WorldWideScience

Sample records for notice 95-4 regulatory

  1. 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....

  2. 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...

  3. 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...

  4. 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...

  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 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  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. 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...

  17. 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...

  18. 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...

  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. 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,...

  4. 76 FR 59066 - Notice of Regulatory Review Plan

    Science.gov (United States)

    2011-09-23

    ...; ] FEDERAL HOUSING FINANCE AGENCY 12 CFR Chapter XII Notice of Regulatory Review Plan AGENCY: Federal Housing...) is issuing a notice of and requesting comments on the FHFA interim regulatory review plan for review.... Comments FHFA invites comments on all aspects of the interim regulatory review plan, including legal...

  5. 45 CFR 95.4 - Definitions.

    Science.gov (United States)

    2010-10-01

    ... ASSISTANCE, MEDICAL ASSISTANCE AND STATE CHILDREN'S HEALTH INSURANCE PROGRAMS) Time Limits for States To File..., our, and us refer to HHS'sCenters for Medicare & Medicaid Services, Office of Child Support... 45 Public Welfare 1 2010-10-01 2010-10-01 false Definitions. 95.4 Section 95.4 Public Welfare...

  6. 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''...

  7. 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'')...

  8. 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...

  9. 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'')...

  10. 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...

  11. 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,...

  12. 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....

  13. 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''...

  14. 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...

  15. 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''...

  16. 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''...

  17. 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''...

  18. 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''...

  19. 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'')...

  20. 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...

  1. 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''...

  2. 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...

  3. 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...

  4. 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,...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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,...

  11. 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,...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 76 FR 67236 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-10-31

    ... been approved by a bankruptcy court), while other transactions must be reported to FINRA for regulatory.... Additionally, members must provide FINRA at least three business days advance written notice of their intent to... least three business days advance written notice of their intent to rely on this exception, including...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 77 FR 34379 - Notice of Joint Meeting of the Nuclear Regulatory Commission and the Federal Energy Regulatory...

    Science.gov (United States)

    2012-06-11

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF ENERGY Federal Energy Regulatory Commission Notice of Joint Meeting of the Nuclear Regulatory Commission and the Federal Energy Regulatory Commission The Federal Energy Regulatory Commission (FERC) and the Nuclear Regulatory...

  9. 76 FR 43360 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-07-20

    ... clearing services using a margin methodology approved by FINRA as announced in a Regulatory Notice (``approved margin methodology''). The Interim Pilot Program shall automatically expire on January 17, 2012... otherwise meet such definition but for being subject to individual negotiation,] include any product that...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 22 CFR 95.4 - Review and construction.

    Science.gov (United States)

    2010-04-01

    ..., pursuant to section 2242(d) of the Foreign Affairs Reform and Restructuring Act of 1998, P.L. 105-277... 22 Foreign Relations 1 2010-04-01 2010-04-01 false Review and construction. 95.4 Section 95.4 Foreign Relations DEPARTMENT OF STATE LEGAL AND RELATED SERVICES IMPLEMENTATION OF TORTURE CONVENTION IN...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 78 FR 61999 - Hydropower Regulatory Efficiency Act of 2013; Supplemental Notice of Workshop

    Science.gov (United States)

    2013-10-10

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF ENERGY Federal Energy Regulatory Commission Hydropower Regulatory Efficiency Act of 2013; Supplemental Notice of Workshop As announced in the Notices issued on September 3, 2013 and September 18, 2013, the Federal Energy...

  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. 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...

  6. 78 FR 58535 - Hydropower Regulatory Efficiency Act of 2013; Supplemental Notice of Workshop

    Science.gov (United States)

    2013-09-24

    ... Energy Regulatory Commission Hydropower Regulatory Efficiency Act of 2013; Supplemental Notice of... two-year process for the issuance of a license for hydropower development at non-powered dams and closed-loop pumped storage projects in compliance with section 6 of the Hydropower Regulatory Efficiency...

  7. 78 FR 55251 - Hydropower Regulatory Efficiency Act of 2013; Notice of Workshop

    Science.gov (United States)

    2013-09-10

    ... Energy Regulatory Commission Hydropower Regulatory Efficiency Act of 2013; Notice of Workshop The Federal... process for the issuance of a license for hydropower development at non-powered dams and closed-loop pumped storage projects in compliance with section 6 of the Hydropower Regulatory Efficiency Act of 2013...

  8. 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...

  9. 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...

  10. 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'')...

  11. 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''...

  12. 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....

  13. 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''...

  14. 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....

  15. 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'')...

  16. 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'')...

  17. 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'')...

  18. 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'')...

  19. 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''...

  20. 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....

  1. 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'')...

  2. 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...

  3. 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'')...

  4. 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...

  5. 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''...

  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. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 75 FR 20868 - Notice of Issuance of Regulatory Guide

    Science.gov (United States)

    2010-04-21

    ... Issuance and Availability of Regulatory Guide 1.68.2, Revision 2, ``Initial Startup Test Program to... review of applications for permits and licenses. Revision 2 of Regulatory Guide 1.68.2, ``Initial Startup... Regulatory Guide 1.68.2, Revision 2 are available through the NRC's public Web site under ``Regulatory...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 76 FR 8674 - Notice of a Public Meeting: Environmental Justice Considerations for Drinking Water Regulatory...

    Science.gov (United States)

    2011-02-15

    ... AGENCY 40 CFR Part 1 Notice of a Public Meeting: Environmental Justice Considerations for Drinking Water... the drinking water Contaminant Candidate List 3. EPA recently announced its intentions to develop drinking water regulatory actions for perchlorate and carcinogenic volatile organic compounds (VOCs)....

  9. 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)...

  10. 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...

  11. 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...

  12. 78 FR 19552 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-04-01

    ...''), SPDR Gold Trust (``GLD''), Google Inc. (``GOOG'') and Amazon.com Inc. (``AMZN'').\\5\\ Mini-options... change is available on the Exchange's Web site ( http://www.cboe.com/AboutCBOE/CBOELegalRegulatoryHome... (January 15, 2013), 78 FR 4526 (January 22, 2013) (Notice of Filing and Immediate Effectiveness of...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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,...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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,...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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,...

