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2013-05-29

    ... United States. ICE Clear Europe is recognized as an interbank payment system by the Bank of England under... COMMISSION Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change...\\ and Rule 19b-4 thereunder \\2\\ notice is hereby given that on May 13, 2013, ICE Clear Europe...

  1. 77 FR 42045 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-07-17

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on July 2, 2012, The NASDAQ Stock Market LLC... brackets. * * * * * 4751. Definitions The following definitions apply to the Rule 4600 and 4750 Series...

  2. 78 FR 79033 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-27

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Definition of ``System Securities'' in NASDAQ Rule 4751... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 19, 2013, The NASDAQ Stock Market...

  3. 76 FR 12165 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-03-04

    ... circuit breaker can be re-triggered with respect to a particular stock. Division of Trading and Markets..., supra note 16, at Q&A 4.1. \\27\\ See Exchange Rule 13 for the definition of inter-market sweep order. \\28... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and...

  4. 77 FR 38347 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2012-06-27

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Alpha Index-Linked Securities June 21, 2012. Pursuant to... is hereby given that on June 11, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'')...

  5. 76 FR 61416 - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-10-04

    ... single stock circuit breakers in a general market downturn cause the index calculation to become stale... COMMISSION Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Revise the Methodology for Determining When to Halt Trading Due to Extraordinary...

  6. 77 FR 21132 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-04-09

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Newly Listed Indexes April 3, 2012. Pursuant to... is hereby given that on March 28, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or...

  7. 78 FR 8205 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-02-05

    ... Statement of the Terms of Substance of the Proposed Rule Change The NASDAQ Stock Market LLC proposes to... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... Options Market, NASDAQ's Facility for Executing and Routing Standardized Equity and Index Options...

  8. 75 FR 39081 - Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by The NASDAQ Stock...

    Science.gov (United States)

    2010-07-07

    ... COMMISSION Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by The NASDAQ Stock Market LLC to Amend NASDAQ Rule 4120(a)(11) To Add Securities Included in the Russell 1000 Index...\\ notice is hereby given that on June 30, 2010, The NASDAQ Stock Market LLC (the ``Exchange'' or...

  9. 75 FR 28839 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule...

    Science.gov (United States)

    2010-05-24

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Establish a Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index... is hereby given that on May 18, 2010, The NASDAQ Stock Market LLC (``Nasdaq'' or the...

  10. 75 FR 16221 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2010-03-31

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities March... Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and Exchange...

  11. 76 FR 13007 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-03-09

    ... impediments to and perfect the mechanism of a free and open market and a national market system. The proposed... exchange, by expulsion, suspension, limitation of activities, functions, and operations, fine, censure... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and...

  12. 77 FR 27255 - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To...

    Science.gov (United States)

    2012-05-09

    ... This rule change permits ICC to make two modifications to its risk model for clearing credit default... COMMISSION Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Reduce the Current Level of Risk Mutualization Among Clearing Participants and To Modify the...

  13. 78 FR 39036 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-28

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...\\ notice is hereby given that, on June 11, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with... Proposed Rule Change 1. Purpose NYSE MKT proposes to amend its listing standard for Reverse...

  14. 78 FR 37860 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-24

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on June 10, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with...

  15. 78 FR 67209 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Withdrawal of Proposed Rule Change...

    Science.gov (United States)

    2013-11-08

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Withdrawal of Proposed Rule Change Relating to NDX and RUT Combination Orders November 4, 2013. On June 21, 2013, NYSE MKT LLC (``NYSE MKT... MKT Rule 965NY to revise the procedures governing the trading of NDX and RUT combination orders....

  16. 78 FR 79053 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of..., 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities and Exchange...

  17. 78 FR 75642 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-12

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... 26, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities and...

  18. 78 FR 36290 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for...

    Science.gov (United States)

    2013-06-17

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE MKT Rule 104--Equities To Codify Certain Traditional... Amendments to Other Rules June 11, 2013. On April 9, 2013, NYSE MKT LLC (the ``Exchange'') filed with...

  19. 77 FR 44294 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-07-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending... July 13, 2012, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities and...

  20. 77 FR 51596 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting Approval...

    Science.gov (United States)

    2012-08-24

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, (1) Amending NYSE Rule 13 and NYSE MKT Rule 13-- Equities to Establish New Order Types, (2) Amending NYSE Rule 115A and NYSE MKT Rule...

  1. 77 FR 35437 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-13

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on May 31, 2012, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the... Exchange proposes to amend the Fee Schedule to reflect the Exchange's name change to NYSE MKT LLC....

  2. 78 FR 60362 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-01

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... on September 13, 2013, NYSE MKT LLC (``NYSE MKT'' or ``Exchange'') filed with the Securities...

  3. 77 FR 53952 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-09-04

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rules 103B(IX)--Equities and 504--Equities To Provide That a..., 2012, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities and Exchange...

  4. 77 FR 41859 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-16

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT LLC Rule 440A--Equities, Which Addresses Telemarketing, and Adopting New NYSE MKT LLC Rule 3230--Equities, To Conform to FINRA's Telemarketing Rule July 10, 2012....

  5. 78 FR 29406 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation...

    Science.gov (United States)

    2013-05-20

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation of... Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d)-- Equities and Related... MKT LLC (``NYSE MKT'') (collectively, the ``Exchanges'') each filed with the Securities and...

  6. 78 FR 26677 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-05-07

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of..., on April 19, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities...

  7. 78 FR 1290 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-01-08

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500--Equities To Extend the Operation of the Pilot Program That..., NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities and Exchange Commission...

  8. 78 FR 11928 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting...

    Science.gov (United States)

    2013-02-20

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting... (d) and NYSE MKT Rules 95(c) and (d)--Equities and Related Supplementary Material February 13, 2013. I. Introduction On October 26, 2012, the New York Stock Exchange LLC (``NYSE'') and NYSE MKT...

  9. 77 FR 40107 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-06

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... on June 15, 2012, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities...

  10. 78 FR 72965 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2013-12-04

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending NYSE MKT Rules 13--Equities, 70.25-- Equities, 107C--Equities and 1000--Equities To Adopt a New Order... given that, on November 18, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with...

  11. 78 FR 63551 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-24

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... on October 7, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities...

  12. 77 FR 45404 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-31

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500--Equities To Extend the Operation of the Pilot Program That..., NYSE MKT LLC (``NYSE MKT'' or ``Exchange'') filed with the Securities and Exchange...

  13. 78 FR 34689 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-10

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... on May 24, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities...

  14. 77 FR 51592 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-24

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... Name From NYSE Amex LLC (``NYSE Amex'') to NYSE MKT LLC August 20, 2012. Pursuant to Section 19(b)(1... given that, on August 9, 2012, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the...

  15. 78 FR 27459 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-05-10

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... Rule 19b-4 thereunder,\\3\\ notice is hereby given that on April 25, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities and Exchange Commission (the ``Commission'') the...

  16. 77 FR 46144 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-02

    ...-2012-29] Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List To Change Certain Fees Relating to Trading...'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that, on July 20, 2012, NYSE MKT LLC...

  17. 77 FR 56685 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-09-13

    ... [Federal Register Volume 77, Number 178 (Thursday, September 13, 2012)] [Notices] [Page 56685] [FR Doc No: C1-2012-21385] SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67719; File No. SR-NYSEMKT-2012-40] Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness...

  18. 78 FR 38769 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of..., NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities and Exchange Commission...

  19. 78 FR 48535 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-08

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... on July 30, 2013, NYSE MKT LLC (``NYSE MKT'' or ``Exchange'') filed with the Securities and Exchange... Commission on a pilot basis. Pursuant to NYSE MKT Rule 107C(m)--Equities, the pilot period for the Program...

  20. 78 FR 52818 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for...

    Science.gov (United States)

    2013-08-26

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Release No. 34-70235; File No. SR-NYSEMKT-2013-59] Self-Regulatory Organizations; NYSE MKT LLC... 965NY, Which Governs NDX and RUT Combination Orders August 20, 2013. On June 21, 2013, NYSE MKT...

  1. 78 FR 46399 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-07-31

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... thereunder,\\3\\ notice is hereby given that on July 17, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE...

  2. 78 FR 74197 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-10

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule in..., NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities and Exchange Commission...

  3. 77 FR 66902 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-07

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...\\ notice is hereby given that, on October 19, 2012, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed... charge imposed by the NYSE MKT. \\13\\ 15 U.S.C. 78s(b)(3)(A). \\14\\ 17 CFR 240.19b-4(f)(2). ] At any...

  4. 77 FR 40671 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-10

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of..., 2012, NYSE MKT LLC (``NYSE MKT'' or ``Exchange'') filed with the Securities and Exchange Commission..., Senior Floor Officials and Executive Floor Governors), or both.\\4\\ \\3\\ 15 U.S.C. 78f. \\4\\ See NYSE...

  5. 77 FR 41824 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-16

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT LLC Rule 428(a), Which Addresses Telephone Solicitation, and Amending NYSE MKT LLC Rule 429, Which Addresses Telemarketing, To Adopt New Rule Text To Conform to...

  6. 77 FR 77152 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for...

    Science.gov (United States)

    2012-12-31

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting NYSE MKT Rules 95(c) and (d)--Equities and Related Supplementary Material December 21, 2012. On October 26, 2012, NYSE MKT LLC (the ``Exchange'') filed with...

  7. 78 FR 54943 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-09-06

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities and Exchange Commission... acquired the American Stock Exchange LLC, now known as NYSE MKT.\\3\\ As part of the integration of...

  8. 77 FR 75225 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-19

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...\\ and Rule 19b-4 thereunder,\\3\\ notice is hereby given that on December 7, 2012, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities and Exchange Commission (the ``Commission'')...

  9. 77 FR 70197 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-23

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 123C--Equities To Add New Supplementary Material .40 To Clarify... MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities and Exchange Commission...

