WorldWideScience

Sample records for nyse amex llc

  1. 75 FR 80553 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Relating to...

    Science.gov (United States)

    2010-12-22

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63558; File No. SR-NYSEAmex-2010-100] Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Relating to Complex Orders December 16, 2010. I. Introduction On October 20, 2010, NYSE Amex LLC (``NYSE Amex'' or the ``Exchange...

  2. 75 FR 58464 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-09-24

    ...--NYSE Amex Equities (Anti-Money Laundering Compliance Program) replaced old Rule 445--NYSE Amex Equities...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... solicited or received with respect to the proposed rule change. III. Date of Effectiveness of the Proposed...

  3. 77 FR 25770 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-05-01

    ... settings via Regulatory Bulletin. The Mechanism protects Market Makers from the risk associated with an...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Options Rule 928NY Specifying That the Potential Range for the Settings Applicable to the Market Maker Risk...

  4. 75 FR 1439 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Rescinding...

    Science.gov (United States)

    2010-01-11

    ...(a)(iv). Finally, because DMMs no longer act as agent for orders on the Display Book under the rules... fails to follow the Policy would not be in violation the Order Display rule \\8\\ and/or the Firm Quote...-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Rescinding NYSE Information...

  5. 76 FR 53009 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-08-24

    ... communications relating to the proposed rule change between the Commission and any person, other than those that...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... Ahead of Customer Orders With Certain Exceptions (Commonly Known as the Manning Rule) August 18, 2011...

  6. 77 FR 10791 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-02-23

    ... Deleting NYSE Amex Equities Rule 319, Which Addresses Fidelity Bond Requirements, and Adopt New Rule Text.... Purpose The Exchange proposes to delete NYSE Amex Equities Rule 319, which addresses fidelity bond... Terms of Substance of the Proposed Rule Change The Exchange proposes to delete NYSE Amex Equities Rule...

  7. 76 FR 79728 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-12-22

    ... Manipulative or Deceptive Quotations or Transactions, as NYSE Amex Equities Rule 5210 December 14, 2011... deceptive quotations or transactions, as NYSE Amex Equities Rule 5210. The text of the proposed rule change..., which prohibits the publication of manipulative or deceptive quotations or transactions, as NYSE Amex...

  8. 76 FR 65310 - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-10-20

    ... trades at any options exchange; (ii) NYSE Amex receives an order in the series; or (iii) NYSE Amex... note 3, at 54519. \\11\\ See id. III. Discussion and Commission's Findings After careful review, the... should help maintain liquidity in these classes to the benefit of the Exchange, its ATP Holders, and...

  9. 75 FR 31500 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving Proposed Rule Change To Establish...

    Science.gov (United States)

    2010-06-03

    ... leaves little room for competitive forces to determine products and fees.\\19\\ Non-core data products and... equity exchange, including NYSE Amex. Attracting order flow is an essential part of NYSE Amex's.... Zenith Radio Corp., 475 U.S. 574 (1986); State Oil Co. v. Khan, 522 U.S. 3 (1997); Northern Pacific...

  10. 75 FR 10851 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-03-09

    ...\\6\\ and to provide competitive pricing. \\4\\ See NYSE Amex Rule 900.2NY(18). \\5\\ See, e.g., NYSE Amex... pricing models based on real-time streaming data, access to multiple markets simultaneously, and order and... theoretical value of the option, which moves with various factors in their pricing models, such as the value...

  11. 76 FR 24945 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-05-03

    ... hours on the prior day. Under NYSE Amex Equities Rule 440B(c), the short sale price test restrictions of... Amending NYSE Amex Equities Rule 440B (Short Sales) To Modify the Exchange's Procedures for Early Termination of the Short Sale Price Test Restrictions of Rule 201 of Regulation SHO Based on a Triggering...

  12. 76 FR 18276 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-04-01

    ... Amending NYSE Amex Equities Rule 440B To Modify the Exchange's Procedures for Handling Short Sale Orders During a Period When the Short Sale Price Test Restrictions of Rule 201 of Regulation SHO Are in Effect... Change The Exchange proposes to amend NYSE Amex Equities Rule 440B (Short Sales) to modify the Exchange's...

  13. 77 FR 23532 - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of a Proposed Rule Change...

    Science.gov (United States)

    2012-04-19

    ...-case basis, formal disciplinary action for any particular violation. Therefore, the Commission believes... by-case basis, of whether a violation requires formal disciplinary action under NYSE Amex Rule 476... governs disciplinary proceedings involving charges against members, member organizations, principal...

  14. 75 FR 79427 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-12-20

    ... end of December 2010, it will work with the Commission to set a new target date for implementation as... a Designated Market Maker (``DMM'') orally at or near the close. The provisions of NYSE Amex... Liu, Senior Special Counsel, Division of Trading and Markets, Commission, and Nathan Saunders, Special...

  15. 75 FR 41264 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Amendment Nos. 2 and 3, and...

    Science.gov (United States)

    2010-07-15

    .... Derivative Securities Products The Exchange also proposes some specific additional provisions that will apply to ETFs that are ``new derivative securities products'' traded pursuant to Rule 19b-4(e) under the... information for Nasdaq Securities that are derivative securities products. Rule 516--NYSE Amex Equities...

  16. 75 FR 20401 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change, and...

    Science.gov (United States)

    2010-04-19

    .... Proposed NYSE Amex Equities Rule 510 (Derivative Securities Products) The Exchange also proposes some... derivative securities products,'' as defined in Rule 19b-4(e) under the Act and traded pursuant to Rule 19b-4.../or approved by the Commission for the generic trading of derivative securities products based on...

  17. 76 FR 65272 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-10-20

    ... franchise and presence in many of the world's financial centers including New York, London, Frankfurt, Paris... truly global franchise and presence in many of the world's financial centers including New York, London... NYSE Amex--which provide marketplaces where investors buy and sell listed companies' common stock and...

  18. 75 FR 479 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving the Proposed Rule Change, as...

    Science.gov (United States)

    2010-01-05

    ... operation of the closing process, with an eye toward any potential changes in the behavior of market... orders; and (x) codify the hierarchy of allocation of interest in the closing transaction in NYSE Amex... codify the hierarchy of allocation logic applied to interest participating in the closing transaction...