  10. 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...

  11. 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...

  12. 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...

  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. 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....

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 76 FR 38212 - Notice of Issuance of Regulatory Guide

    Science.gov (United States)

    2011-06-29

    ... Issuance and Availability of Revision 1 of Regulatory Guide (RG) 1.179, ``Standard Format ] and Content of..., ``Standard Format and Content of License Termination Plans for Nuclear Power Reactors,'' was issued with...

  9. 76 FR 59759 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-09-27

    ... associated with FINRA members have attained specified levels of competence and knowledge, consistent with... rulebook consolidation process, see Information Notice, March 12, 2008 (Rulebook Consolidation Process... Kingdom Securities Representative. The revised content outline also includes a knowledge section...

  10. 75 FR 53362 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-08-31

    .... For more information about the rulebook consolidation process, see FINRA Information Notice, March 12, 2008 (Rulebook Consolidation Process). \\5\\ For convenience, the proposed rule change refers to... in outside business activities without the firm's prior knowledge. Potential investor harm could...

  11. 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...

  12. 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...

  13. 78 FR 62322 - Hydropower Regulatory Efficiency Act of 2013; Notice of Rescheduled Two-Year Licensing Process...

    Science.gov (United States)

    2013-10-16

    ... Energy Regulatory Commission Hydropower Regulatory Efficiency Act of 2013; Notice of Rescheduled Two-Year... issuance of a license for hydropower development at non-powered dams and closed-loop pumped storage projects in compliance with section 6 of the Hydropower Regulatory Efficiency Act of 2013. The workshop...

  14. 76 FR 59751 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-09-27

    ... associated with FINRA members have attained specified levels of competence and knowledge, consistent with... a more limited application by their terms. For more information about the rulebook consolidation process, see Information Notice, March 12, 2008 (Rulebook Consolidation Process). For convenience, the...

  15. 78 FR 64566 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2013-10-29

    ... knowledge, consistent with applicable registration requirements under FINRA rules. FINRA periodically... application by their terms. For more information about the rulebook consolidation process, see Information Notice, March 12, 2008 (Rulebook Consolidation Process). \\10\\ See also Incorporated NYSE Rule 345.15(3...

  16. 76 FR 59761 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-09-27

    ... associated with FINRA members have attained specified levels of competence and knowledge, consistent with... rulebook consolidation process, see Information Notice, March 12, 2008 (Rulebook Consolidation Process... questions that assess knowledge of options since individuals wishing to sit for the Series 37 examination...

  17. 76 FR 59757 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-09-27

    ... associated with FINRA members have attained specified levels of competence and knowledge, consistent with... rulebook consolidation process, see Information Notice, March 12, 2008 (Rulebook Consolidation Process... Series 37 examination, the Series 38 examination does not include test questions that assess knowledge of...

  18. 77 FR 1773 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2012-01-11

    ... under the Fair Labor Standards Act (FLSA), the Age Discrimination in Employment Act (ADEA), or the Equal.... Department of Labor, ``What does the Fair Labor Standards Act require?,'' elaws--Fair Labor Standards Act... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on...

  19. 75 FR 60843 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-10-01

    ... Commission, by the Division of Trading and Markets, pursuant to delegated authority.\\9\\ Florence E. Harmon... reporting facilities and sets forth guidance on the use of the price-override indicator in trade reports... the FINRA Facilities. Additionally, the Notice advises members that the price-override indicator...

  20. 75 FR 47863 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-08-09

    ...) and quarterly statistical and summary information regarding written customer complaints. FINRA uses...)) and quarterly statistical and summary information regarding written customer complaints (FINRA Rule... liable for the aggregate amount); \\7\\ \\7\\ See Notice to Members 96-85 (December 1996) (Customer...

  1. 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...

  2. 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...

  3. 78 FR 62831 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2013-10-22

    ..., Secretary, SEC, dated July 25, 2013 (``Brandenburger''); Steve Putnam, Financial Advisor, Raymond James Financial Services, to Elizabeth M. Murphy, Secretary, SEC, dated July 25, 2013 (``Putnam''); Nina.... Murphy, Secretary, SEC, dated July 29, 2013 (``Sweeney''); Robert J. McCarthy, Director of Regulatory...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  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 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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'')...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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''...

  6. 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'')...

  7. 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...

  8. 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...

  9. 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...

  10. 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'')...

  11. 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...

  12. 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'')...

  13. 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...

  14. 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...

  15. 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'')...

  16. 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'')...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  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. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  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. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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,...

  14. 75 FR 57998 - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of...

    Science.gov (United States)

    2010-09-23

    ...., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International... notice to the other party, except as provided in paragraph 4. 13. Arbitration. In the event of a dispute... dispute shall be settled by arbitration in Washington, DC in accordance with the rules of the American...

  15. 75 FR 18920 - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of...

    Science.gov (United States)

    2010-04-13

    ... Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International... notice to the other party, except as provided in paragraph 4. 13. Arbitration. In the event of a dispute... dispute shall be settled by arbitration in Washington, DC, in accordance with the rules of the American...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 75 FR 18556 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-04-12

    ... Exchange Commission (the ``Commission'') the proposed rule change as described in Items I, II, and III...://www.nyse.com , at the Exchange's principal office and at the Commission's Public Reference Room. II... calculus subject to the submission of a subsequent filing to the Commission and upon notice via Regulatory...

  1. 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...

  2. 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...

  3. 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'')...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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....

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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....

  17. 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...

  18. 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...

  19. 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....

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  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. 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,...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 75 FR 62153 - Notice of the Nuclear Regulatory Commission Issuance of Materials License SUA-1596 for Uranium...

    Science.gov (United States)

    2010-10-07

    ... COMMISSION Notice of the Nuclear Regulatory Commission Issuance of Materials License SUA-1596 for Uranium One... Commission (NRC) has issued a license to Uranium One Americas, Inc. (Uranium One) for its Moore Ranch uranium... Uranium One to operate its facility as proposed in its license application, as amended, and to...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  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. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 75 FR 20016 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc...