  10. 78 FR 33866 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-05

    ...-2013-42] Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 980NY, To Remove Provisions Governing How the Complex Matching... is hereby given that on May 17, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with...

  11. 77 FR 76158 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-26

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 140 of the NYSE MKT LLC Company Guide To Introduce an Initial... ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 6, 2012, NYSE MKT...

  12. 77 FR 75462 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-20

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 102(a) of the NYSE MKT Company Guide To Eliminate an Erroneous...'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 4, 2012, NYSE MKT...

  13. 78 FR 38779 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... on June 17, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities...

  14. 78 FR 16544 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-15

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... 26, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities and Exchange... until executed in full or cancelled. See NYSE MKT Rule 13--Equities. STPN Result 2: S would...

  15. 78 FR 16905 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-19

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... thereunder,\\2\\ notice is hereby given that on March 5, 2013, NYSE MKT LLC (``NYSE MKT'' or...

  16. 78 FR 38762 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-27

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500--Equities To Extend the Operation of the Pilot Program That..., NYSE MKT LLC (``NYSE MKT'' or ``Exchange'') filed with the Securities and Exchange...

  17. 78 FR 47807 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an...

    Science.gov (United States)

    2013-08-06

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an... LLC (``NYSE'' or ``Exchange'') and NYSE MKT LLC \\2\\ (``NYSE MKT'' and, together with NYSE, the....612(c). \\2\\ At the time it filed the original proposal to adopt the Retail Liquidity Program, NYSE...

  18. 77 FR 59442 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-09-27

    ...-NYSEMKT-2012-45] Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 1203(a) and 1205(b) of the NYSE MKT Company Guide...\\ notice is hereby given that on September 7, 2012, NYSE MKT LLC (``NYSE MKT'' or ``Exchange'') filed...

  19. 77 FR 39309 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-07-02

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending the NYSE MKT Price List To Provide for Additional Co-Location Services and Establish Related Fees June 26... 19b-4 thereunder,\\3\\ notice is hereby given that on June 13, 2012, NYSE MKT LLC (the ``Exchange''...

  20. 77 FR 68191 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Deleting...

    Science.gov (United States)

    2012-11-15

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Deleting NYSE MKT Rules 95(c) and (d)--Equities and Related Supplementary Material November 8, 2012. Pursuant to...\\ notice is hereby given that, on October 26, 2012, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'')...

  1. 78 FR 64255 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-28

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... on October 11, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities...

  2. 77 FR 77172 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-31

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT LLC Price List To Specify Pricing that is Currently Applicable... 19b-4 thereunder,\\2\\ notice is hereby given that, on December 14, 2012, NYSE MKT LLC (the...

  3. 78 FR 16332 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-14

    ... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... thereunder,\\3\\ notice is hereby given that on March 5, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE...

  4. 77 FR 40112 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Adopting...

    Science.gov (United States)

    2012-07-06

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Adopting... Rule 19b-4 thereunder,\\2\\ notice is hereby given that, on June 19, 2012, NYSE MKT LLC (``Exchange'' or ``NYSE MKT''), on behalf of NYSE Amex Options LLC (``NYSE Amex Options''), filed with the Securities...

  5. 78 FR 66980 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Regarding...

    Science.gov (United States)

    2013-11-07

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Regarding...\\ notice is hereby given that, on October 29, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'')...

  6. 77 FR 71846 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-04

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... thereunder,\\2\\ notice is hereby given that on November 14, 2012, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT... platform to trade those securities. The Exchange also adopted equity trading rules for NYSE MKT based...

  7. 77 FR 39288 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-07-02

    ... COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending the...''),\\2\\ and Rule 19b-4 thereunder,\\3\\ notice is hereby given that on June 13, 2012, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities and Exchange Commission (the ``Commission'')...

  8. 77 FR 77154 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-31

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... thereunder,\\2\\ notice is hereby given that on December 10, 2012, NYSE MKT LLC (the ``Exchange'' or ``NYSE...

  9. 78 FR 16554 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-15

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on February 26, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with...

  10. 75 FR 28834 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2010-05-24

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 11.18, Entitled ``Trading Halts Due to Extraordinary Market Volatility'' May 19, 2010... thereunder,\\2\\ notice is hereby given that on May 18, 2010, BATS Exchange, Inc. (the ``Exchange'' or...

  11. 75 FR 22668 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2010-04-29

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rules 2.5 and 17.2 Applicable to Registration Requirements April 22, 2010. Pursuant to...\\ notice is hereby given that on April 9, 2010, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'')...

  12. 78 FR 28663 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To...

    Science.gov (United States)

    2013-05-15

    ... COMMISSION Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend and Restate the Amended and Restated By-Laws of BATS Exchange, Inc. May 8, 2013. Pursuant to...\\ notice is hereby given that on April 29, 2013, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'')...

  13. 75 FR 58011 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Minor Rule...

    Science.gov (United States)

    2010-09-23

    ... Release No. 21013 (June 1, 1984), 49 FR 23828 (June 8, 1984). Any disciplinary action taken by an SRO.... 62716 (August 13, 2010), 75 FR 51295 (August 19, 2010) (File No. 10-198). According to the Exchange's... COMMISSION Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Minor...

  14. 77 FR 15152 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change by...

    Science.gov (United States)

    2012-03-14

    ...). \\3\\ See Securities Exchange Act Release No. 58375 (August 21, 2008), 73 FR 49498 (August 21, 2008...). \\4\\ See Securities Exchange Act Release No. 62716 (August 13, 2010), 75 FR 51295 (August 19, 2010... COMMISSION Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change...

  15. 76 FR 47621 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-05

    ... dark pools and electronic communication networks (``ECNs''). Each SRO market competes to produce... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...,\\2\\ notice is hereby given that on July 25, 2011, The NASDAQ Stock Market LLC (``NASDAQ'') filed...

  16. 76 FR 13694 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-03-14

    ... wide range of market structure issues, including high frequency trading and un- displayed, or ``dark... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... hereby given that, on February 28, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or...

  17. 78 FR 21655 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-11

    ... rules. Doing so will provide market participants with a better understanding the operation of the... remove impediments to and perfect the mechanism of a free and open market and a national market system... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and...

  18. 76 FR 13681 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-03-14

    ... COMMISSION Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness... from Reserve Orders \\10\\ or Discretionary Orders.\\11\\ \\7\\ As defined in BYX Rule 11.9(c)(8). \\8\\ As... The Exchange believes that the proposed rule change is consistent with the requirements of the Act and...

  19. 77 FR 22624 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-04-16

    ... non- discriminatory terms. In addition, the proposed increased NYSE CSII fee and fee cap are the same... Discretionary e-Quotes and verbal agency interest by floor brokers). B. Self-Regulatory Organization's Statement..., and all written communications relating to the proposed rule change between the Commission and...

  20. 77 FR 33013 - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of a Longer Period for...

    Science.gov (United States)

    2012-06-04

    ... COMMISSION Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Add Rules Related to the Clearing of Emerging Markets Sovereign Index Credit Default Swaps May 29, 2012. On April 3, 2012, ICE Clear Credit (``ICC'') filed with...

  1. 76 FR 55984 - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2011-09-09

    ... clear additional credit default swap (``CDS'') contracts. Specifically, ICC is proposing to amend... COMMISSION Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Add Rules Related to the Clearing of Emerging Markets Sovereigns September 2, 2011. Pursuant...

  2. 78 FR 60357 - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2013-10-01

    ... the basis for ICC to clear additional credit default swap contracts. Specifically, ICC is proposing to... COMMISSION Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Provide for the Clearance of Standard Emerging European and Middle Eastern Sovereign Single...

  3. 77 FR 14452 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-03-09

    ..., and that such determinations will be made pursuant to procedures of BOX Market Operations Center... free and open market and a national market system, and, in general to protect investors and the public... COMMISSION Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

  4. 17 CFR 1.64 - Composition of various self-regulatory organization governing boards and major disciplinary...

    Science.gov (United States)

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Composition of various self-regulatory organization governing boards and major disciplinary committees. 1.64 Section 1.64 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE...

  5. 77 FR 74703 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-12-17

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate..., notice is hereby given that on November 30, 2012. The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange... Pricing,'' at Section 2 governing pricing for NASDAQ members using the NASDAQ Options Market (``NOM...

  6. 76 FR 44076 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-07-22

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Stock Market Equities Trading Rules 4757 and 4758 and... 13, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed with the Securities and...

  7. 78 FR 24282 - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-24

    ... COMMISSION Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate... given that on April 9, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the... governing pricing for NASDAQ members using the NASDAQ Options Market (``NOM''), NASDAQ's facility for...

  8. 78 FR 3945 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-17

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...\\ thereunder, notice is hereby given that on January 2, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or... Terms of the Substance of the Proposed Rule Change The NASDAQ Stock Market LLC proposes to reduce the...

  9. 77 FR 19044 - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-03-29

    ...-2012-038] Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate... March 19, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and... terminating the halt, there is a 15-minute Display-Only Period during which market participants may enter...

  10. 78 FR 68122 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-13

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...,\\2\\ notice is hereby given that on October 28, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or... Pricing,'' at Section 2 governing pricing for NASDAQ members using the NASDAQ Options Market (``NOM...

  11. 78 FR 70388 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-25

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... thereunder,\\2\\ notice is hereby given that on November 8, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or... text is italicized. NASDAQ Stock Market Rules Options Rules * * * * * Chapter VI Trading Systems...

  12. 76 FR 34783 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-06-14

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... thereunder,\\2\\ notice is hereby given that on May 26, 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or..., connectivity to NASDAQ and market data connectivity related to an order for a new cabinet. However, the one...

  13. 75 FR 57091 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-09-17

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center September 10... thereunder,\\2\\ notice is hereby given that on September 7, 2010, The NASDAQ Stock Market LLC (``NASDAQ...

  14. 75 FR 16877 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-04-02

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...,\\2\\ notice is hereby given that on March 15, 2010, The NASDAQ Stock Market LLC (``Nasdaq'') filed... transactions in securities, and to remove impediments to and perfect the mechanism of a free and open market...