  19. 76 FR 16024 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-03-22

    ... exchanges that may also adopt rules for QCCs, by making QCCs available to ATP Holders and their customers... proposes that when an NYSE Amex ATP Holder effects a QCT trade in a Regulation NMS Stock, that ATP Holder... respective counterparties or arranged for by a broker-dealer as principal or agent; (iii) the execution of...

  20. 77 FR 9293 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-02-16

    ... Commission (``Commission'') the proposed rule change as described in Items I, II, and III below, which Items...-56). The QCC permits an NYSE Amex ATP Holder to effect a qualified contingent trade (``QCT'') in a... services of another ATP Holder acting as a Floor Broker. In turn, the Floor Broker who is in receipt of...

  1. 76 FR 78704 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-12-19

    ... Commission (``Commission'') the proposed rule change as described in Items I, II, and III below, which Items...\\ \\3\\ The QCC permits an NYSE Amex ATP Holder to effect a qualified contingent trade (``QCT'') in a... proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission...

  2. 76 FR 71405 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change To Codify...

    Science.gov (United States)

    2011-11-17

    ... Terms of Substance of the Proposed Rule Change The Exchange proposes to amend NYSE Amex Equities Rule... representing buying interest inquired about selling interest in one of his or her assigned securities and later a Floor broker representing selling interest makes an inquiry about buying interest, the assigned...

  3. 76 FR 27118 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-05-10

    ... elimination of this fee. Consequently, the Exchange proposes to eliminate from its NYSE Amex Equities Price... surveillance for position limit violations, manipulation, front-running, contrary exercise advice violations... doing so shares information and coordinates with other exchanges designed to detect the unlawful use of...

  4. 75 FR 54671 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-09-08

    ... Extending the Operation of Its Supplemental Liquidity Providers Pilot September 1, 2010. Pursuant to Section... Supplemental Liquidity Providers Pilot (``SLP Pilot'' or ``Pilot'') (See Rule 107B-- NYSE Amex Equities... to extend the operation of its Supplemental Liquidity Providers Pilot,\\3\\ currently scheduled to...

  5. 75 FR 31494 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-06-03

    ... procedures of the Exchange's MRVP under Disciplinary Rule 476A. Proposed Part 1D is based, inter alia, on... Proposed Rule Change The Exchange proposes to amend NYSE Amex Disciplinary Rule 476A (Imposition of Fines... Rule 340.01 to Part 1C of Disciplinary Rule 476A, and to make other technical changes to the Rule. The...

  6. 77 FR 29721 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-05-18

    ... volatility. \\7\\ See Commentary .07 to NYSE Amex Options Rule 904. See also Securities Exchange Act Release No... time and at an accelerated rate, which the Exchange believes is a direct result of the implementation... Exchange has also considered the potential for resulting or increased market on close volatility in...

  7. 76 FR 77030 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-12-09

    ...(b)(3)(A)(iii) of the Act \\3\\ and Rule 19b- 4(f)(6) thereunder.\\4\\ The Commission is publishing this....C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ 15 U.S.C. 78s(b)(3)(A)(iii). \\4\\ 17 CFR 240.19b-4(f)(6). I... the NYSE Amex System, orders from the same ATP Holder may inadvertently execute against each other as...

  8. 77 FR 51837 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-27

    ... Amending the NYSE Amex Options LLC Limited Liability Company Agreement To Eliminate Certain Restrictions... Options LLC (``NYSE Amex Options'') Limited Liability Company Agreement (``LLC Agreement'') to eliminate... securities exchange or facility thereof (including, but not limited to, internalization of orders for...

  9. 77 FR 40673 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Granting...

    Science.gov (United States)

    2012-07-10

    ...''); Garret Cook, dated November 4, 2011 (``Cook Letter''); James Johannes, dated November 27, 2011..., 2011 (``Paden Letter''); Thomas Dercks, dated December 1, 2011 (``Dercks Letter''); Eric Swanson..., NYSE Euronext to Robert Cook, Director, Division of Trading and Markets, dated April 11, 2012. This...

  10. 77 FR 27508 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Designation...

    Science.gov (United States)

    2012-05-10

    ..., Themis Trading LLC, dated October 17, 2011 (``Themis Letter''); Garret Cook, dated November 4, 2011 (``Cook Letter''); James Johannes, dated November 27, 2011 (``Johannes Letter''); Ken Voorhies, dated...''); Thomas Dercks, dated December 1, 2011 (``Dercks Letter''); Eric Swanson, Secretary, BATS Global Markets...

  11. 77 FR 12629 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Filing of...

    Science.gov (United States)

    2012-03-01

    ..., Themis Trading LLC, dated October 17, 2011 (``Themis Letter''); Garret Cook, dated November 4, 2011 (``Cook Letter''); James Johannes, dated November 27, 2011 (``Johannes Letter''); Ken Voorhies, dated... (``UBS Letter''); Dr. Larry Paden, Bright Trading, dated December 1, 2011 (``Paden Letter''); Thomas...

  12. 75 FR 19443 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of a...

    Science.gov (United States)

    2010-04-14

    ... transactions in any product that has a licensing or royalty fee will be assessed that fee as well. \\5... Change To Establish Fees for Professional Customers and To Make Certain Other Changes to its Options Fee... Amex has designated this proposal as one establishing or changing a member due, fee, or other charge...

  13. 75 FR 18556 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-04-12

    ... have been prepared by the self-regulatory organization. Amex filed the proposal pursuant to Section 19.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... , at the Exchange's principal office and at the Commission's Public Reference Room. II. Self-Regulatory...

  14. 77 FR 7637 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-02-13

    ... interested persons. \\1\\ ``iShares[supreg]'' is a registered trademark of BlackRock Institutional Trust... Commission's Public Reference Room, and www.nyse.com . \\5\\ ``iShares[supreg]'' is a registered trademark of...

  15. 77 FR 23298 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-04-18

    ... barriers when running automated surveillance patterns designed to identify inappropriate trading ahead of... Exchange, the Commission's Public Reference Room, the Commission's Web site at www.sec.gov , and www.nyse... are identified through automated surveillance patterns by permitting FINRA to account for information...

  16. 75 FR 80557 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-12-22

    ..., or options on currencies or currency futures or other currency derivatives or Currency Trust Shares... futures or options or derivatives on the foregoing in this subparagraph (b); or (c) CBOE Volatility Index...; (b) interest rate futures or options or derivatives on the foregoing; or (c) CBOE VIX futures. NYSE...