    Science.gov (United States)

    2010-04-16

    ... notice to solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1... appropriate because quoting has become entirely electronic; most Streaming Quote Traders (``SQTs'') and Remote.... \\14\\ See letter from Charles Rogers, Chief Regulatory Officer, Phlx, to Tina Barry, Office of...

  11. 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...

  12. 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...

  13. 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...

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

    Science.gov (United States)

    2011-02-10

    ... that CBOE's internal auditor conduct an audit relating to those functions. These changes are in... Regulatory Oversight Committee shall meet regularly with CBOE's internal auditor regarding regulatory...' independent auditor, (ii) CBOE Holdings' financial statements and disclosure matters, (iii) CBOE...

  15. 77 FR 69522 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-11-19

    ... Delivery participants. This is because the Exchange expends an increased regulatory focus over a new Order... Exchange. Order Delivery Mode imposes on the Exchange greater regulatory and operational costs than Auto-Ex... existing Order Delivery participants, because the Exchange expends an increased regulatory focus over a...

  16. 77 FR 39302 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-07-02

    ... designed to manage the financial, regulatory and other risks of this business activity. These controls... certain regulatory risk management controls that, among other things, prevent the entry of orders unless... have been pre- approved and authorized by the broker-dealer. These regulatory risk management...

  17. 77 FR 61449 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-10-09

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

  18. 77 FR 39300 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-07-02

    ... designed to manage the financial, regulatory and other risks of this business activity. These controls... certain regulatory risk management controls that, among other things, prevent the entry of orders unless... have been pre- approved and authorized by the broker-dealer. These regulatory risk management...

  19. 77 FR 61463 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-10-09

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

  20. 78 FR 3960 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of...

    Science.gov (United States)

    2013-01-17

    ... Advance Notice NSCC proposes to modify its Rules & Procedures (``Rules'') to eliminate the offset of NSCC... Advance Notice To Eliminate the Offset of Its Obligations With Institutional Delivery Transactions That... XV of Its Rules & Procedures January 10, 2013. Pursuant to Section 806(e)(1) of the Payment,...

  1. 76 FR 1205 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-01-07

    ... (April 7, 2010), 75 FR 19449 (April 14, 2010) (SR-ISE-2010-25)(notice of filing and immediate... Exchange Act Release No. 61987 (April 27, 2010), 75 FR 24771 (May 5, 2010) (SR-C2-2010-001)(notice of... any new fees. \\14\\ See Securities Exchange Act Release No. 57253 (February 1, 2008), 73 FR...

  2. 76 FR 13243 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-03-10

    ... Release No. 61869 (April 7, 2010), 75 FR 19449 (April 14, 2010) (SR-ISE-2010-25) (notice of filing and... month); Securities Exchange Act Release No. 61987 (April 27, 2010), 75 FR 24771 (May 5, 2010) (SR-C2...), 73 FR 7352 (February 7, 2008) (SR-Phlx-2008-08) (notice of filing and immediate effectiveness...

  3. 76 FR 44388 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-07-25

    ...), 75 FR 47335 (August 5, 2010) (SR-BATS-2010-020) (notice of filing and immediate effectiveness...), 76 FR 8793 (February 15, 2011) (SR-Phlx-2010-183) (order granting approval of expansion of short term... Exchange Act Release Nos. 64009 (March 2, 2011), 76 FR 12771 (March 8, 2011) (SR-BX-2011-014) (notice...

  4. 76 FR 18818 - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-04-05

    ...\\ notice is hereby given that on March 18, 2011, CBOE Futures Exchange, LLC. (``CFE'' or ``Exchange... described in Items I, II, and III below, which Items have been prepared by CFE. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. CFE also filed...

  5. 78 FR 36284 - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-06-17

    ...\\ notice is hereby given that on May 31, 2013, CBOE Futures Exchange, LLC (``CFE'' or ``Exchange'') filed... described in Items I, II, and III below, which Items have been prepared by CFE. The Commission is publishing this notice to solicit comments on the proposed rule ] change from interested persons. CFE also has...

  6. 76 FR 58553 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-09-21

    ... effectively communicate the impact of the cancellation fee changes to some Participants. 2. Statutory Basis... effectively received actual notice of the recent changes to those fees. Depending on the nature of the order...

  7. 78 FR 16895 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-03-19

    ...''), Google Inc. (``GOOG'') and Amazon.com Inc. (``AMZN'').\\3\\ Mini-option trading is expected to commence in..., 2013), 78 FR 4526 (January 22, 2013) (Notice of Filing and Immediate Effectiveness of a Proposed...

  8. 76 FR 79725 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-12-22

    ... section to the Deposits Guide detailing its Paperless Legal Transfer Program.\\6\\ \\6\\ For more information regarding DTC's Paperless Legal Transfer Program, see Important Notices B 6931 (September 29, 2004), B...

  9. 78 FR 31616 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Extension of...

    Science.gov (United States)

    2013-05-24

    ... Advance Notice, as Modified by Amendment No. 1, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources To Meet Its Liquidity Needs May 20, 2013. On...

  10. 78 FR 62728 - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-22

    ... responsibilities. Therefore, the Series 14 measures the knowledge and skills related to the position of a... provide direction to Participant Firms designing their supervisory systems and reinforce the importance of... regulatory, compliance and sales practice matters in the industry. Currently, there are two Regulatory...

  11. 76 FR 67011 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-10-28

    ... Effectiveness of Proposed Rule Change To Amend Rules To Reflect the Change in Regulatory Status of Eris Exchange... with its clearing of contracts listed by the Eris Exchange, LLC (``Eris'') to reflect the pending change in regulatory status of Eris from an ``EBOT'' to a designated contract market. CME is also at...

  12. 78 FR 47457 - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-08-05

    ... may apply to Market Makers including marketing fees, Options Regulatory Fees, market data, and... Makers including marketing fees, Options Regulatory Fees, market data, and membership application fees. B... consistent with the above-mentioned goals of the Act. This is especially true for the smaller options...