  15. 77 FR 10794 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-02-23

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... given that on February 13, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the... Rule Change The NASDAQ Stock Market LLC proposes to modify Chapter XV, Section 2, governing pricing for...

  16. 76 FR 71088 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-11-16

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... hereby given that on November 1, 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed... of the Proposed Rule Change The NASDAQ Stock Market LLC proposes to create a new Rule 7056 entitled...

  17. 76 FR 48189 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-08

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... is hereby given that on July 26, 2011, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the... charges are assessed by Nasdaq for connectivity to systems operated by NASDAQ, including the Nasdaq Market...

  18. 78 FR 28912 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-05-16

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...,\\2\\ notice is hereby given that on April 30, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or... Pricing,'' at Section 2 governing pricing for NASDAQ members using the NASDAQ Options Market (``NOM...

  19. 78 FR 49308 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-13

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... is hereby given that on July 25, 2013 The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed... switches meet this demand by decreasing the time individual orders are processed and market data is...

  20. 76 FR 75924 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-12-05

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... given that on November 22, 2011, The NASDAQ Stock Market LLC (``Exchange''), filed with the Securities... and open market and a national market system, and, in general, protect investors and the public...

  1. 78 FR 75657 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-12

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... that on November 27, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the... Proposed Rule Change NASDAQ proposes to modify Chapter XV, Section 2, entitled ``NASDAQ Options Market...

  2. 76 FR 60103 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-09-28

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...\\ notice is hereby given that on September 15, 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange... for NASDAQ members using the NASDAQ Options Market (``NOM''), NASDAQ's facility for executing and...

  3. 76 FR 46869 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-03

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... hereby given that, on July 22, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed... (``Commission'') a proposal for the NASDAQ Options Market (``NOM'') to amend Chapter VI, Trading Systems...

  4. 78 FR 17272 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-20

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... given that on March 1, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the... 7018, provided that no change is made to the terms of the order with respect to price or side of market...

  5. 78 FR 49578 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-14

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...,\\2\\ notice is hereby given that on August 5, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or... extensive use of exchange-provided routing facilities and pre- and post-market trading sessions, as compared...

  6. 75 FR 18932 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-04-13

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...,\\2\\ notice is hereby given that on March 30, 2010, The NASDAQ Stock Market LLC (``NASDAQ'') filed... the NASDAQ Market Center for securities listed on NASDAQ or the New York Stock Exchange (``NYSE''). As...

  7. 76 FR 27699 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-05-12

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate..., notice is hereby given that on April 28, 2011 The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ... between the inside market and the midpoint for stocks at this price level is likely to be extremely small...

  8. 76 FR 50521 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-15

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to NASDAQ Options Market Rules August 9, 2011...,\\2\\ notice is hereby given that on August 2, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or...

  9. 76 FR 35930 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-06-20

    ...-080] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Order Spread Protection Feature June 14, 2011. Pursuant...\\ notice is hereby given that on June 8, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ...

  10. 78 FR 52994 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-27

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... \\2\\ thereunder, notice is hereby given that on August 16, 2013, The NASDAQ Stock Market LLC (``NASDAQ...-internalization functionality is designed to assist market participants in complying with certain rules and...

  11. 75 FR 12318 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-03-15

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets March 5, 2010... thereunder,\\2\\ notice is hereby given that on March 2, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or...

  12. 75 FR 21069 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-04-22

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center April 16, 2010...,\\2\\ notice is hereby given that on April 13, 2010, The NASDAQ Stock Market LLC (``NASDAQ'') filed...

  13. 75 FR 77034 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-12-10

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Market Maker Quote Management Procedures December 6, 2010...\\ thereunder, notice is hereby given that on December 3, 2010, The NASDAQ Stock Market LLC (``Nasdaq'' or...

  14. 76 FR 55988 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-09-09

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... 19b-4 thereunder,\\2\\ notice is hereby given that, on August 31, 2011, The NASDAQ Stock Market LLC (the... trade, to remove impediments to and perfect the mechanism of a free and open market and a national...

  15. 76 FR 4145 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-01-24

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...\\ notice is hereby given that on January 6, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ... as set forth in NASDAQ Rule 4611(d), NASDAQ's Market Access Rule.\\4\\ On November 3, 2010, the...

  16. 78 FR 19549 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-01

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...\\ notice is hereby given that, on March 15, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange... ``NASDAQ Options Market--Fees and Rebates,'' which governs pricing for NASDAQ members using the NASDAQ...

  17. 75 FR 29596 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-05-26

    ...-2010-059] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center May 19, 2010...,\\2\\ notice is hereby given that on May 14, 2010, The NASDAQ Stock Market LLC (``NASDAQ'') filed with...

  18. 76 FR 37872 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-06-28

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Order Timer June 22, 2011. Pursuant to Section 19(b)(1... given that on June 20, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed with the...

  19. 76 FR 55954 - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-09-09

    ... COMMISSION Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate... thereunder,\\2\\ notice is hereby given that, on August 25, 2011, The NASDAQ Stock Market LLC (the ``Exchange... become active in more stocks and display more shares of liquidity, thereby benefiting other market...

  20. 76 FR 48186 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-08

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...,\\2\\ notice is hereby given that, on July 27, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or... NASDAQ Stock Market and the NASDAQ Options Market. Currently, a member that provides shares of liquidity...

  1. 75 FR 63229 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-10-14

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...\\ notice is hereby given that on October 1, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange... approval to launch NASDAQ OMX PSX (``PSX'') \\3\\ as a new platform for trading NMS stocks (as defined in...

  2. 75 FR 61797 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-10-06

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate..., notice is hereby given that on September 27, 2010, The NASDAQ Stock Market LLC (``Nasdaq'') filed with... connection with the Nasdaq Stock Market. See Securities Exchange Act Release No. 34-61460 (February 1, 2010...

  3. 75 FR 33878 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-06-15

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center June 9, 2010...,\\2\\ notice is hereby given that on June 1, 2010, The NASDAQ Stock Market LLC (``NASDAQ'') filed with...

  4. 78 FR 3480 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-16

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...,\\2\\ notice is hereby given that on January 4, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or... historical latency of the member firm's order messages sent to and from the NASDAQ Market Center (``System...

  5. 76 FR 65306 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-10-20

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... is hereby given that on October 6, 2011, the NASDAQ Stock Market, LLC (``NASDAQ'' or ``Exchange... other listing markets likewise subject to uniform percentage increase or decline stock halt rules. 2...

  6. 77 FR 1542 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-01-10

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center January 4, 2012...,\\2\\ notice is hereby given that on December 28, 2011, The NASDAQ Stock Market LLC (``NASDAQ'') filed...

  7. 76 FR 65311 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-10-20

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...,\\2\\ notice is hereby given that on October 6, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or... provides all routing functions for The NASDAQ Stock Market (``NASDAQ'') as well as, pursuant to recent...

  8. 75 FR 77022 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-12-10

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...,\\2\\ notice is hereby given that on November 24, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or the... for its real time market data. In general, a customer that receives a data feed directly from the...

  9. 78 FR 27466 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-05-10

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... given that on April 24, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the... Trigger Price. For covered securities for which the Exchange is the listing market, the System shall...

  10. 77 FR 4610 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-01-30

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...\\ notice is hereby given that on January 11, 2012, The NASDAQ Stock Market LLC (``Nasdaq'') filed with the... remove impediments to and perfect the mechanism of a free and open market and a national market system...

  11. 77 FR 43618 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule...

    Science.gov (United States)

    2012-07-25

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change... Stock Market LLC (``Nasdaq'' or ``Exchange'') filed with the Securities and Exchange Commission... perfect the mechanism of a free and open market and a national market system and, in general, to protect...

  12. 75 FR 78789 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-12-16

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...,\\2\\ notice is hereby given that on December 9, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or the... impediments to and perfect the mechanism of a free and open market and a national market system, and, in...

  13. 75 FR 9632 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-03-03

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for the NASDAQ Options Market (``NOM'') February 24... 19b-4 thereunder,\\2\\ notice is hereby given that, on January 27, 2010, The NASDAQ Stock Market LLC...

  14. 75 FR 6077 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-02-05

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... is hereby given that on January 29, 2010, The NASDAQ Stock Market LLC (``Nasdaq'' or the ``Exchange... about the destination markets. Such assessments consider factors such as a destination's latency, fill...

  15. 75 FR 43591 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-07-26

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... is hereby given that on June 30, 2010, The NASDAQ Stock Market LLC (``Nasdaq'' or the ``Exchange... mechanism of a free and open market and a national market system, and, in general, to protect investors and...

  16. 76 FR 18280 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Proposed Rule Change, as Modified...

    Science.gov (United States)

    2011-04-01

    ... pilot program. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed... Maker. For the avoidance of doubt, the Exchange reiterates that, as proposed, the full displayed size of... directed order program, a BATS Options Member who notifies a BATS Options Market Maker of its intention to...

  17. 78 FR 42813 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-17

    ... 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...% Quorum Requirement and Add Certain Clarifying Language July 11, 2013. Pursuant to Section 19(b)(1) of...

  18. 78 FR 7824 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2013-02-04

    ... Exchange believes that the categorical nature of the current attestation language is preventing certain... 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...

  19. 77 FR 69528 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-11-19

    ... trading halt or trading suspension, and the Exchange does not believe the ``or otherwise'' language in... 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...

  20. 78 FR 21441 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-10

    ... trading customers as evidenced by the lack of erroneous trades on the Exchange. LRPs also served as the... understands the need for industry-wide responses to address extraordinary volatility events such as the market... expectations. \\11\\ 15 U.S.C. 78f(b). \\12\\ 15 U.S.C. 78f(b)(5). B. Self-Regulatory Organization's Statement...