  17. 77 FR 22624 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-04-16

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

  18. 76 FR 62125 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Amending...

    Science.gov (United States)

    2011-10-06

    ... Rule 993NY(b)(2) To Make Permanent the Pilot Program that Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify... program that permits the Exchange to accept inbound orders routed by Archipelago Securities LLC (``Arca...

  19. 76 FR 62116 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Amending...

    Science.gov (United States)

    2011-10-06

    ... Rule 17(c)(2)(B) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify... program that permits the Exchange to accept inbound orders routed by Archipelago Securities LLC (``Arca...

  20. 76 FR 53516 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2011-08-26

    ... Rule 993NY(b)(2) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify...(b)(2) to make permanent the pilot program that permits the Exchange to accept inbound orders routed...

  1. 76 FR 53511 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2011-08-26

    ... Rule 17(c)(2)(B) To Make Permanent the Pilot Program that Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify... make permanent the pilot program that permits the Exchange to accept inbound orders routed by...

  2. 78 FR 71000 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-11-27

    ... and NYSE Amex Options Rule 900.2NY(77); and (iii) non- member organization and non-ATP Holder broker... ``Commission'') the proposed rule change as described in Items I, II, and III below, which Items have been... of the NYSE MKT Equities Rules, and ATP Holders, as that term is defined in NYSE Amex Options Rule...

  3. 78 FR 54697 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-09-05

    ... and NYSE Amex Options Rule 900.2NY(77); and (iii) non- member organization and non-ATP Holder broker... described in Items I, II and III below, which Items have been prepared by the self-regulatory organization... Rules of the NYSE MKT Equities Rules, and ATP Holders, as that term is defined in NYSE Amex Options Rule...

  4. 75 FR 50013 - Self-Regulatory Organizations; NYSE Amex, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-08-16

    ... been prepared by the self-regulatory organization. NYSE Amex filed the proposed rule change as a ``non.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... its filing with the Commission, the self-regulatory organization included statements concerning the...

  5. 78 FR 47465 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-05

    ... To Amend the NYSE Amex Options Fee Schedule To Increase the Royalty Fees Applicable to Non- Customer... Fee Schedule to increase the Royalty Fees applicable to non-Customer transactions in options on the... proposes to amend the NYSE Amex Options Fee Schedule to increase the Royalty Fees applicable to non...

  6. 78 FR 28926 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-05-16

    ... to the server remain fee liable. If the Professional End-User cannot limit or track the number of... Establishing Non- Display Usage Fees and Amending the Professional End-User Fees for NYSE Amex Options Market... proposes to establish non-display usage fees and to amend the Professional End-User fees for NYSE Amex...

  7. 78 FR 74197 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-10

    ... proposed rule change as described in Items I, II and III below, which Items have been prepared by the self... definitions section of the General and Floor Rules of the NYSE MKT Equities Rules, and ATP Holders, as that... defined in Rule 123B.30(a)(ii)(B)-- Equities and NYSE Amex Options Rule 900.2NY(77); and (iii) non- member...

  8. 77 FR 42345 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-18

    ..., and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the... Book, it will be viewed as taking liquidity. Conversely, whenever a participant posts a bid or offer... economic advantage relative to a NYSE Amex Options Market Maker's cost when trading with Customer order...

  9. 77 FR 37945 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-25

    ..., experience and competence for members and their associated persons; and (2) Section 6(b)(5) of the Act,\\9\\ in... register as Market Makers, MMATs, and Floor Brokers. In addition, the Series 56 Examination is shared by... on NYSE Amex Options by passing the Series 56 exam, which is shared by the other options exchanges...

  10. 78 FR 26677 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-05-07

    ... (the ``Commission'') the proposed rule change as described in Items I, II, and III below, which Items... change will be operative on May 1, 2013. \\4\\ The QCC permits an NYSE Amex ATP Holder to effect a... proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission...

  11. 77 FR 67419 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a...

    Science.gov (United States)

    2012-11-09

    ... the incentive for market participants to effect such executions on the Exchange. This would also be... Change To Amend the NYSE Amex Options Fee Schedule To Remove Dividend Spreads From the List of Strategy... (``Fee Schedule'') to remove dividend spreads from the list of strategy executions for which fee caps...

  12. 77 FR 66902 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-07

    ... executes 50,000 or more contracts ADV each day in a month. Therefore, NYSE Amex Options Market Makers pay... least 1,000 contracts, is part of a QCT, and is executed at a price at least equal to the national best... per contract than they would pay if the trade were executed as a non-QCC trade. Currently...

  13. 77 FR 36324 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-06-18

    ... of NYSE MKT LLC (collectively the ``Organizational Documents'') to make certain conforming changes... Regulated Subsidiaries, and make certain conforming changes to the Organizational Documents, as set forth... independent, objective perspectives, while at the same time affording NYSE Euronext sufficient flexibility to...

  14. 78 FR 68128 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Notice...

    Science.gov (United States)

    2013-11-13

    ... definition of ``emergency'' as that found in Section 12(k)(7) of the Act. Section 12(k)(7) defines an... NYSE so that the NYSE, as a self-regulatory organization (``SRO''), can remain operational. In essence... become a defined term under the amended rule-- shall include the authority to designate NYSE Arca to...

  15. 77 FR 47138 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-08-07

    ..., NYSE Euronext, Banc of America Strategic Investments Corporation (``BAML''), Barclays Electronic Commerce Holdings Inc. (``Barclays''), Citadel Securities LLC (``Citadel''), Citigroup Financial Strategies, Inc. (``Citigroup''), Goldman, Sachs & Co. (``Goldman Sachs''), Datek Online Management Corp. (``TD...

  16. 78 FR 50471 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-19

    ...-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... for a 40 Gigabit Liquidity Center Network Connection August 13, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is...

  17. 77 FR 35437 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-13

    ... option fails to achieve greater than 200 Average National Daily Customer Contracts. For these reasons...-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... (``Commission'') the proposed rule change as described in Items I, II, and III below, which Items have been...

  18. 75 FR 33882 - Self-Regulatory Organizations; NYSE Amex LLC and NYSE Arca, Inc.; Order Granting Approval of...