  13. 77 FR 48491 - Regulatory New Drug Review: Solutions for Study Data Exchange Standards; Notice of Meeting...

    Science.gov (United States)

    2012-08-14

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF HEALTH AND HUMAN SERVICES Food and Drug Administration 21 CFR Chapter I Regulatory New Drug Review: Solutions for... Administration (FDA) is announcing a meeting entitled ``Regulatory New Drug Review: Solutions for Study...

  14. 77 FR 57055 - Regulatory New Drug Review: Solutions for Study Data Exchange Standards; Notice of Meeting...

    Science.gov (United States)

    2012-09-17

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF HEALTH AND HUMAN SERVICES Food and Drug Administration 21 CFR Chapter I Regulatory New Drug Review: Solutions for..., 2012 (77 FR 48491). The document announced a meeting entitled ``Regulatory New Drug Review:...

  15. 78 FR 25496 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of...

    Science.gov (United States)

    2013-05-01

    ... certain risk management regulatory standards related to, among other things, maintaining adequate... proportion to the liquidity risk (or peak exposure) they present to NSCC. Regulatory Background As both a CCP and a designated SFMU, NSCC adheres to strict risk management processes that are regularly...

  16. 76 FR 63977 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-10-14

    ... of Proposed Rule Change To Extend the Pilot Period of the Inbound Router, as Described in Rule 2.12... Effectiveness of Proposed Rule Change To Adopt BATS Rule 2.12, Entitled ``BATS Trading, Inc. as Inbound Router'' and To Make Related Changes) (the ``Inbound Router Notice''). 2. Statutory Basis The Exchange...

  17. 75 FR 4896 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of...

    Science.gov (United States)

    2010-01-29

    ... Proposed Rule Change To Eliminate Guarantee of Payment in Connection With the Envelope Settlement Service... change is to make modifications to NSCC's Rules & Procedures (``Rules'') to eliminate NSCC's guarantee of... Rule 19b-4 thereunder \\2\\ notice is hereby given that on January 4, 2010, the National...

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

    Science.gov (United States)

    2012-06-22

    ... Immediate Effectiveness of Proposed Rule Change To Eliminate the Rules and Fees Related to the Second Market... Exchange proposes to eliminate the rules and fees related to the listing and trading of low-volume options...\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on June 6, 2012, the...

  19. 78 FR 21433 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection...

    Science.gov (United States)

    2013-04-10

    ... permit it to make rule changes to its Rules & Procedures (``Rules'') designed to eliminate the offset of... Rule Change to Eliminate the Offset of Obligations with Institutional Delivery Transactions that Settle... Advance Notice Filing to Eliminate the Offset of Its Obligations With Institutional Delivery...

  20. 76 FR 62126 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-10-06

    ... Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain... Statement of the Terms of Substance of the Proposed Rule Change CHX proposes to amend its rules to eliminate... waiver will allow the Exchange to implement the change right away. The proposed rule change...

  1. 77 FR 62300 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-10-12

    ... Immediate Effectiveness of Proposed Rule Change To Adopt a Pilot Program To Eliminate Position and Exercise... proposes to amend its rules to eliminate position and exercise limits for physically-settled options on the... 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on September 27, 2012,...

  2. 78 FR 17259 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-03-20

    ...'') and Amazon.com Inc. (``AMZN''). The Exchange notes that any expansion of the program would require....com/filter/wotitle/rule_filing , at MIAX's principal office, and at the Commission's Public Reference... (September 28, 2012), 77 FR 60735 (October 4, 2012) (Notice of Filing of Amendments No. 1 and Order...

  3. 78 FR 17741 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-22

    ... Amazon.com , Inc. (``AMZN''). Of the five securities on which Mini Options are permitted, four of them... Commission's Public Reference Room and also on the Exchange's Internet Web site at http://boxexchange.com... Release No. 68771 (January 30, 2013), 78 FR 8208 (February 5, 2013) (Notice of Filing and...

  4. 78 FR 4526 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-01-22

    ...'') and Amazon.com Inc. (``AMZN''). The Exchange notes that any expansion of the program would require... No. 67948 (September 28, 2012) 77 FR 60735 (October 4, 2012) (Notice of Filing of Amendments No. 1... FR at 60737. The Exchange's rules that apply to the trading of standard options would apply to...

  5. 78 FR 62719 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance...

    Science.gov (United States)

    2013-10-22

    ... as a systemically important financial market utility by the Financial Stability Oversight Council on July 18, 2012. See Financial Stability Oversight Council 2012 Annual Report, Appendix A, http://www...(n)(1)(i). I. Clearing Agency's Statement of the Terms of Substance of the Advance Notice...

  6. 75 FR 51128 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Science.gov (United States)

    2010-08-18

    ... Exchange Act Release No. 61110 (December 3, 2009), 74 FR 65573 (December 10, 2009) (``Commission's Notice... rule change, the Commission notes that it has considered the proposed rule's impact on efficiency... investors to achieve diversification without making large investments. The MSRB further stated that...

  7. 75 FR 2570 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-01-15

    ... (``Act''),\\1\\ notice is hereby given that on December 23, 2009, The Depository Trust Company (``DTC... Items I, II, and III below, which items have been prepared primarily by DTC. DTC filed the proposal... Substance of the Proposed Rule Change The proposed rule change would amend DTC's rules to modify...

  8. 78 FR 30382 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-05-22

    ... exchanges, and cash conversions. See Release No. 34-62119 (May 18, 2010), 75 FR 29374 (May 25, 2010) (for...,\\2\\ notice is hereby given that on May 3, 2013, The Depository Trust Company (``DTC'') filed with the... III below, which Items have been prepared primarily by DTC. DTC filed the proposed rule...

  9. 75 FR 29374 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-05-25

    ...\\ notice is hereby given that on April 29, 2010, The Depository Trust Company (``DTC'') filed with the... III below, which Items have been prepared primarily by DTC. DTC filed the proposal pursuant to Section... Substance of the Proposed Rule Change The purpose of the proposed rule change is to revise DTC's...