  1. 75 FR 73144 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-11-29

    ...'') the identity of the firm entering a Directed Order until May 31, 2011. II. Self-Regulatory... change to identify to a DMM the identity of the firm entering a Directed Order. The ISE filed this system... Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an...

  2. 76 FR 65247 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-10-20

    ... herein, the current corporate structure, governance and self-regulatory independence and separation of... Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, Deutsche B rse AG... Statement of the Terms of Substance of the Proposed Rule Change A. Overview of the Proposed Combination...

  3. 77 FR 521 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated and National Stock...

    Science.gov (United States)

    2012-01-05

    ... mechanism to prevent undue influence over NSX's self-regulatory functions. In connection with the ownership... guard against the exercise of undue influence in the selection of ETP Holder directors. \\57\\ See A&R By... against members of NSX obtaining an ownership stake in CBSX that could potentially be used to influence...

  4. 78 FR 19562 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-01

    ...''), and Amazon.com , Inc. (``AMZN''). This is a competitive filing that is based on a proposal recently... Reference Room and also on the Exchange's Internet Web site at http://boxexchange.com . II. Self-Regulatory... Securities Exchange Act Release No. 68771 (January 30, 2013), 78 FR 8208 (February 5, 2013)...

  5. 75 FR 1425 - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-01-11

    ..., the Depository Trust Company (``DTC'') filed with the Securities and Exchange Commission (``Commission... primarily by DTC. DTC filed the proposal pursuant to Section 19(b)(3)(A)(iii) of the Act \\2\\ and Rule 19b-4... proposed rule change is to revise fees for certain DTC services. II. Self-Regulatory...

  6. 76 FR 2430 - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-01-13

    ..., The Depository Trust Company (``DTC'') filed with the Securities and Exchange Commission (``Commission... DTC. DTC filed the proposed rule change pursuant to Section 19(b)(3)(A)(ii) of the Act \\2\\ and Rule... filing is to revise the fees for certain services provided by DTC. II. Self-Regulatory...

  7. 78 FR 26669 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-05-07

    ... physical port and choose the method of connectivity based on their specific needs. B. Self-Regulatory... connectivity, including port fee access, would serve to impair an exchange's ability to compete for order flow...-06,\\4\\ the Exchange adopted an annual fee per physical port utilized by Members and non-Members...

  8. 17 CFR 240.19h-1 - Notice by a self-regulatory organization of proposed admission to or continuance in membership or...

    Science.gov (United States)

    2010-04-01

    ... communication. (ii) The self-regulatory organization finds, after reasonable inquiry, that except for the... Commission under paragraph (d) of this section or other substantially equivalent written communication and... inconsistent with the public interest or the protection of investors; (iii) The disqualification consists of...

  9. 77 FR 67042 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to...

    Science.gov (United States)

    2012-11-08

    ... implementing many of the new statutory core principles for CFTC-registered derivatives clearing organizations...-2011-18. \\8\\ See SR-OCC-2012-06. \\9\\ Derivatives Clearing Organization General Provisions and Core... the exercise, assignment or maturity of cleared contracts. For this reason, OCC will treat all...

  10. 76 FR 9070 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-02-16

    ... data pursuant to the International Standards Organization (``ISO'') 20022 format for the entire... publish corporate actions pursuant to the International Standard Organization (``ISO'') 20022 format. II...'') files. In order to reduce risk and to improve transparency in the announcement and processing...

  11. 78 FR 66405 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting...

    Science.gov (United States)

    2013-11-05

    ... undertakes efforts to build out the system to support the member, and in either instance, the member fails to... organization. See Securities Act Amendments of 1975, Senate Comm. on Banking, Housing & Urban Affairs, S. Rep...

  12. 77 FR 27262 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Science.gov (United States)

    2012-05-09

    ... letter from Jill I. Gross, Director, Edward Pekarek, Assistant Director, and Genavieve Shingle, Student... forum, and by improving the environment for pro bono legal services organizations to help more...

  13. 75 FR 9010 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-02-26

    ... Exchange Rule 124.\\6\\ Specifically, a member or member organization seeking the Referee's review of a Floor... each Floor Official ruling they seek to have reviewed if the Referee upholds the Floor Official...

  14. 75 FR 2905 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-01-19

    ... $.05 per contract fee for equity options that are directed to specialists, Streaming Quote Traders (``SQTs'') \\5\\ and Remote Streaming Quote Traders (``RSQTs'') \\6\\ by a member or member organization and... Provider'' or ``OFP'') \\8\\, and executed electronically on the Exchange's electronic trading platform for...

  15. 78 FR 60348 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-10-01

    ... make changes to its corporate governance documents to accommodate aspects of the proposal that involve... Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange is filing a... the Exchange over a 23-month period. The purpose of the Program is to promote the long-term...

  16. 77 FR 66900 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2012-11-07

    ... potential use of the clearing fund as a source of liquidity should it ever be the case that OCC is unable to... a failure of any bank or securities or commodities clearing organization to perform its obligations... provide a source of liquidity in the event of a default by a clearing member or one of OCC's...

  17. 77 FR 67036 - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2012-11-08

    ... October 18, 2011, the CFTC issued final regulations implementing many of the new statutory core principles... Clearing Organization General Provisions and Core Principles, 76 FR 69334, 69439 (November 8, 2011). OCC's... settlement obligations arising from the exercise, assignment or maturity of cleared contracts. For...

  18. 76 FR 5415 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving...

    Science.gov (United States)

    2011-01-31

    ... Notice of Proposed Rule Change Regarding Rule 4.20--Anti-Money Laundering Compliance Program January 25... amend CBOE Rule 4.20, Anti-Money Laundering Compliance Program, to require all Trading Permit Holders or... or TPH organization's existence to ensure anti-money laundering compliance is in place and...

  19. 77 FR 49046 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-08-15

    ... Corporation (``UTX''), Valero Energy Corporation (``VLO''), Walgreen Co. (``WAG''), Western Digital... Organization's Statement on Burden on Competition The proposed rule change does not impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C....

  20. 77 FR 58897 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2012-09-24

    ... by the Exchange. The Exchange currently requests and receives certain trade data from Trading Permit..., currently includes, when applicable, separate data fields for trade date, order entry time (milliseconds... under Exchange rules regarding the production of books and records, each TPH or TPH organization...

  1. 76 FR 42143 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2011-07-18

    ...\\ strategies; and (iii) firm facilitation transactions.\\8\\ The Subsidy applies to contracts that are executed... qualifying member organizations that participate in that transaction. \\5\\ A dividend strategy is defined as transactions done to achieve a dividend arbitrage involving the purchase, sale and exercise of...

  2. 78 FR 14870 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2013-03-07

    ... Granting Accelerated Approval of Proposed Rule Change Regarding Acceptance of Additional Interest Rate... organization offering interest rate swap (``IRS'') clearing services. More specifically, CME proposes to accept... referencing the respective rate options set forth in amended Rule 90102.E; Overnight Index Swaps...

  3. 77 FR 38866 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2012-06-29

    ...-regulatory organizations (``SROs'') to do so by submitting a single form, fingerprint card and a combined... regularly enhanced the CRD system by adding features and functionality (e.g., work queues, standard reports...). Fingerprint Fees FINRA processes fingerprints submitted by members on behalf of their associated persons...

  4. 78 FR 69491 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-11-19

    ... different classes (with no classes costing more than 1.0). For purposes of ease of organization, the Exchange places classes into different tiers, with all the classes in a certain tier costing the same...-Maker holds any combination of Hybrid classes and Hybrid 3.0 classes, whose aggregate appointment...

  5. 77 FR 19391 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-03-30

    ... NYSE Euronext and Deutsche B rse AG Will Not Become Effective March 26, 2012. Pursuant to Section 19(b... business combination (the ``Combination'') of NYSE Euronext, a Delaware corporation, and Deutsche B rse AG, an Aktiengesellschaft organized under the laws of the Federal Republic of Germany (``Deutsche B...

  6. 77 FR 19400 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-03-30

    ... NYSE Euronext and Deutsche B rse AG Will Not Become Effective March 26, 2012 Pursuant to Section 19(b... business combination (the ``Combination'') of NYSE Euronext, a Delaware corporation, and Deutsche B rse AG, an Aktiengesellschaft organized under the laws of the Federal Republic of Germany (``Deutsche B...

  7. 77 FR 19399 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-03-30

    ... Combination Between NYSE Euronext and Deutsche B rse AG Will Not Become Effective March 26, 2012. Pursuant to... Delaware corporation, and Deutsche B rse AG, an Aktiengesellschaft organized under the laws of the Federal Republic of Germany (``Deutsche B rse''). The Holdco Proposal was conditionally approved by the...

  8. 78 FR 1281 - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2013-01-08

    ... single-name CDS): Replacing standard deviation with mean absolute deviation (MAD) as a measure of credit... appropriate portfolio margining between related index and single-name CDS positions. II. Self-Regulatory... single-name CDS) and (2) provide appropriate portfolio margin treatment between index CDS and...

  9. 77 FR 31057 - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2012-05-24

    ... affiliate relationship between NASDAQ and NOS, its member, raises the issue of an exchange's affiliation... unfair competitive advantage and potential conflicts of interest between an exchange's self-regulatory... Exchange Act Release No. 57478 (March 12, 2008), 73 FR 14521 (March 18, 2008) (SR-NASDAQ-2007-004 and...

  10. 77 FR 31053 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2012-05-24

    ... relationship between PHLX and NOS, its member, raises the issue of an exchange's affiliation with a member of... advantage and potential conflicts of interest between an exchange's self-regulatory obligations and its... Release No. 57478 (March 12, 2008), 73 FR 14521 (March 18, 2008) (SR-NASDAQ-2007-004 and...

  11. 77 FR 77168 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2012-12-31

    ... family member' means a person's spouse, parents, children and siblings, whether by blood, marriage or... change, NASDAQ OMX is adapting concepts already approved by the Commission in its review of the... immediate family member \\8\\ who ] is, or within the last year was, a member of a Self-Regulatory Subsidiary...