    Science.gov (United States)

    2010-06-15

    ... Exchange-Traded Fund Shares (or ``ETFs'') that are traded on a national securities exchange and are defined... Instruments); or (ii) represent interests in a trust that holds a specified non-U.S. currency or currencies... the beneficial owner to receive the specified non-U.S. currency or currencies and pays the beneficial...

  19. 78 FR 15080 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2013-03-08

    ... implied volatility of 50. A limit order to pay $32 for 10 is entered resulting in a new market of $32.00... market-wide trading halt due to extraordinary market volatility. The Exchange proposes to adopt new Rule... An NYSE Amex Market Maker is offering 100 contracts at $15. Another NYSE Amex Market Maker enters an...

  20. 77 FR 10586 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Instituting...

    Science.gov (United States)

    2012-02-22

    ... specialist is registered by exercising leadership and managing trading crowd activity and promptly... participation of market makers in exchange markets may benefit public customers by promoting more liquid and efficient trading, and an exchange may legitimately confer benefits on market participants willing to accept...

  1. 76 FR 80445 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Designation...

    Science.gov (United States)

    2011-12-23

    ..., dated October 17, 2011; Garret Cook, dated November 4, 2011; James Johannes, dated November 27, 2011... November 30, 2011; Dr. Larry Paden, Bright Trading, dated December 1, 2011; Thomas Dercks, dated December 1...

  2. 77 FR 7628 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Instituting...

    Science.gov (United States)

    2012-02-13

    ... October 17, 2011 (``Themis Letter''); Garret Cook, dated November 4, 2011 (``Cook Letter''); James.... Larry Paden, Bright Trading, dated December 1, 2011 (``Paden Letter''); Thomas Dercks, dated December 1...

  3. 77 FR 42525 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Disapproving...

    Science.gov (United States)

    2012-07-19

    ... and sellers of large orders on the Floor more efficiently than through verbal communications. However... submitted by off-Floor participants (off-Floor participants may submit non-displayable interest that is... of Non-Display Reserve e-Quotes, unless the floor broker elects to exclude that reserve quantity from...

  4. 78 FR 62766 - Self-Regulatory Organizations; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether...

    Science.gov (United States)

    2013-10-22

    ... Index (``RUT'') combination orders.\\8\\ Currently, NYSE MKT Rule 965NY(b) allows an ATP Holder holding an...\\ \\8\\ See NYSE MKT Rule 965NY(b)(4)(iii). A ``NDX combination order'' is an order to purchase or sell... with the corresponding NDX or RUT option position. See NYSE MKT Rule 965NY(b)(1)-(3). \\9\\ The ATP...

  5. 76 FR 65247 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-10-20

    ... premier global venue for capital raising, with a truly global franchise and presence in many of the world... management and the premier global venue for capital raising, with a truly global franchise and presence in... three NYSE Exchanges--NYSE, NYSE Arca and NYSE Amex--which provide marketplaces where investors buy and...

  6. 76 FR 58555 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-09-21

    ... update or withdraw its quotes, generating a large volume of message traffic. In those cases, where the... public in accordance with the provisions of 5 U.S.C. 552, will be available for website viewing and...

  7. 77 FR 35444 - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-06-13

    ... could result in disciplinary action. First, pursuant to proposed Rule 107B(d)(1), the SLMM must maintain... disciplinary action. Under proposed Rule 107B(h), an SLP-Prop may not also act as an SLMM in the same...

  8. 76 FR 41539 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Amending...

    Science.gov (United States)

    2011-07-14

    ... organization could not trade in an index-based or derivative security (e.g., a right or warrant) that is quoted... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64844; File No. SR-NYSEAmex-2011-34] Self... Premises in Certain OTC Bulletin Board and OTC Markets Securities July 8, 2011. I. Introduction On May 11...

  9. 76 FR 45899 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-08-01

    ... underlying market. In addition such limits serve to reduce the possibility for disruption of the options..., routine oversight inspections of the Exchange's regulatory programs by the Commission have not uncovered...

  10. 75 FR 26312 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-05-11

    ... MannKind Corp. 255 TM Toyota Motor Corp. 171 MDVN Medivation Inc. 257 HK Petrohawk Energy Corp. 176... Gold Corp. 213 MRVL Marvell Technology 273 EP El Paso Corp. Group Ltd. 215 XLP Consumer Staples 274...

  11. 76 FR 38436 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving Proposed Rule Change, as Modified...

    Science.gov (United States)

    2011-06-30

    ..., Inc. (``Citigroup''); Datek Online Management Corp. (``TD Ameritrade''); UBS Americas Inc. (``UBS''); and Barclays Electronic Commerce Holdings Inc. (``Barclays''), to operate an electronic trading... Facility. Day-to-day operations of the Company and the management of its business and affairs will be...

  12. 76 FR 18591 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-04-04

    ... Strategies, Inc. (``Citigroup''); Datek Online Management Corp. (``TD Ameritrade''); UBS Americas Inc. (``UBS''); and Barclays Electronic Commerce Holdings Inc. (``Barclays''). The joint venture will operate an... operations of the Company and the management of its business and affairs will be delegated to the Company's...

  13. 76 FR 40410 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-07-08

    ... the investment bank syndicate the night before the first day of trading, to determine the LRP value... formation. See 15 U.S.C. 78c(f). At any time within 60 days of the filing of such proposed rule change, the... During the First Day of Trading of an Initial Public Offering on the Exchange July 1, 2011. Pursuant to...

  14. 75 FR 24769 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2010-05-05

    ... appropriate for options trading Exchange-Traded Fund Shares (``ETFs'' or ``Fund Shares'') that are traded on a... trust or similar entity that holds a specified non-U.S. currency deposited with the trust or similar... owner to receive the specified non-U.S. currency and pays the beneficial owner interest and other...

  15. 75 FR 11607 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-03-11

    ... markets at the NBBO. The Exchange was aware that such dependence might occur, and included a Temporary... following methods: Electronic Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules... use only one method. The Commission will post all comments on the Commission's Internet Web site...

  16. 76 FR 5229 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-01-28

    ... To Hold a Tender Offer in Lieu of a Shareholder Vote on a Proposed Acquisition January 21, 2011... Commission is publishing this notice to solicit comments on the proposed rule change from interested persons... company, including that the acquisition vehicle obtain a vote of shareholders prior to consummating any...