  10. 77 FR 49048 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-08-15

    ... information about the DWAC service, see Securities Exchange Act Release No. 29952 (November 18, 1991) 56 FR...\\ notice is hereby given that on June 30, 2012, The Depository Trust Company (``DTC'') filed with the... below, which Items have been prepared primarily by DTC. DTC filed the proposal pursuant to Section...

  11. 75 FR 54680 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-09-08

    ... Effectiveness of Proposed Rule Change To Amend Rules Relating to Authority To Suspend or Waive DTC Rules and...\\ notice is hereby given that on August 23, 2010, The Depository Trust Company (``DTC'') filed with the... III below, which items have been prepared primarily by DTC.\\2\\ DTC filed the proposed rule...

  12. 77 FR 315 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-01-04

    ..., notice is hereby given that on December 15, 2011, The Depository Trust Company (``DTC'') filed with the..., which Items have been prepared primarily by DTC. DTC filed the proposed rule change pursuant to Section... Statutory Basis for, the Proposed Rule Change In its filing with the Commission, DTC included...

  13. 76 FR 10628 - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-02-25

    .... Securities Exchange Act Release No. 61922 (Apr. 15, 2010), 75 FR 21072 (Apr. 22, 2010). Also in 2010, DTC... Release No. 63415 (Dec. 2, 2010), 75 FR 76506 (Dec. 8, 2010). DTC states that the proposed rule change is...''),\\1\\ notice is hereby given that on February 7, 2011, The Depository Trust Company (``DTC'')...

  14. 75 FR 68013 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-11-04

    ... (``Act''),\\1\\ notice is hereby given that on October 18, 2010, The Depository Trust Company (``DTC... Items I and II below, which items have been prepared primarily by DTC.\\2\\ DTC filed the proposed rule... text of the proposed rule change is attached as Exhibit 5 to DTC's filing, which is available at...

  15. 77 FR 7621 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-02-13

    ... with an additional daily cost of carry/interest payment feature (``Cost of Carry Payment'') reflecting the difference between the overnight lease rate for gold and the overnight interest rate for the U.S... this notice to solicit comments on the rule change from interested parties. \\1\\ 15 U.S.C. 78s(b)(1)....

  16. 76 FR 18816 - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-04-05

    ... is hereby given that on March 18, 2011, CBOE Futures Exchange, LLC. (``CFE'' or ``Exchange'') filed... described in Items I, II, and III below, which Items have been prepared by CFE. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. CFE also filed...

  17. 78 FR 66790 - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-06

    ... Exchange, LLC (``CFE'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or... prepared by CFE. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. CFE also has filed this proposed rule change with the Commodity Futures...

  18. 78 FR 8207 - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-02-05

    ... January 17, 2013 CBOE Futures Exchange, LLC (``CFE'' or ``Exchange'') filed with the Securities and... below, which Items have been prepared by CFE. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. CFE also has filed this proposed rule change...

  19. 78 FR 62817 - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-22

    ..., 2013, CBOE Futures Exchange, LLC (``CFE'' or ``Exchange'') filed with the Securities and Exchange..., which Items have been prepared by CFE. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. CFE also has filed this proposed rule change with...

  20. 77 FR 65747 - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-10-30

    ... is hereby given that on October 17, 2012, CBOE Futures Exchange, LLC (``CFE'' or ``Exchange'') filed... described in Items I, II, and III below, which Items have been prepared by CFE. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. CFE also has filed...

  1. 78 FR 3949 - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-17

    ..., 2013, CBOE Futures Exchange, LLC (``CFE'' or ``Exchange'') filed with the Securities and Exchange... Items have been prepared by CFE. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. CFE also has filed this proposed rule change with the...

  2. 75 FR 63231 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-10-14

    ... Options Floor Procedure Advice (``Advice'') A-11, which contains corresponding language. The Exchange... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that...

  3. 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...

  4. 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.)...

  5. 78 FR 20362 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-04-04

    ... the Exchange's Strategy Caps,\\21\\ making the Exchange's proposal to count Minis fees towards the... a Mini, the cost to the Exchange to process quotes and orders in Minis, perform regulatory... process quotes, orders and trades in Minis is the same as for standard options. This, coupled with the...

  6. 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...

  7. 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...

  8. 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...

  9. 77 FR 29718 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-05-18

    ... exchange, be operated by BOX Market LLC as a facility of the Exchange. As such, the operation and... determinations will be made pursuant to procedures of BOX Market Operations Center with regulatory oversight... perfect the mechanism for a free and open market and a national market system, and, in general, to...

  10. 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...

  11. 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...

  12. 77 FR 74533 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-12-14

    ... the full or partial quantity of an inbound contra-side order that potentially may be matched within... of recouping costs associated with regulating the marketplace and the Order Delivery program. The... necessary to equitably allocate regulatory costs among Order Delivery participants. The Exchange will...

  13. 78 FR 70954 - Transport Format for the Submission of Regulatory Study Data; Notice of Pilot Project

    Science.gov (United States)

    2013-11-27

    ... CDISC Operational Data Model, which is a vendor neutral, platform-independent format for the exchange... HUMAN SERVICES Food and Drug Administration Transport Format for the Submission of Regulatory Study Data... for Drug Evaluation and Research (CDER) and the Center for Biologics Evaluation and Research (CBER) in...

  14. 75 FR 70759 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and...

    Science.gov (United States)

    2010-11-18

    ... protection of investors against fraud. The proposed rule change does not impose a regulatory burden on small..., municipal entities, and obligated persons and for the robust protection of investors against fraud. The MSRB... submitted by any of the following methods: Electronic Comments Use the Commission's Internet comment...

  15. 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...

  16. 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)...

  17. 76 FR 79738 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Science.gov (United States)

    2011-12-22

    ... examined less frequently, every two to four years, depending on the risk ranking and size of their... regulatory agency (``bank regulators'') in the case of dealers that are not members of a registered... securities dealers and examined primarily by the various Federal bank regulators. \\9\\ 15 U.S.C. 78o(c)(7...