  12. 77 FR 77137 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change with...

    Science.gov (United States)

    2012-12-31

    ... family member' means a person's spouse, parents, children and siblings, whether by blood, marriage or... concepts already approved by the Commission in its review of the Independence Policy of the NYSE Euronext... immediate family member \\8\\ who is, or within the last year was, a member of a Self- Regulatory Subsidiary...

  13. 76 FR 18591 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-04-04

    ... subscription amount will bear interest payable to the Company equal to a specified default interest rate, from... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 15 U.S.C. 78a. \\3\\ 17 CFR 240.19b-4. ] I. Self-Regulatory..., therefore, functions in a similar manner as articles of incorporation and by-laws function for a corporation...

  14. 76 FR 77046 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-12-09

    ... Organization''). A Qualifying Member Organization would be a 100% wholly-owned affiliate or subsidiary of a... foreign broker-dealer. In other words, a Qualifying Member Organization must be either a wholly-owned subsidiary of a Phlx member organization or a wholly-owned subsidiary of the parent company of a Phlx...

  15. 78 FR 43947 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-22

    ...-- would give such member organization an unfair advantage over a member organization that had not... it is designed to avoid any unfair advantage a successor member organization could have in the... discriminatory because all member organizations will be able to take advantage of the temporary fee reduction...

  16. 75 FR 66168 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-10-27

    ... charged for both types of active SQF ports in a given month as the member organization transitions from... SQF 6.0 active ports. (If a member organization has more SQF 5.0 than SQF 6.0 active ports, then the member organization would continue to pay for the ``extra'' active SQF 5.0 ports.) This would avoid...

  17. 77 FR 69536 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-19

    ... organization included statements concerning the purpose of, and basis for, the proposed rule change and... Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose On... broker's role as agent and therefore contributes to maintaining a fair and orderly market, during...

  18. 75 FR 47655 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2010-08-06

    ... participants. An organization named EBS provides an electronic trading platform to institutions such as bullion banks and dealers for the trading of spot Bullion, as well as a feed of live streaming prices to Reuters...

  19. 77 FR 25218 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-04-27

    ... materials; and Healthy lifestyle, such as pollution control or organic foods. A company that is not included... delayed delivery basis. Permitted Investments and Investment Limitations Applicable to Huntington US...

  20. 77 FR 32161 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-05-31

    ...,'' such as the European Investment Bank, International Bank for Reconstruction and Development, and the International Finance Corporation, as well as development agencies supported by other national governments. The... International Organization of Securities Commissions (``IOSCO'') Multilateral Memorandum of...

  1. 75 FR 80087 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-12-21

    ... reference to Rule 123C(9), which pertains to alternative procedures in the case of extreme order imbalances... proposal would not require technical programming and/or modification by members or member organizations....

  2. 78 FR 29801 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change to...

    Science.gov (United States)

    2013-05-21

    ..., 2013), 78 FR 25512 (May 1, 2013) (SR-Phlx-2013-24). Currently, the Exchange charges the following fees.../size/pro rata allocation model with a price/time model, and to permit member organizations to...

  3. 77 FR 25003 - Self-Regulatory Organizations; NASDAQ OMX Phlx LLC; Order Approving Proposed Rule Change To Amend...

    Science.gov (United States)

    2012-04-26

    ... organizations. In addition, the language of Rule 613 more closely aligns with the rules of FINRA and NASDAQ...; review and endorsement of customer orders; final approval of advertising or sales literature for use by... as a General Securities Representative. Second, the Exchange proposes to recognize the...

  4. 76 FR 80442 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-12-23

    ... on individuals who are employed by such member organizations and who work on the Exchange's trading... Effectiveness of Proposed Rule Change Relating to Fees for Certain Stock Execution Clerks and the Trading Floor...-Advisor, Division of Trading and Markets, Commission, dated December 16, 2011. The text of the...

  5. 78 FR 42567 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-07-16

    ... of America Corporation (``BAC''), iShares MSCI Emerging Markets Index (``EEM''), SPDR Gold Shares (``GLD''), iShares Russell 2000 Index (``IWM''), Microsoft Corporation (``MSFT''), PowerShares QQQ (``QQQ... or member organization for clearing in the Customer range at The Options Clearing Corporation...

  6. 78 FR 75406 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-12-11

    ... financial institutions. All money market securities acquired by a Fund will be rated investment grade...-income markets or the financial markets generally; operational issues causing dissemination of inaccurate... and other obligations of financial institutions organized or having their principal place of...

  7. 77 FR 24233 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-04-23

    ... AdvisorShares Trust (``Trust''), a statutory trust organized under the laws of the State of Delaware and... Fund will not invest in options contracts, futures contracts, or swap agreements. The Fund's... prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade...

  8. 75 FR 6072 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2010-02-05

    ... January 29, 2010. I. Introduction On August 17, 2009, The NASDAQ Stock Market LLC (``Nasdaq'' or..., Executive Vice President, Biotechnology Industry Organization (``BIO'') to Elizabeth M. Murphy, Secretary... requirement would allow biotechnology companies to regain some stability during daily market fluctuations that...

  9. 78 FR 31619 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 1 and Order...

    Science.gov (United States)

    2013-05-24

    ... organization whose order is being represented, including a Broker/Dealer. \\6\\ See Amendment No. 1, supra note 4... limited risk relative to an outright naked sale of a put or call. The Exchange believes that the best... considered the proposed rule's impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f...

  10. 77 FR 829 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2012-01-06

    ..., China, Colombia, Czech Republic, Egypt, Hungary, India, Indonesia, Korea, Malaysia, Mexico, Morocco... Peru at 4 p.m. E.T. (the next day) as closing prices from Brazil, Chile, Peru and Mexico, including... and employees of member organizations to exercise discretionary power with respect to trading...

  11. 76 FR 79741 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-12-22

    ... circumstances at least 65% of its total assets in a diversified portfolio of Fixed Income Instruments of varying... in a diversified portfolio of Fixed Income Instruments of varying maturities. The Fund will invest...) (``1940 Act'') organized as an open-end investment company or similar entity that invests in a portfolio...

  12. 75 FR 39315 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting...

    Science.gov (United States)

    2010-07-08

    ... organization (``SRO'') markets, as well as internalizing broker-dealers (``BDs'') and various forms of... for BDs to further and exploit this competition by sending their order flow and transaction reports to.... The large number of SROs, TRFs, BDs, and ATSs that currently produce proprietary data or are...

  13. 75 FR 29371 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule...

    Science.gov (United States)

    2010-05-25

    ...-regulatory organization (``SRO'') markets, as well as broker-dealers (``BDs'') and aggregators such as the... attract internalized transaction reports. It is common for BDs to further and exploit this competition by... or BDs to produce jointly proprietary data products. Additionally, non-BDs such as order routers...

  14. 78 FR 73223 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-05

    ... into a combined organization, FINRA. Pursuant to Exchange Act Rule 17d-2, New York Stock Exchange LLC... Exchange or a limited exception for investment analysis tools that is not being adopted. These rules would.... Information concerning the source of any statistical table, chart, graph or other illustration used in the...

  15. 78 FR 33873 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-06-05

    ... trading floor. The Exchange also proposes to make a technical amendment to the Pricing Schedule to... organization. An Inactive Nominee is also assessed the Trading Floor Personnel Registration Fee. Technical... the Proposed Rule Change The Exchange proposes to amend the Permit Fee and certain Options Trading...

  16. 76 FR 30415 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2011-05-25

    ... that underlies an NYSE Amex option, such as the announcement of a merger, acquisition, joint venture... advantage with respect to the proposed proprietary trading activity that could create a potential issue or... offers member organizations no time, place, or information advantage but permits them to more...

  17. 77 FR 47161 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; Order...

    Science.gov (United States)

    2012-08-07

    ...-Regulatory Organizations; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; Order Granting Approval... Creating a New Independence Policy for Boards of Directors of the New York Stock Exchange LLC, NYSE MKT LLC... Stock Exchange LLC (``Exchange''), and on June 8, 2012, NYSE Arca, Inc. (``NYSE Arca''), and NYSE...

  18. 78 FR 59390 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Notice...

    Science.gov (United States)

    2013-09-26

    ...-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Notice of Designation...' Emergency Powers September 20, 2013. On July 22, 2013, the New York Stock Exchange LLC (``NYSE''), NYSE MKT LLC (``NYSE MKT''), and NYSE Arca, Inc. (``NYSE Arca'' and together with NYSE and NYSE MKT,...

  19. 78 FR 11916 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-20

    .... The trading activity of separate Specialist and Market Maker member organizations will be aggregated... operating NOS that are assessed on the Exchange, membership fees at away markets, and technical costs.... For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\\20\\ \\20...

  20. 78 FR 16749 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2013-03-18

    ... trading. While, in theory, the liquidity provided by requiring Market Makers to continue to quote during a... and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and...-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe that the...

  1. 77 FR 46137 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-08-02

    ... round lot (``PRL''). \\6\\ ``RLP'' is defined in NYSE Rule 107C(a)(1) as a member organization that is... securities to which it is assigned as RLP. An RPI may be an odd lot, round lot or a PRL. \\8\\ The...

  2. 78 FR 40237 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-07-03

    ... additional information regarding the terms of an order should reduce confusion and provide for a less...-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in...

  3. 78 FR 21663 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-11

    ... change from the fees and credits currently in effect with respect to orders that access liquidity on... average be less informed about short-term price movements * * * professional ] traders'' \\9\\ with a fee... Organization's Statement on Burden on Competition NASDAQ does not believe that the proposed rule change...

  4. 76 FR 17733 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-03-30

    ... ``SRO'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II, and III below, which Items have been substantially prepared by the SRO. The SRO... Organization's Statement of the Terms of Substance of the Proposed Rule Change The SRO proposes to amend...

  5. 78 FR 51758 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Order...