  17. 76 FR 35493 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-06-17

    ... Royalty Fees, which are fees charged by the owner of the intellectual property rights associated with an index for the right to trade options on the index. Royalty Fees are not subject to the proposed monthly firm fee cap, and a capped firm will continue to pay Royalty Fees at the rate(s) stated in the Schedule...

  18. 77 FR 26798 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change to List...

    Science.gov (United States)

    2012-05-07

    ... the NFA. The Commodity Sub-Advisor is also registered with the SEC as an investment adviser. Nuveen... as an investment adviser. Commodity Investments. The Fund's investment strategy will utilize the... the audit committee and nominating committee functions for the Fund, those functions required under...

  19. 77 FR 38117 - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change To...

    Science.gov (United States)

    2012-06-26

    ... committee of the Manager which will fulfill the Fund's audit committee and nominating committee functions... members who are unaffiliated with the Manager, which will fulfill the audit committee and nominating..., adviser, sub-adviser, or commodity broker, such new entity will maintain a firewall within its respective...

  20. 75 FR 9265 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2010-03-01

    ... Commodity Sub-Advisor is also registered with the Commission as an investment adviser. Nuveen Asset... with the Commission as an investment adviser. \\8\\ The Fund does not intend to utilize leverage. However... requirements to serve on the Fund's Audit Committee and Nominating Committee) to the Manager to operate the...

  1. 76 FR 64151 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-10-17

    ..., the Order Audit Trail System (``OATS'') Rules, and Making Certain Conforming Changes October 7, 2011... only a single system for recording order audit trail information, and will only need to submit such... separate systems for reporting order audit trail information to the Exchange and FINRA. Rather, beginning...

  2. 77 FR 12345 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-02-29

    ... the Series 7, which the Exchange believes covers a great deal of material that is not relevant to... the Exchange are not done by such persons on a regular basis. In addition, waiver of the operative...

  3. 76 FR 82326 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of a...

    Science.gov (United States)

    2011-12-30

    ... as the DMM Capital Commitment Schedule (``CCS'').\\10\\ CCS provides the Display Book[supreg] \\11\\ with... Exchange Best Bid or Best Offer (``BBO''). CCS interest is separate and distinct from other DMM interest in...

  4. 76 FR 598 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-01-05

    ... as the DMM Capital Commitment Schedule (``CCS'').\\10\\ CCS provides the Display Book[reg] \\11\\ with... Exchange Best Bid or Best Offer (``BBO''). CCS interest is separate and distinct from other DMM interest in...

  5. 76 FR 39453 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-07-06

    ... Commitment Schedule (``CCS'').\\10\\ CCS provides the Display Book[supreg] \\11\\ with the amount of shares that... (``BBO''). CCS interest is separate and distinct from other DMM interest in that it serves as the...

  6. 76 FR 82009 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-12-29

    ....02 and $10.04 and there is ``dark'' reserve buy interest at $10.03, if the NBO becomes $10.03, pegging sell interest will peg to the $10.03 NBO and will execute against the Exchange ``dark'' reserve... post all comments on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml ). Copies...

  7. 77 FR 13170 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-03-05

    ... proprietary traders. The Series 56 examination program is shared by the Exchange and the following self... exchange prescribes standards of training, experience and competence for members and their associated...

  8. 75 FR 39305 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-07-08

    ... described in Items I, II, and III below, which Items have been prepared by the Exchange. On June 29, 2010... behalf of an ATP Holder registered as a Remote Market Maker. The purpose of the proposed rule change is... person of an ATP Holder. MMATs act in a trading capacity by submitting electronic quotes and orders on...

  9. 77 FR 42349 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Defining a...

    Science.gov (United States)

    2012-07-18

    ... ATP Holders via Regulatory Bulletin regarding the rule change. The Exchange plans to issue notice....\\7\\ \\7\\ See Notice, supra note 3, at 32158. III. Discussion The Commission finds that the proposed...

  10. 75 FR 40010 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-07-13

    ... Items I, II, and III below, which Items have been prepared by the Exchange. The Commission is publishing... Proposed Rule Change 1. Purpose Currently, the Exchange aggregates all of an ATP Holder's volume at the trading permit level for purposes of the Firm Proprietary Manual tiers. Recently, certain ATP Holders have...

  11. 77 FR 12339 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-02-29

    ... references to (a), (b) and (c) in paragraph (a) to (i), (ii) and (iii). Other than this reformatting, the... formatting of a recently amended Exchange rule, would provide more clarity to ATP Holders and the investing... to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for...

  12. 76 FR 78062 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-12-15

    ... Commission (``Commission'') the proposed rule change as described in Items I, II, and III below, which Items... Fees and Cancellation Fees if one or more ATP Firms or the Exchange experiences a bona fide systems... Excessive Bandwidth Utilization Fees and Cancellation Fees if one or more ATP Firms or the Exchange...

  13. 75 FR 55622 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-09-13

    ....3NY(d)(3). Under the proposed interpretation, after entering a Reserve Order, an ATP Holder may enter... provide ATP Holders with certainty with respect to the applicable exposure requirements for reserve orders... No written comments were solicited or received with respect to the proposed rule change. III. Date of...

  14. 75 FR 17457 - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Accelerated Approval of the Proposed...

    Science.gov (United States)

    2010-04-06

    ...--Trading Systems), 964.2NY(b)(1)(iii) (Participation Entitlement of Specialists and e-Specialists), 964.2NY... protection. The proposal requires ATP holders to indicate whether Customer orders are ``Professional Customer'' orders.\\5\\ To comply with this requirement, ATP holders would be required to review their customers...

  15. 77 FR 1771 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-01-11

    ... secondary data center) of any logical port other than a Multicast PITCH Spin Server Port or GRP Port, but... Ports and GRP ports relate to market data dissemination while the proposed port fee charge relates to... Amending Its Price List Changing the Monthly Fees for the Use of Ports That Provide Connectivity to Its...

  16. 75 FR 17818 - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2010-04-07

    ... trading the particular contracts. Various data vendors and news publications publish futures prices and... data vendors worldwide, including Bloomberg and Reuters. In addition, the Exchange further represents... subscription from Reuters and Bloomberg. The relevant futures and forward exchanges also provide delayed...