  18. 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...

  19. 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...

  20. 77 FR 40664 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-07-10

    ... Exchange's Web site ( http://www.cboe.com/AboutCBOE/CBOELegalRegulatoryHome.aspx ), at the Exchange's... being sent to other trading centers because orders that scrape through multiple trading centers before... Web site ( http://www.sec.gov/rules/sro.shtml ). Copies of the submission, all subsequent...

  1. 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...

  2. 78 FR 69468 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-11-19

    ... Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 504, Trading Halts November 13, 2013..., Trading Halts. The text of the proposed rule change is available on the Exchange's Web site at http://www... option class (a ``Post-Halt Notification'') following a regulatory halt, trading pause or...

  3. 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...

  4. 77 FR 47474 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-08-08

    ....23-- Customer Complaints. However, to date there has been no equities- specific customer complaint... of customer complaints that is specific to CBSX to assist the Exchange's Regulatory Services Division in investigations regarding CBSX-specific customer complaints. Therefore, CBSX proposes to...

  5. 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...

  6. 78 FR 46656 - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of...

    Science.gov (United States)

    2013-08-01

    ... Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory..., Topaz Exchange, LLC (``Topaz'') and the Financial Industry Regulatory Authority, Inc. (``FINRA... text of the proposed 17d-2 Plan is as follows: Agreement Between Financial Industry...

  7. 78 FR 48920 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-12

    ... corporate governance and notice requirements. This current policy is appropriate in light of NYSE Arca... summarizing important Exchange corporate governance and notice requirements disseminated to all listed issuers... which have been altered by merger, acquisition, consolidation or other corporate action,...

  8. 75 FR 47039 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule...

    Science.gov (United States)

    2010-08-04

    ... Change by OneChicago, Amending Rule 419(a), Regulatory Halts July 28, 2010. Pursuant to Section 19(b)(7... thereto, to make it clear that a ``regulatory halt''applies not only to the suspending of all trading...

  9. 77 FR 39781 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2012-07-05

    ... would be for an IPO. \\3\\ 15 U.S.C. 77a. Significant regulatory concerns, including accounting fraud... accounting fraud or subject to other concealed and undisclosed legal or regulatory problems. For purposes...

  10. 78 FR 30944 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance...

    Science.gov (United States)

    2013-05-23

    ..., it has been a long-term goal of OCC and its clearing members to move the expiration process for all... to manage the risks presented to it. The operational processing of stock option contracts with... Agency's Statement of the Terms of Substance of the Advance Notice This advance notice concerns...

  11. 77 FR 42073 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-07-17

    ...), 73 FR 18587 (April 4, 2008) (SR-NASDAQ-2008-026 (notice of filing and immediate effectiveness establishing Penny Pilot); 60874 (October 23, 2009), 74 FR 56682 (November 2, 2009) (SR-NASDAQ-2009-091..., 2009), 74 FR 59292 (November 17, 2009) (SR-NASDAQ-2009-097) (notice of filing and...

  12. 78 FR 41455 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-10

    ... 28, 2008), 73 FR 18587 (April 4, 2008) (SR-NASDAQ-2008-026) (notice of filing and immediate effectiveness establishing Penny Pilot); 60874 (October 23, 2009), 74 FR 56682 (November 2, 2009) (SR-NASDAQ... (November 9, 2009), 74 FR 59292 (November 17, 2009) (SR-NASDAQ-2009-097) (notice of filing and...

  13. 76 FR 42149 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-07-18

    ...\\ notice is hereby given that on July 1, 2011, The Depository Trust Company (``DTC'') filed with the... below, which Items have been prepared primarily by DTC. The Commission is publishing this notice to... Rule Change The purpose of DTC's proposed rule change is to amend its Redemption Service Guide as...

  14. 76 FR 40971 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-07-12

    ... Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to...'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that, on June 27, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed with the Securities and Exchange Commission (the...

  15. 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...

  16. 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...

  17. 75 FR 28073 - Draft Regulatory Guide: Issuance, Availability

    Science.gov (United States)

    2010-05-19

    ... From the Federal Register Online via the Government Publishing Office NUCLEAR REGULATORY COMMISSION Draft Regulatory Guide: Issuance, Availability AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Draft Regulatory Guide, DG-3039, ``Standard Format and Content...

  18. 75 FR 48382 - Draft Regulatory Guide: Issuance, Availability

    Science.gov (United States)

    2010-08-10

    ... From the Federal Register Online via the Government Publishing Office NUCLEAR REGULATORY COMMISSION Draft Regulatory Guide: Issuance, Availability AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Draft Regulatory Guide, DG-1228, ``Standard Format and Content...

  19. 75 FR 12777 - Notice of Regulatory Waiver Requests Granted for the Fourth Quarter of Calendar Year 2009

    Science.gov (United States)

    2010-03-17

    ... alternative water supply systems, such as Cisterns used in conjunction with hauled/purchased water. Nature of... these regulatory requirements water supply systems that utilize water holding tanks, cisterns,...

  20. 76 FR 49522 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2011-08-10

    ... company. \\5\\ 15 U.S.C. 77a. Significant regulatory concerns, including accounting fraud allegations, have... engaged in undetected accounting fraud or subject to other concealed and undisclosed legal or...

  1. Final Regulatory Determination for Special Wastes From Mineral Processing (Mining Waste Exclusion) - Federal Register Notice, June 13, 1991

    Science.gov (United States)

    This action presents the Agency's final regulatory determination required by section 3001(b)(3)(C) of the Resource Conservation and Recovery Act (RCRA) for 20 special wastes from the processing of ores and minerals.

  2. 77 FR 39785 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Changes To...

    Science.gov (United States)

    2012-07-05

    ... this notice to solicit comments on the proposed rule changes from interested persons. \\1\\ 15 U.S.C. 78s... promote just and equitable principles of trade, to foster cooperation and coordination with persons... customization and segmentation experience may be less transparent and objective. While non-routable orders...