    Science.gov (United States)

    2013-08-21

    ...-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Order Granting Approval... 14, 2013, each of New York Stock Exchange LLC (``Exchange''), NYSE MKT LLC (``NYSE MKT''), and NYSE... in Belgium, France, the Netherlands, Portugal and the United Kingdom). ICE's common stock is listed...

  6. 75 FR 57090 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc...

    Science.gov (United States)

    2010-09-17

    ... organization. The Exchange also proposes to expand the language in Rule 652 to apply the rule to individuals of the Exchange, specifically officers, directors and employees. The Exchange believes that this language... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND...

  7. 76 FR 69314 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2011-11-08

    ... organization only if such transfer involves one or more of the following events: (i) The dissolution of a joint...; (ii) the dissolution of a corporation or partnership in which a former nominee of that corporation or... would allow the Exchange to permit transfers in situations involving dissolutions of entities or...

  8. 77 FR 19394 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-03-30

    ... Euronext and Deutsche B rse AG Will Not Become Effective March 26, 2012. Pursuant to Section 19(b)(1) \\1... ``Combination'') of NYSE Euronext, a Delaware corporation, and Deutsche B rse AG, an Aktiengesellschaft organized under the laws of the Federal Republic of Germany (``Deutsche B rse''). The Holdco Proposal...

  9. 77 FR 19396 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-03-30

    ... Between NYSE Euronext and Deutsche B rse AG Will Not Become Effective March 26, 2012. Pursuant to Section... business combination (the ``Combination'') of NYSE Euronext, a Delaware corporation, and Deutsche B rse AG, an Aktiengesellschaft organized under the laws of the Federal Republic of Germany (``Deutsche B...

  10. 76 FR 65288 - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-10-20

    ..., and Deutsche B rse AG, an Aktiengesellschaft organized under the laws of the Federal Republic of Germany (``Deutsche B rse''). NYSE Euronext owns 100% of the equity interest of NYSE Group, Inc., a... will be substantially the same as the Proposed Rule Change. Deutsche B rse indirectly owns 50% of...

  11. 76 FR 65272 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-10-20

    ... Euronext, a Delaware corporation, and Deutsche B rse AG, an Aktiengesellschaft organized under the laws of the Federal Republic of Germany (``Deutsche B rse''). NYSE Euronext owns 100% of the equity interest.... Deutsche B rse indirectly owns 50% of the equity interest of International Securities Exchange...

  12. 77 FR 19397 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-03-30

    ... Euronext and Deutsche B rse AG Will Not Become Effective March 26, 2012. Pursuant to Section 19(b)(1) \\1... combination (the ``Combination'') of NYSE Euronext, a Delaware corporation, and Deutsche B rse AG, an Aktiengesellschaft organized under the laws of the Federal Republic of Germany (``Deutsche B rse''). The...

  13. 76 FR 65230 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-10-20

    ... Euronext, a Delaware corporation, and Deutsche B rse AG, an Aktiengesellschaft organized under the laws of the Federal Republic of Germany (``Deutsche B rse''). NYSE Euronext owns 100% of the equity interest.... Deutsche B rse indirectly owns 50% of the equity interest of International Securities Exchange...

  14. Self-regulatory Behaviors and Approaches to Learning of Arts Students: A Comparison Between Professional Training and English Learning.

    Science.gov (United States)

    Tseng, Min-Chen; Chen, Chia-Cheng

    2016-11-17

    This study investigated the self-regulatory behaviors of arts students, namely memory strategy, goal-setting, self-evaluation, seeking assistance, environmental structuring, learning responsibility, and planning and organizing. We also explored approaches to learning, including deep approach (DA) and surface approach (SA), in a comparison between students' professional training and English learning. The participants consisted of 344 arts majors. The Academic Self-Regulation Questionnaire and the Revised Learning Process Questionnaire were adopted to examine students' self-regulatory behaviors and their approaches to learning. The results show that a positive and significant correlation was found in students' self-regulatory behaviors between professional training and English learning. The results indicated that increases in using self-regulatory behaviors in professional training were associated with increases in applying self-regulatory behaviors in learning English. Seeking assistance, self-evaluation, and planning and organizing were significant predictors for learning English. In addition, arts students used the deep approach more often than the surface approach in both their professional training and English learning. A positive correlation was found in DA, whereas a negative correlation was shown in SA between students' self-regulatory behaviors and their approaches to learning. Students with high self-regulation adopted a deep approach, and they applied the surface approach less in professional training and English learning. In addition, a SEM model confirmed that DA had a positive influence; however, SA had a negative influence on self-regulatory behaviors.

  15. 75 FR 63878 - Self-Regulatory Organizations; Self-Regulatory Organizations; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-10-18

    ...\\ of the Fee Schedule, titled Sector Index Options Fees and U.S Dollar-Settled Foreign Currency (``WCO..., FPX, HGX, OSX, SOX, UTY, and XAU (``Sector Index Options'') and U.S. Dollar-Settled Foreign Currency... the Fee Schedule, titled Sector Index Options Fees and U.S Dollar-Settled Foreign Currency...

  16. Mediating role of self-regulatory efficacy on the relationship between punishment certainty, punishment severity and organizational deviance

    Directory of Open Access Journals (Sweden)

    Kabiru Maitama Kura

    2014-04-01

    Full Text Available Employee deviance is prevalent and could have significant consequences to organizations and/or its members. Drawing upon deterrence theory, this study examined the mediating role of self-regulatory efficacy on the relationship between punishment certainty, punishment severity and organizational deviance. The participants were 197 employed postgraduate students who enrolled in the Master of Business Administration programme at two universities located in the north-west geopolitical zone of Nigeria. The model tested suggests that both punishment certainty and punishment severity predict organizational deviance through the influence of self-regulatory efficacy. Results suggest that self-regulatory efficacy partially mediates the relationship between punishment certainty and organizational deviance. Similarly, results suggest that the relationship between punishment severity and organizational deviance was partially mediated by self-regulatory efficacy.

  17. Self-regulatory mechanisms governing gender development.

    Science.gov (United States)

    Bussey, K; Bandura, A

    1992-10-01

    This study tested predictions about development of gender-related thought and action from social cognitive theory. Children at 4 levels of gender constancy were assessed for their gender knowledge, personal gender standards, and gender-linked behavior under different situational conditions. Irrespective of gender constancy level, all children engaged in more same-sex than cross-sex typed behavior. Younger children reacted in a gender stereotypic manner to peers' gender-linked behavior but did not regulate their own behavior on the basis of personal gender standards. Older children exhibited substantial self-regulatory guidance based on personal standards. They expressed anticipatory self-approval for same-sex typed behavior and self-criticism for cross-sex typed behavior. Their anticipatory self-sanctions, in turn, predicted their actual gender-linked behavior. Neither gender knowledge nor gender constancy predicted gender-linked behavior. These results lend support to social cognitive theory that evaluation and regulation of gender-linked conduct shifts developmentally from anticipatory social sanctions to anticipatory self-sanctions rooted in personal standards.

  18. Self-Regulatory Climate: A Positive Attribute of Public Schools

    Science.gov (United States)

    Adams, Curt M.; Ware, Jordan K.; Miskell, Ryan C.; Forsyth, Patrick B.

    2016-01-01

    This study contributes to the development of a positive framework for effective public schools in 2 ways. First, it advances the construct self-regulatory climate as consisting of 3 generative school norms--collective faculty trust in students, collective student trust in teachers, and student-perceived academic emphasis. The authors argue these…

  19. A synthetic biology approach to self-regulatory recombinant protein production in Escherichia coli

    Directory of Open Access Journals (Sweden)

    Dragosits Martin

    2012-03-01

    Full Text Available Abstract Background Recombinant protein production is a process of great industrial interest, with products that range from pharmaceuticals to biofuels. Since high level production of recombinant protein imposes significant stress in the host organism, several methods have been developed over the years to optimize protein production. So far, these trial-and-error techniques have proved laborious and sensitive to process parameters, while there has been no attempt to address the problem by applying Synthetic Biology principles and methods, such as integration of standardized parts in novel synthetic circuits. Results We present a novel self-regulatory protein production system that couples the control of recombinant protein production with a stress-induced, negative feedback mechanism. The synthetic circuit allows the down-regulation of recombinant protein expression through a stress-induced promoter. We used E. coli as the host organism, since it is widely used in recombinant processes. Our results show that the introduction of the self-regulatory circuit increases the soluble/insoluble ratio of recombinant protein at the expense of total protein yield. To further elucidate the dynamics of the system, we developed a computational model that is in agreement with the observed experimental data, and provides insight on the interplay between protein solubility and yield. Conclusion Our work introduces the idea of a self-regulatory circuit for recombinant protein products, and paves the way for processes with reduced external control or monitoring needs. It demonstrates that the library of standard biological parts serves as a valuable resource for initial synthetic blocks that needs to be further refined to be successfully applied in practical problems of biotechnological significance. Finally, the development of a predictive model in conjunction with experimental validation facilitates a better understanding of the underlying dynamics and can be

  20. Personality reflected in a coherent idiosyncratic interplay of intra- and interpersonal self-regulatory processes.

    Science.gov (United States)

    Morf, Carolyn C

    2006-12-01

    This article discusses a framework that conceptualizes personality in terms of a unique pattern of interacting intra- and interpersonal self-regulatory mechanisms employed in the service of constructing and maintaining a desired self. These personal goals motivate the individuals' self-construction efforts and give direction, organization, and coherence to the self-regulatory dynamics--both within the person and in the social world in which they play out. The framework is illustrated through research on construct validation of the narcissistic personality type and extended by brief applications to dependency and rejection sensitivity to show how it may help us understand the complex signatures that are the expressions of a personality type. It offers a guide for where to look for and how to organize the unique features and idiosyncratic dynamics of different self-construction types and to make sense of their otherwise often seemingly paradoxical expressions. In so doing, the framework speaks to basic goals of personality psychology by providing an approach for capturing trait-like individual differences while simultaneously shedding light on the psychological mechanism that underlies them.