  17. 77 FR 50750 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Amendment No. 1 and Order...

    Science.gov (United States)

    2012-08-22

    ... to the S&P 500 stocks, (2) be available to trade on the Exchange (and presumably all other U.S... allows large investors to transfer positions from a basket of stocks comprising the S&P 500 Index to an... reduces concerns regarding manipulation or disruption in the underlying markets.\\20\\ The Exchange...

  18. 75 FR 27603 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-05-17

    ... change: (i) Does not significantly affect the protection of investors or the public interest; (ii) does... investors who desire to participate in a specific market segment by providing exposure to one or more... than $200 because the Exchange believes the marketplace and investors will be expecting these types of...

  19. 75 FR 48405 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-08-10

    ... Trina Solar Ltd......... 332 NKE NIKE Inc. 282 EWW iShares MSCI Mexico 335 FIS Fidelity National... Inc 316 CB Chubb Corp. 205 MA Mastercard Inc 320 ADM Archer-Daniels-Midland Co. 224 ATPG ATP Oil & Gas Corp/ 322 HSY Hershey Co/The. United States. 226 YUM Yum! Brands Inc......... 323 TXT Textron Inc. 232...

  20. 76 FR 64983 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-10-19

    ... change. The text of those statements may be examined at the places specified in Item IV below. The..., complex order, or Strategy Trade is marked QCC, it receives QCC billing treatment. The Exchange also...-related charges in the Fee Schedule, Marketing Charges will continue to apply to Electronic Complex Orders...

  1. 76 FR 49812 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-08-11

    ... the Exchange's Consolidated Book. \\5\\ See Securities Exchange Act Release No. 64688 (June 16, 2011... least equal to the NBBO and if there are no Customer Orders in the Exchange's Consolidated Book at the... of participants in mergers or with intentions to merge that have been announced or cancelled; and (f...

  2. 77 FR 14579 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-03-12

    ... may wish to have a Market Maker Authorized Trader (``MMAT'') \\5\\ employee engage in open outcry... monthly ATP fee. \\3\\ An ``ATP Holder'' is a natural person, sole proprietorship, partnership, corporation... by the ATP Holder during the calendar month. \\5\\ A ``Market Maker Authorized Trader'' is an...

  3. 77 FR 4848 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-01-31

    ... unexpected absence, in which case the ATP Holder may wish to have a Market Maker Authorized Trader \\5..., sole proprietorship, partnership, corporation, limited liability company or other organization, in good... ``Market Maker Authorized Trader'' is an authorized trader who performs market making activities pursuant...

  4. 77 FR 24236 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-04-23

    ... Rule 107B To Add a Class of Supplemental Liquidity Providers That Are Registered as Market Makers at... Equities Rule 107B to add a class of Supplemental Liquidity Providers (``SLP'') that are registered as... encourage participants to quote more often and to add displayed liquidity to the market. Thus, Rule 107B(a...

  5. 76 FR 61422 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2011-10-04

    ... Committee recommended that the markets consider replacing the Dow Jones Industrial Average (``DJIA'') with the S&P 500[supreg] Index (``S&P 500''), revising the 10%, 20%, and 30% decline percentages, reducing..., using an index that correlates closely with derivative products, such as the E-Mini and SPY, will allow...

  6. 77 FR 19394 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-03-30

    ... Change will clarify the corporate structure of the Exchange, which will promote just and equitable... effect the Combination and to amend certain provisions of the organizational and other governance... particular, in that it is designed to prevent fraudulent and manipulative acts and practices, to promote just...

  7. 76 FR 44061 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-07-22

    ... Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend... separate positions simultaneously. One position involves buying a put and selling a call with the same strike price and expiration. The second position involves selling a put and buying a call, with the same...

  8. 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... listed company) is not engaged in undetected accounting fraud or subject to other concealed and...

  9. 75 FR 71777 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-11-24

    ... value of the underlying index, as determined in accordance with a Permitted Pricing Model. In addition..., the Proposed Rule Change 1. Purpose I. Expansion of Delta-Based Equity Hedge Exemption On March 4... organizations and certain of their affiliates, that are ``delta neutral'' \\4\\ under a ``Permitted Pricing Model...

  10. 75 FR 1664 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-01-12

    ... and the public interest by ensuring better corporate governance and transparency of the election... enhance corporate governance and accountability to shareholders. \\13\\ 15 U.S.C. 78f(b)(5). B. Self... remain the general practice in corporate America today, with contested elections occurring relatively...

  11. 76 FR 57793 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-09-16

    ... Complex Orders. Currently, the pool of monies resulting from collection of marketing charges on electronic..., the pool of monies resulting from collection of marketing charges on such orders is controlled by a... unchanged. That text provides that the pool of monies resulting from the collection of marketing charges on...

  12. 77 FR 30572 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-05-23

    ... which have resulted in a significant number of series being out-of-the-money. For example, a market... option contract with a 100 share multiplier). Because the temporary procedures allow trading below $0.01 per share (or $1.00 per option contract with a 100 share multiplier), the procedures are available for...

  13. 75 FR 77932 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-12-14

    ... resulted in a significant number of series being out-of-the-money. For example, a market participant might... option contract with a 100 share multiplier). Because the instant rule change would allow trading below $0.01 per share (or $1.00 per option contract with a 100 share multiplier), the procedures would be...

  14. 76 FR 27136 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-05-10

    ... recent market conditions which have resulted in a significant number of series being out-of-the-money... as $0.01 per share (or $1.00 per option contract with a 100 share multiplier). Because the temporary procedures allow trading below $0.01 per share (or $1.00 per option contract with a 100 share multiplier...

  15. 76 FR 23632 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-04-27

    ..., CBOE calculates the CBOE Gold ETF Volatility Index (``GVZ''), which is based on the VIX methodology applied to options on the SPDR Gold Trust (``GLD''). The current filing would permit $0.50 strike price... other exchange-traded fund (``ETF'') options. See Rule 903, Commentary .05 Volatility indexes are...

  16. 76 FR 70790 - Self-Regulatory Organizations; NYSE Amex LLC; Notice and Order Granting Accelerated Approval to...

    Science.gov (United States)

    2011-11-15

    ... minimum share price for a sustained period, and for at least 30 of the most recent 60 trading days, prior... address concerns that the potential for manipulation of the security to meet the minimum price... successfully used to meet the Exchange's minimum share price requirements. In addition, the Commission believes...