  3. 76 FR 70784 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-11-15

    ... as originally implemented, see Securities Exchange Act Release No. 63270 (November 8, 2010), 75 FR... Filing''). See also Securities Exchange Act Release Nos. 63414 (December 2, 2010), 75 FR 76505 (December...), 76 FR 1201 (January 7, 2011) (NASDAQ-2010-154) (notice of filing and immediate effectiveness);...

  4. 75 FR 80870 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Order Granting...

    Science.gov (United States)

    2010-12-23

    ... Accelerated Approval of a Proposed Rule Change To Eliminate the Validated Cross Trade Entry Functionality... rules to eliminate the Validated Cross Trade Entry Functionality for Exchange-registered Institutional...\\ and Rule 19b-4 thereunder,\\3\\ notice is hereby given that, on December 10, 2010, the Chicago...

  5. 75 FR 38572 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-07-02

    ... of Proposed Rule Change To Eliminate Certain Rule Text Which Has Been Made Unnecessary Due to the... ``Exchange'') proposes to amend the Rules of the Boston Options Exchange ] Group, LLC (``BOX'') to eliminate... (the ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that, on June 21, 2010,...

  6. 75 FR 76759 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-12-09

    ... Proposed Rule Change To Eliminate Market and Stop Orders in Nasdaq-Listed Securities Traded on the Exchange... eliminate Market and Stop Orders in Nasdaq-listed securities traded on the Exchange. Background Rules 500...\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 22, 2010, NYSE Amex LLC...

  7. 78 FR 51248 - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2013-08-20

    .... Currently, the Decomp Model provides portfolio risk coverage against at least 5- day market realizations... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby...

  8. 77 FR 17539 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-03-26

    .... India is the most significant market for gold jewelry demand followed by China, the United States and... related activities.'' The Royal Canadian Mint has all the powers of a natural person. The Royal Canadian... Trust will process any gold redemption notice that it receives after that time on the next...

  9. 77 FR 74520 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-12-14

    ... destination after connectivity is restored, which it would not then allocate to members because of the earlier... any influence or control over the timing or methods of trading to liquidate the error positions.\\15... Commission written notice of its intent to file the proposed rule change at least five business days prior...

  10. 76 FR 76205 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-12-06

    ... exposure to multiple asset classes in a variety of domestic and foreign markets. The Adviser's allocation... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... Securities Exchange Act of 1934 (``Act'' ] or ``Exchange Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...

  11. 77 FR 70868 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2012-11-27

    ... are disclosed between 9:00 a.m. and 5:00 p.m. EST, verbal communication should be given to the NYSE at... pursuant to Section 204.00, the company shall provide such notice through a web-based communication system... Exchange believes that this web-based communication system is generally more reliable than telegram...

  12. 77 FR 5289 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-02

    ... of Proposed Rule Change Relating To Amend the Definition of Theoretical Price January 26, 2012..., LLC (``BOX'') to amend the definition of theoretical price. The text of the proposed rule change is...) Notice of Filing and Immediate Effectiveness of a Proposal To Amend the Definition of Theoretical Price...

  13. 76 FR 59462 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2011-09-26

    .... Registered Office Article I of the Current Bylaws designates the initial registered office of BATS Global..., including specifying that stockholders provide timely notice to BATS Global Markets, Inc. of the business... provisions contained in Article XII of the Current Bylaws requiring that, for so long as BATS Global...

  14. 76 FR 59472 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2011-09-26

    .... Registered Office Article I of the Current Bylaws designates the initial registered office of BATS Global..., including specifying that stockholders provide timely notice to BATS Global Markets, Inc. of the business... provisions contained in Article XII of the Current Bylaws requiring that, for so long as BATS Global...

  15. 78 FR 10220 - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting...

    Science.gov (United States)

    2013-02-13

    ... Number SR-ICEEU-2013-02 on the subject line. Paper Comments Send paper comments in triplicate to... Clear Europe. The Commission is publishing this notice to solicit comments on the proposed rule change... ISDA protocols aimed at ensuring that CDS contracts are auction settled where there is sufficient...

  16. 76 FR 1201 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule...

    Science.gov (United States)

    2011-01-07

    ...- displayed, or ``dark,'' liquidity. See also Mary L. Schapiro, Strengthening Our Equity Market Structure... Change by the NASDAQ Stock Market LLC To Enhance the Investor Support Program January 3, 2011. Pursuant...\\ notice is hereby given that on December 21, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or...

  17. 75 FR 38581 - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2010-07-02

    ... thereunder \\2\\ notice is hereby given that on June 4, 2010, The Depository Trust Company (``DTC'') filed with... I, II, and III below, which Items have been substantially prepared by DTC. The Commission is... Substance of the Proposed Rule Change The purpose of this proposed rule change is to revise DTC's...

  18. 75 FR 497 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2010-01-05

    ... is hereby given that on December 17, 2009, The Depository Trust Company (``DTC'') filed with the... III below, which Items have been prepared primarily by DTC. The Commission is publishing this notice... Proposed Rule Change The purpose of this proposed rule change is to allow DTC to provide...

  19. 76 FR 76790 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-12-08

    ..., Associated With DTC End of Day Net Funds Settlement December 2, 2011. Pursuant to Section 19(b)(1) of the... November 21, 2011, The Depository Trust Company (``DTC'') filed with the Securities and Exchange Commission... prepared primarily by DTC. The Commission is publishing this notice to solicit comments on the...

  20. 76 FR 25389 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-05-04

    ... hereby given that on April 15, 2011, The Depository Trust Company (``DTC'') filed with the Securities and... Items have been prepared primarily by DTC.\\3\\ The Commission is publishing this notice to solicit.... \\3\\ The text of the proposed rule change is attached as Exhibit 5 to DTC's filing, which is...

  1. 77 FR 74037 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-12-12

    ... this notice to solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s... Options: SOX, HGX and OSX. The Exchange receives an overnight file from The Options Clearing Corporation... rates ($0.60 per contract) and Customers, Specialists and Market Makers will continue to be...