  1. The Interaction of Motivation, Self-Regulatory Strategies, and Autonomous Learning Behavior in Different Learner Groups

    Science.gov (United States)

    Kormos, Judit; Csizér, Kata

    2014-01-01

    Autonomous learning and effective self-regulatory strategies are increasingly important in foreign language learning; without these, students might not be able to exploit learning opportunities outside language classrooms. This study investigated the influence of motivational factors and self-regulatory strategies on autonomous learning behavior.…

  2. The Association between Infants' Self-Regulatory Behavior and MAOA Gene Polymorphism

    Science.gov (United States)

    Zhang, Minghao; Chen, Xinyin; Way, Niobe; Yoshikawa, Hirokazu; Deng, Huihua; Ke, Xiaoyan; Yu, Weiwei; Chen, Ping; He, Chuan; Chi, Xia; Lu, Zuhong

    2011-01-01

    Self-regulatory behavior in early childhood is an important characteristic that has considerable implications for the development of adaptive and maladaptive functioning. The present study investigated the relations between a functional polymorphism in the upstream region of monoamine oxidase A gene (MAOA) and self-regulatory behavior in a sample…

  3. Self-regulatory depletion increases emotional reactivity in the amygdala.

    Science.gov (United States)

    Wagner, Dylan D; Heatherton, Todd F

    2013-04-01

    The ability to self-regulate can become impaired when people are required to engage in successive acts of effortful self-control, even when self-control occurs in different domains. Here, we used functional neuroimaging to test whether engaging in effortful inhibition in the cognitive domain would lead to putative dysfunction in the emotional domain. Forty-eight participants viewed images of emotional scenes during functional magnetic resonance imaging in two sessions that were separated by a challenging attention control task that required effortful inhibition (depletion group) or not (control group). Compared to the control group, depleted participants showed increased activity in the left amygdala to negative but not to positive or neutral scenes. Moreover, whereas the control group showed reduced amygdala activity to all scene types (i.e. habituation), the depletion group showed increased amygdala activity relative to their pre-depletion baseline; however this was only significant for negative scenes. Finally, depleted participants showed reduced functional connectivity between the left amygdala and ventromedial prefrontal cortex during negative scene processing. These findings demonstrate that consuming self-regulatory resources leads to an exaggerated neural response to emotional material that appears specific to negatively valenced stimuli and further suggests a failure to recruit top-down prefrontal regions involved in emotion regulation.

  4. Moderating Effect of Self-Regulatory Efficacy on the Relationship between Organizational Formal Controls and Workplace Deviance: A Proposed Framework

    Directory of Open Access Journals (Sweden)

    Kabiru Maitama Kura

    2013-01-01

    Full Text Available Several studies in the field of industrial and organizational psychology (I/O have reported that workplace deviance is related to organization/work variables, such as organizational politics, perceived organizational support, job satisfaction, job stress, and organizational justice among others. However, relatively few studies have attempted to consider the relationship between organizational formal controls and workplace deviance. Even if any, they have reported mixed findings. Hence, a moderating variable is suggested. This paper proposes a moderating role of self-regulatory efficacy on the relationship between organizational formal controls and workplace deviance.

  5. Exploring self-regulatory strategies for eating behaviour in Danish adolescents

    DEFF Research Database (Denmark)

    Nureeva, Liliya; Brunsø, Karen; Lähteenmäki, Liisa

    2016-01-01

    – Focusing on improving adolescents’ self-regulatory skills in the domain of eating behaviour is a promising approach in developing future interventions. Originality/value – The present article explores self-regulatory strategies for eating behaviour in adolescence and discusses their relevance.......Purpose – Healthy eating behaviour in adolescence may be negatively affected by lack of self-regulation. The purpose of this paper is to discuss strategies for regulating eating behaviour as formulated by adolescents themselves. Design/methodology/approach – Self-regulatory strategies were elicited...

  6. Empathic and Self-Regulatory Processes Governing Doping Behavior

    Directory of Open Access Journals (Sweden)

    Ian D. Boardley

    2017-09-01

    Full Text Available Evidence associating doping behavior with moral disengagement (MD has accumulated over recent years. However, to date, research examining links between MD and doping has not considered key theoretically grounded influences and outcomes of MD. As such, there is a need for quantitative research in relevant populations that purposefully examines the explanatory pathways through which MD is thought to operate. Toward this end, the current study examined a conceptually grounded model of doping behavior that incorporated empathy, doping self-regulatory efficacy (SRE, doping MD, anticipated guilt and self-reported doping/doping susceptibility. Participants were specifically recruited to represent four key physical-activity contexts and consisted of team- (n = 195 and individual- (n = 169 sport athletes and hardcore- (n = 125 and corporate- (n = 121 gym exercisers representing both genders (nmale = 371; nfemale = 239; self-reported lifetime prevalence of doping across the sample was 13.6%. Each participant completed questionnaires assessing the aforementioned variables. Structural equation modeling indicated strong support for all study hypotheses. Specifically, we established: (a empathy and doping SRE negatively predicted reported doping; (b the predictive effects of empathy and doping SRE on reported doping were mediated by doping MD and anticipated guilt; (c doping MD positively predicted reported doping; (d the predictive effects of doping MD on reported doping were partially mediated by anticipated guilt. Substituting self-reported doping for doping susceptibility, multisample analyses then demonstrated these predictive effects were largely invariant between males and females and across the four physical-activity contexts represented. These findings extend current knowledge on a number of levels, and in doing so aid our understanding of key psychosocial processes that may govern doping behavior across key physical-activity contexts.

  7. Sociocognitive self-regulatory mechanisms governing judgments of the acceptability and likelihood of sport cheating.

    Science.gov (United States)

    d'Arripe-Longueville, Fabienne; Corrion, Karine; Scoffier, Stéphanie; Roussel, Peggy; Chalabaev, Aïna

    2010-10-01

    This study extends previous psychosocial literature (Bandura et al., 2001, 2003) by examining a structural model of the self-regulatory mechanisms governing the acceptability and likelihood of cheating in a sport context. Male and female adolescents (N = 804), aged 15-20 years, took part in this study. Negative affective self-regulatory efficacy influenced the acceptability and likelihood of cheating through the mediating role of moral disengagement, in females and males. Affective efficacy positively influenced prosocial behavior through moral disengagement or through resistive self-regulatory efficacy and social efficacy, in both groups. The direct effects of affective efficacy on beliefs about cheating were only evident in females. These results extend the findings of Bandura et al. (2001, 2003) to the sport context and suggest that affective and resistive self-regulatory efficacy operate in concert in governing adolescents' moral disengagement and transgressive behaviors in sport.

  8. Individual differences and self-regulatory fatigue: optimism, conscientiousness, and self-consciousness.

    Science.gov (United States)

    Nes, Lise Solberg; Carlson, Charles R; Crofford, Leslie J; de Leeuw, Reny; Segerstrom, Suzanne C

    2011-04-01

    Ability to self-regulate varies and self-regulatory strength is a limited source that can be depleted or fatigued. Research on the impact of individual differences on self-regulatory capacity is still scarce, and this study aimed to examine whether personality factors such as dispositional optimism, conscientiousness, and self-consciousness can impact or buffer self-regulatory fatigue. Participants were patients diagnosed with chronic multi-symptom illnesses (N = 50), or pain free matched controls (N = 50), randomly assigned to either a high or low self-regulation task, followed by a persistence task. Higher optimism predicted longer persistence (p = .04), and there was a trend towards the same effect for conscientiousness (p = .08). The optimism by self-regulation interaction was significant (p = .01), but rather than persisting despite self-regulatory effort, optimists persisted longer only when not experiencing self-regulatory fatigue. The effects of optimism were stronger for controls than patients. There was also a trend towards a similar conscientiousness by self-regulation interaction (p = .06). These results suggest that the well-established positive impact of optimism and conscientiousness on engagement and persistence may be diminished or reversed in the presence of self-regulatory effort or fatigue, adding an important new chapter to the self-regulation, personality, and pain literature.

  9. Time perspective and social preference in older and younger adults: Effects of self-regulatory fatigue.

    Science.gov (United States)

    Segerstrom, Suzanne C; Geiger, Paul J; Combs, Hannah L; Boggero, Ian A

    2016-09-01

    Socioemotional selectivity theory predicts that when perceived time in life is limited, people will prefer emotionally close social partners over less emotionally rewarding partners. Regulating social choices with regard to time perspective can make the best use of time with regard to well-being. However, doing so may depend on the self-regulatory capacity of the individual. Two studies, 1 with younger adults (N = 101) and 1 with younger (N = 42) and older (N = 39) adults, experimentally tested the effects of time perspective and self-regulatory fatigue on preferences for emotionally close partners and knowledgeable partners. In both studies and across younger and older adults, when self-regulatory fatigue was low, the perception of limited time resulted in a greater preference for close social partners relative to knowledgeable social partners. However, this shift was eliminated by self-regulatory fatigue. In Study 2, when fatigued, younger adults preferred close social partners to knowledgeable partners across time perspectives; older adults preferred close and knowledgeable partners more equally across time perspectives. These findings have implications for social decision-making and satisfaction among people who experience chronic self-regulatory fatigue. They also contradict previous suggestions that only younger adults are susceptible to self-regulatory fatigue. (PsycINFO Database Record

  10. Mental imagery interventions reduce subsequent food intake only when self-regulatory resources are available

    Science.gov (United States)