  17. 75 FR 8774 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2010-02-25

    ... limits were introduced as a means of forestalling the potential manipulation of an equity's price by... significantly reduced concerns of market manipulation or disruption in the underlying markets. Shares in these... values on a per-share basis, the option strike prices result in being equal to \\1/ 100\\th of the...

  18. 76 FR 35495 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-06-17

    ... importance as liquidity providers in the options market. The Exchange proposes that all ATP firms that send...) adding an additional reference to a footnote on marketing charges under both ``Electronic Complex Order Executions'' and under ``Marketing Charge.'' These error corrections are of a cleanup nature and do not...

  19. 75 FR 6424 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-02-09

    ... 216 QID ProShares LP. UltraShort QQQ. 200 CAL Continental 149 SHLD Sears Holdings Airlines Inc. Corp... Inc. 148 XTO XTO Energy Inc. 213 JWN Nordstrom Inc. 130 YRCW YRC Worldwide Inc. 137 KFT Kraft Foods...

  20. 75 FR 51515 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2010-08-20

    ... results in a fractional cabinet, the cabinet count is adjusted up to the next increment.) If reserved... trading and execution systems. The Exchange plans to begin operating a data center in Mahwah, New Jersey... space. Specifically, Users may reserve cabinet space of up to 30% of the cabinet space under contract...

  1. 75 FR 69722 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-11-15

    ... physical proximity to the Exchange's trading and execution systems.\\5\\ The Exchange plans to offer these co... proximity to their existing cabinet space. Specifically, Users may reserve cabinet space of up to 30% of the... Exchange. (If the 30% measurement results in a fractional cabinet, the cabinet count is adjusted up to the...

  2. 76 FR 69774 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Rule Change Proposing a One...

    Science.gov (United States)

    2011-11-09

    ... required to provide sample marketing literature, Web site screenshots, other publicly disclosed materials..., it also believes that growth in internalization has required differentiation of retail order flow from other order flow types. The differentiation proposed herein by the Exchange is not designed to...

  3. 78 FR 68488 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2013-11-14

    ... bad faith or unethically.''). Rule 2010--Equities is a broad ethical concept that covers all unethical... regulatory responsibilities for certain NYSE rules and rule interpretations (``FINRA Incorporated NYSE Rules...

  4. 78 FR 48513 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Adopt...

    Science.gov (United States)

    2013-08-08

    ... reduce the systemic and administrative burdens on market participants by avoiding the need for... enforce NYSE Arca rules, as the NYSE would do under its current rule. In sum, the Exchange believes that...

  5. 78 FR 72965 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2013-12-04

    ... type called a Midpoint Passive Liquidity (``MPL'') Order; (2) NYSE MKT Rule 1000--Equities to specify... Order into the Retail Liquidity Program. The text of the proposed rule change is available on the...) NYSE MKT Rule 107C--Equities to incorporate the new MPL Order into the Retail Liquidity Program...

  6. 78 FR 21469 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-10

    ... impose price discipline based upon their business models. For example, vendors that assess a surcharge on..., 2009) (SR-NYSEAmex-2009-85). New Digital Media Offerings The Exchange recently created a new version of NYSE MKT Trades, NYSE MKT Trades Digital Media, which will allow market data vendors, television...

  7. 77 FR 3021 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2012-01-20

    ... ultimately adopted by the Commission--would memorialize an unfair competitive advantage for Amex that is not... requested that the Commission act to eliminate the competitive advantage provided NYSE Amex by the... interest and protection of investors. The Department of Justice recently noted the importance of a...

  8. 77 FR 39761 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-05

    ... rule change as described in Items I, II and III below, which Items have been prepared by the self... Amex Trading Permit (``ATP'') for Order Flow Providers and Clearing Members and to make a conforming... monthly fee per ATP for Order Flow Providers and Clearing Members and to make a conforming change to the...

  9. 78 FR 69904 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-11-21

    ... premium on reducing latency. The LCN 10 Gb LX is designed to meet this demand. Ultimately, a User will be... Users may experience the benefits of such proposed change as soon as possible. The Exchange represented... center. The text of the proposed rule change is available on the Exchange's Web site at www.nyse.com , at...

  10. 78 FR 18660 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-27

    ... Amazon.com Inc. (``AMZN'').\\4\\ Whereas standard option contracts represent a deliverable of 100 shares of... change is available on the Exchange's Web site at www.nyse.com , at the principal office of the Exchange... that only complex and Stock/Option orders that seek to achieve legitimate investment strategies are...

  11. 77 FR 68191 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Deleting...

    Science.gov (United States)

    2012-11-15

    ... micro- second market, there is no longer a competitive advantage to being on the trading Floor when... liquidating order. The Supplementary Material sets forth examples illustrating the operation of NYSE MKT Rules...) was meant to address situations where a Floor broker may have been perceived as having an advantage...

  12. 78 FR 16905 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-19

    ... Trust (GLD), Google Inc. (GOOG), and Amazon.com Inc. (AMZN). These issues were selected because they are...), Google Inc. (GOOG), and Amazon.com Inc. (AMZN) for all expirations applicable to 100 share options on....nyse.com , at the principal office of the Exchange, and at the Commission's Public Reference Room. II...

  13. 78 FR 39369 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Relating to...

    Science.gov (United States)

    2013-07-01

    ... employees to agree and consent in writing to the applicability to them of these jurisdictional and oversight... on the current NYSE Euronext Certificate and Bylaws, will reflect a simplified and more efficient... another current subsidiary of Euronext, Liffe Administration and Management (``LAM''). ICE has informed...

  14. 77 FR 40671 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-10

    ... Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend certain... senior-level) Floor Official approval, both ``buying and selling members'' must agree to the publication... ``or member organizations'' after ``buying and selling members.'' NYSE MKT Rule 2--Equities defines a...

  15. 76 FR 65230 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-10-20

    ... management and the premier global venue for capital raising, with a truly global franchise and presence in... franchise and presence in many of the world's financial centers including New York, London, Frankfurt, Paris... NYSE Amex--which provide marketplaces where investors buy and sell listed companies' common stock and...

  16. 77 FR 42052 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; NYSE Arca, Inc.; Order Instituting...