  2. 78 FR 16730 - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing of a Proposed Rule...

    Science.gov (United States)

    2013-03-18

    ... hereby given that on March 1, 2013 CBOE Futures Exchange, LLC (``CFE'' or ``Exchange'') filed with the..., II, and III below, which Items II and III have been prepared by CFE. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. CFE also has filed...

  3. 78 FR 2310 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-01-10

    ... contains contradictory language. The Exchange believes this amendment would provide clarity with respect to... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... the Securities Exchange Act of 1934 (``Act'') \\1\\, and Rule 19b-4 thereunder,\\2\\ notice is...

  4. 76 FR 38223 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-06-29

    ... the provision of inbound order routing to the Exchange.\\15\\ In comparison, the current language from... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby...

  5. 78 FR 32487 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2013-05-30

    ... Rule 4.5 of the CEA. The Trust has filed a notice of eligibility for exclusion from the definition of...''), the Fund's Shareholder Reports, and the Trust's Form N-CSR and Form N-SAR, filed twice a year. The... documents and the Form N-CSR and Form N-SAR may be viewed on- screen or downloaded from the Commission's...

  6. 77 FR 10351 - Regulatory Review Plan

    Science.gov (United States)

    2012-02-22

    ... XII Regulatory Review Plan AGENCY: Federal Housing Finance Agency. ACTION: Notice of final regulatory review plan. SUMMARY: The Federal Housing Finance Agency (FHFA) is issuing a notice of the final FHFA regulatory review plan for review of existing regulations under Executive Order 13579, ``Regulation...

  7. 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...

  8. 77 FR 24549 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1...

    Science.gov (United States)

    2012-04-24

    ... recently filed audited financial statements that satisfy the requirements of the Commission or Other Regulatory Authority, so long as such financial statements are dated less than 15 months prior to the date of... standards for an exchange is of substantial importance to financial markets and the investing public....

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 78 FR 37265 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-06-20

    ... has received several requests from traders who previously traded coffee and sugar products on IFUS... the additional IFUS Traders would also be provided to the Financial Industry Regulatory Authority... the NYSE. Moreover, even with additional traders conducting business in coffee and sugar products...

  16. 78 FR 37259 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-20

    ... previously traded coffee and sugar products on IFUS when it was located at NYMEX to resume trading on IFUS... Financial Industry Regulatory Authority (``FINRA'') which conducts surveillance of the NYSE MKT and NYSE... business in coffee and sugar products on the IFUS Trading Floor, the IFUS Traders overall will continue...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 78 FR 41462 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change...

    Science.gov (United States)

    2013-07-10

    ... Exchange. ] The Listing Rules also set forth, among other things, definitions,\\4\\ the Exchange's regulatory... satisfied; or the pricing information for each component of a Reference Asset other than a Currency must be... surveillance sharing agreement. Notwithstanding the previous sentence, pricing information for gold and...

  3. 76 FR 70799 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice and Order Granting Accelerated...

    Science.gov (United States)

    2011-11-15

    ... November 8, 2011. I. Introduction On May 26, 2011, The NASDAQ Stock Market LLC (``Nasdaq'' or ``Exchange... regulatory concerns including accounting fraud allegation that have arisen with respect to Reverse Merger... proposed six to twelve month ``seasoning'' for reverse merger companies will indeed deter corporate frauds...

  4. 75 FR 18915 - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of...

    Science.gov (United States)

    2010-04-13

    ... Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International... party, except as provided in paragraph 4. 13. Arbitration. In the event of a dispute between the parties... settled by arbitration in Washington, DC, in accordance with the rules of the American Arbitration...

  5. 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,...

  6. 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...

  7. 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...

  8. 78 FR 21668 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-11

    ... Integrated Feed,\\4\\ NYSE ArcaBook,\\5\\ NYSE Arca BBO,\\6\\ and NYSE Arca Trades \\7\\ are as follows: Digital... removed'' and that the SEC wield its regulatory power ``in those situations where competition may not be... Competition, the Exchange believes that there is substantial evidence of competition in the marketplace...

  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. 78 FR 50126 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of a Proposed Rule Change To...

    Science.gov (United States)

    2013-08-16

    ... working with BX's regulatory technology group to develop and test the surveillance patterns that will run... responsibility from FINRA to BX Regulation for a limited number of equities surveillance patterns and related review functions focused on: Manipulation patterns that monitor solely BX activity, including patterns...

  12. 78 FR 77540 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-23

    ... public offering (``IPO'') of Facebook, Inc. (``Facebook'' or ``FB'') on May 18, 2012.\\3\\ Rule 4626 limits... payment of claims associated with the Facebook IPO. \\3\\ Securities Exchange Act Release No. 69216 (March... analysts and managers did not perform any regulatory services for any Nasdaq market, did not purchase...

  13. 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...

  14. 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...

  15. 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...

  16. 77 FR 27825 - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting...

    Science.gov (United States)

    2012-05-11

    ..., would be amended to define ``excess net capital'' as the amount reported on Form 1-FR-FCM or FOCUS... capital adequacy (the ``Regulatory Capital Requirement'') by a competent authority such as the FSA, CFTC... requirements shall set forth capital requirements that are based on objective, transparent, and...

  17. 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...

  18. 76 FR 7598 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed...

    Science.gov (United States)

    2011-02-10

    ... request at any time that C2's internal auditor conduct an audit relating to those functions. These changes... the Regulatory Oversight Committee shall meet regularly with C2's internal auditor regarding... qualifications, engagement, and oversight of CBOE Holdings' independent auditor, (ii) CBOE Holdings'...

  19. 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...

  20. 75 FR 9970 - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing...

    Science.gov (United States)

    2010-03-04

    ..., ``SRO participants''). \\1\\ 15 U.S.C. 78q(d). \\2\\ 17 CFR 240.17d-2. I. Introduction Section 19(g)(1) of the Act,\\3\\ among other things, requires every self-regulatory organization (``SRO'') registered as... thereunder, and the SRO's own rules, unless the SRO is relieved of this responsibility pursuant to Section 17...