    Missbach, Benjamin; Florack, Arnd; Weissmann, Lukas; König, Jürgen

    2014-01-01

    Research has shown that imagining food consumption leads to food-specific habituation effects. In the present research, we replicated these effects and further examined whether the depletion of self-regulatory resources would reduce the habituation effects of imagined food consumption. Since self-regulatory resources have been shown to reduce habituation effects during the perception of emotional stimuli, we expected a reduction in habituation effects from imagined food consumption when self-regulatory resources were depleted. In Study 1, we replicated habituation effects as a response to imagining gummy bear consumption with a high (36) and medium number (18) of repetitions in a camouflaged taste test. Participants imagining gummy bear intake showed decreased food intake compared with participants who imagined putting a coin into a laundry machine. The number of repetitions did not significantly moderate the observed habituation effect. In Study 2, we investigated whether self-regulatory depletion would impede habituation effects evoked by the imagination of walnut consumption. Participants in a depleted state did not show a reduction in food intake after imagining walnut intake compared with participants in a non-depleted state. We discuss directions for future research and processes that might underlie the observed moderating effect of self-regulatory resources. PMID:25506337

  11. Self-regulatory processes mediate the intention-behavior relation for adherence and exercise behaviors.

    Science.gov (United States)

    de Bruin, Marijn; Sheeran, Paschal; Kok, Gerjo; Hiemstra, Anneke; Prins, Jan M; Hospers, Harm J; van Breukelen, Gerard J P

    2012-11-01

    Understanding the gap between people's intentions and actual health behavior is an important issue in health psychology. Our aim in this study was to investigate whether self-regulatory processes (monitoring goal progress and responding to discrepancies) mediate the intention-behavior relation in relation to HIV medication adherence (Study 1) and intensive exercise behavior (Study 2). In Study 1, questionnaire and electronically monitored adherence data were collected at baseline and 3 months later from patients in the control arm of an HIV-adherence intervention study. In Study 2, questionnaire data was collected at 3 time points 6-weeks apart in a cohort study of physical activity. Complete data at all time points were obtained from 51 HIV-infected patients and 499 intensive exercise participants. Intentions were good predictors of behavior and explained 25 to 30% of the variance. Self-regulatory processes explained an additional 11% (Study 1) and 6% (Study 2) of variance in behavior on top of intentions. Regression and bootstrap analyses revealed at least partial, and possibly full, mediation of the intention-behavior relation by self-regulatory processes. The present studies indicate that self-regulatory processes may explain how intentions drive behavior. Future tests, using different health behaviors and experimental designs, could firmly establish whether self-regulatory processes complement current health behavior theories and should become routine targets for intervention. (PsycINFO Database Record (c) 2012 APA, all rights reserved).

  12. Does Self-Regulatory Efficacy Matter? Effects of Punishment Certainty and Punishment Severity on Organizational Deviance

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    Kabiru Maitama Kura

    2015-06-01

    Full Text Available Extant empirical research has reported conflicting findings with respect to the effects of punishment certainty and punishment severity on organizational deviance, suggesting the need to introduce a moderator. The present study tested whether self-regulatory efficacy matters on the relationships among punishment certainty, punishment severity, and organizational deviance. Drawing on deterrence and self-efficacy theories, this study examined the effects of punishment certainty, punishment severity, and self-regulatory efficacy on organizational deviance among 197 employed postgraduate students who enrolled in the Master of Business Administration program at two large universities located in the north-west geopolitical zone of Nigeria. We used self-administered questionnaires to collect data. Using Partial Least Squares Structural Equation Modeling (PLS-SEM, we found a significant negative relationship between punishment certainty and organizational deviance. Similarly, the results indicated that punishment severity had a significant negative relationship with organizational deviance. The study also found a significant negative relationship between self-regulatory efficacy and organizational deviance. As expected, self-regulatory efficacy was found to moderate the relationship between punishment certainty and organizational deviance. On the contrary, no significant interaction effect was found between self-regulatory efficacy and punishment severity. Implications of the study in the Nigerian context have been discussed.

  13. Sustained attention in infancy as a longitudinal predictor of self-regulatory functions.

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    Johansson, Maria; Marciszko, Carin; Gredebäck, Gustaf; Nyström, Pär; Bohlin, Gunilla

    2015-11-01

    Previous literature suggests that attention processes such as sustained attention would constitute a developmental foundation for the self-regulatory functions executive functioning and effortful control (e.g., Garon, Bryson, & Smith, 2008; Rothbart, Derryberry, & Posner, 1994). Our main aim was to test this hypothesis by studying whether sustained attention at age 1 year can predict individual differences in self-regulatory functions at age 2 years. Longitudinal data from 66 infants and their parents were included in the study. Sustained attention was assessed during free play at age 1 year; executive functioning, measured using an eye-tracking version of the A-not-B task, and effortful control, measured using parental ratings, were assessed at both age 1 and age 2 years. The results did support a longitudinal prediction of individual differences in 2-year-olds' self-regulatory functions as a function of sustained attention at age 1 year. We also found significant improvement in both executive functioning and effortful control over time, and the two self-regulatory constructs were related in toddlerhood but not in infancy. The study helps increase our understanding of the early development of self-regulatory functions necessary for identifying developmental risks and, in the future, for developing new interventions.

  14. It Comes With the Job: Work Organizational, Job Design, and Self-Regulatory Barriers to Improving the Health Status of Train Drivers.

    Science.gov (United States)

    Naweed, Anjum; Chapman, Janine; Allan, Matthew; Trigg, Joshua

    2017-03-01

    This study aimed to examine the impacts of key barriers to improving the occupational health status of Australian train drivers. From May to June, 2015, five semi-structured qualitative focus groups were conducted with 29 train drivers from South Australian, Victorian, and New South Wales-based rail organizations in Australia. Occupational health was impeded by multiple barriers regarding sleep (patterns/fatigue), diet (planning/context), mental health (occupational stress), rostering (low autonomy), sedentary time, low fitness motivation, and family/social life conflicts. Work organizational barriers included communication issues, low organizational support, and existing social norms. Job design barriers included rostering, fatigue, stimulant reliance, and family/social life imbalances. Self-regulatory barriers included dietary and exercise patterns habits and patterns. Occupational health interventions for Australian train drivers must address work organizational, job design, and self-regulatory barriers to healthier lifestyle behaviors.

  15. Self-Regulatory Deficits Associated with Unpracticed Mindfulness Strategies for Coping with Acute Pain.

    Science.gov (United States)

    Evans, Daniel R; Eisenlohr-Moul, Tory A; Button, Daniel F; Baer, Ruth A; Segerstrom, Suzanne C

    2014-01-01

    Training in mindfulness is a well-supported therapeutic strategy for pain conditions, though short-term mindfulness training for acute pain is not always effective. To explore the possibility that initial attempts at mindfulness in people without previous training may drain self-regulatory resources, the current study used a student sample (N=63) to test the hypothesis that brief instruction in mindfulness would lead to reduced pain tolerance on a cold pressor task (CPT), compared to more familiar strategies for coping with acute pain. We also investigated whether high heart rate variability (HRV), a physiological indicator of self-regulatory capacity, would predict pain tolerance. Higher HRV predicted greater pain tolerance only in the control group, suggesting that applying unfamiliar mindfulness strategies while attempting to tolerate pain more rapidly sapped self-regulatory strength.

  16. Academic performance and self-regulatory skills in elite youth soccer players

    NARCIS (Netherlands)

    Jonker, Laura; Elferink-Gemser, Marije T.; Toering, Tynke T.; Lyons, James; Visscher, Chris

    2010-01-01

    Although elite athletes have been reported to be high academic achievers, many elite soccer players struggle with a stereotype of being low academic achievers. The purpose of this study was to compare the academic level (pre-university or pre-vocational) and self-regulatory skills (planning, self-mo

  17. Stress spillover in early marriage: the role of self-regulatory depletion.

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    Buck, April A; Neff, Lisa A

    2012-10-01

    Stressful experiences external to a marriage (e.g., work stress, finances) are often associated with poor relationship functioning and lowered marital satisfaction, a phenomenon called stress spillover. To date, however, little attention has been devoted to understanding the specific mechanisms through which stress may lead to maladaptive relationship patterns. Drawing from theories of self-regulatory depletion, it was predicted that coping with external stress is an effortful process that consumes spouses' regulatory resources, leaving spouses with less energy to effectively respond to their relationship issues. The current study relied on a sample of newly married couples to examine whether self-regulatory depletion may account for the link between external stress and relationship well-being. Couples were asked to complete a 14-day daily diary that assessed their daily stress, their state of self-regulatory depletion, their marital behaviors, and their daily marital appraisals. Within-person analyses revealed that, on average, couples experienced stress spillover, such that on days when their stress was higher than usual they reported enacting more negative behaviors toward their partner and endorsed less positive appraisals of the relationship. Further analyses confirmed that self-regulatory depletion accounted for a majority of these spillover effects. These findings suggest that even happy couples may find it difficult to engage in adaptive relationship processes under conditions of stress.

  18. Self-Regulatory Training for Helping Students with Special Needs to Learn Mathematics

    Science.gov (United States)

    Kang, Yanrong

    2010-01-01

    Previous research suggests that self-regulation interventions are effective in improving students' self-regulatory skill and school performance in a wide variety of educational domains. Inspired by social cognitive theory (Schunk & Zimmerman, 1997) and goal setting theory (Locke & Latham, 1990), I designed, implemented, and examined the beneficial…

  19. The Effect of Blog Use on Self-Regulatory Learning of Prospective German Language Teachers

    Science.gov (United States)

    Seyhan Yucel, Mukadder

    2013-01-01

    The purpose of the study was to examine the effect of blog use on self-regulatory learning of prospective German language teachers. The study is semi-experimental. Pretest-posttest, experiment control model was used. Blog activities were conducted as extensive beyond classroom activities only for the experiment group. As the data collection tool…

  20. Motivational and Affective Determinants of Self-Regulatory Strategy Use in Elementary School Mathematics

    Science.gov (United States)

    Chatzistamatiou, Mariza; Dermitzaki, Irini; Efklides, Anastasia; Leondari, Angeliki

    2015-01-01

    The aim of the study was to investigate the relationships between elementary students' reported use of self-regulatory strategies in mathematics and their motivational and affective determinants. Participants of the study were 344 fifth- and sixth-grade Greek students. Students were asked to complete self-reported measures regarding the strategies…