    Science.gov (United States)

    2012-07-17

    ... Gary L. Gastineau, Managing Member, ETF Consultants LLC, dated June 11, 2012 (``ETF Consultants Letter..., NASDAQ would allocate available MQP Market Maker registrations in a first-come-first-served fashion based...

  17. 78 FR 73223 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-05

    ... into a combined organization, FINRA. Pursuant to Exchange Act Rule 17d-2, New York Stock Exchange LLC...) adopt new rule text that is substantially similar to FINRA Rules 2210 and 2212; and (iii) make other... seminars or lecture courses, writing newspaper or magazine articles, or making radio/TV appearances. Member...

  18. 76 FR 65288 - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-10-20

    ... franchise and presence in many of the world's financial centers including New York, London, Frankfurt, Paris... truly global franchise and presence in many of the world's financial centers including New York, London... and NYSE Amex--which provide marketplaces where investors buy and sell listed companies' common stock...

  19. 76 FR 4970 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-01-27

    ... investors by providing an incentive for them to trade in the well-regulated, publicly-displayed market that... has also been reported that NYSE Amex has offered equity incentives to active members. While Nasdaq is...-professional data usage--is completely consistent with economic theory and past Commission precedent. \\15\\ As...

  20. 77 FR 36307 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-06-18

    ... Restated Operating Agreement of NYSE MKT LLC (collectively the ``Organizational Documents'') to make... directors of the Regulated Subsidiaries, and make certain conforming changes to the Organizational Documents... independent, objective perspectives, while at the same time affording NYSE Euronext sufficient flexibility to...

  1. 77 FR 36321 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2012-06-18

    ... Restated Operating Agreement of NYSE MKT LLC (collectively the ``Organizational Documents'') to make... Organizational Documents, as set forth below. NYSE Euronext Director Independence Policy Under the Proposed Rule... Euronext sufficient flexibility to include persons with expertise and qualifications that will contribute...

  2. 77 FR 35455 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed...

    Science.gov (United States)

    2012-06-13

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

  3. 78 FR 55310 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-09-10

    ... increased the NYSE MKT LLC (``AMEX'') Royalty Fee for RUT from $0.15 per contract to $0.40 per contract. \\4... Effectiveness of a Proposed Rule Change To Amend the Fees Schedule September 4, 2013. Pursuant to Section 19(b... Terms of Substance of the Proposed Rule Change The Exchange proposes to amend its Fees Schedule. The...

  4. 75 FR 6773 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated, International...

    Science.gov (United States)

    2010-02-10

    ... standards applicable to the underlying ETFS Silver and ETF Gold Trusts. Shares of the ETFS Silver and ETFS... Approval of a Proposed Rule Change Relating to Listing and Trading Options on the ETFS Gold Trust and the... Gold Trust and the ETFS Silver Trust (collectively ``ETFS Options''). Specifically, NYSE Amex LLC...

  5. 75 FR 50785 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-08-17

    ... LLC Amending Rule 15--NYSE Amex Equities To Clarify Use of the Last Sale on the Exchange as the Reference Price and To Define the Reference Price of a Security in the Event That There Is No Last Sale in... the last sale on the Exchange as the reference price and to define the reference price of a security...

  6. 78 FR 15394 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2013-03-11

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

  7. 77 FR 75253 - Notice of Receipt of Kinder Morgan Cochin, LLC, Application for a Presidential Permit To Operate...

    Science.gov (United States)

    2012-12-19

    .... KM Cochin is a Delaware limited liability company with its principal office at 500 Dallas Street... interest, and by public investors as limited partners holding common units purchased on the NYSE. Dome... DEPARTMENT OF STATE [Public Notice: 8128] Notice of Receipt of Kinder Morgan Cochin, LLC...

  8. 75 FR 15476 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-03-29

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

  9. 75 FR 2899 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2010-01-19

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

  10. 75 FR 23263 - Alta Wind I, LLC; Alta Wind II, LLC; Alta Wind III, LLC; Alta Wind IV, LLC; Alta Wind V, LLC...

    Science.gov (United States)

    2010-05-03

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. EL10-62-000] Alta Wind I, LLC; Alta Wind II, LLC; Alta Wind III, LLC; Alta Wind IV, LLC; Alta Wind V, LLC; Alta Wind VI, LLC; Alta Wind VII, LLC; Alta Wind VIII, LLC; Alta Windpower Development, LLC; TGP Development Company, LLC...

  11. 77 FR 29633 - Alta Wind VII, LLC, Alta Wind IX, LLC, Alta Wind X, LLC, Alta Wind XI, LLC, Alta Wind XII, LLC...

    Science.gov (United States)

    2012-05-18

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. EL12-68-000] Alta Wind VII, LLC, Alta Wind IX, LLC, Alta Wind X, LLC, Alta Wind XI, LLC, Alta Wind XII, LLC, Alta Wind XIII, LLC, Alta Wind XIV, LLC, Alta Wind XV, LLC, Alta Windpower Development, LLC, TGP Development Company, LLC...

  12. 78 FR 29364 - Exelon Corporation, Exelon Wind 1, LLC, Exelon Wind 2, LLC, Exelon Wind 3, LLC, Exelon Wind 4...

    Science.gov (United States)

    2013-05-20

    ...-005, QF07-55-005, QF07-56-005, QF07-257-004] Exelon Corporation, Exelon Wind 1, LLC, Exelon Wind 2, LLC, Exelon Wind 3, LLC, Exelon Wind 4, LLC, Exelon Wind 5, LLC, Exelon Wind 6, LLC, Exelon Wind 7, LLC, Exelon Wind 8, LLC, Exelon Wind 9, LLC, Exelon Wind 10, LLC, Exelon Wind 11, LLC, High Plains...

  13. 78 FR 51758 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Order...

    Science.gov (United States)

    2013-08-21

    ... limitation and voting limitation, such person must deliver notice of such person's intention to own or vote... books and records of any of the U.S. Regulated Subsidiaries; and (2) the self-regulatory function of the... information) contained in the books and records of the European Market Subsidiaries, and not use such...

  14. 77 FR 61597 - Avalon Wind, LLC; Avalon Wind 2, LLC; Catalina Solar, LLC; Catalina Solar 2, LLC; Pacific Wind...

    Science.gov (United States)

    2012-10-10

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. EL12-109-000] Avalon Wind, LLC; Avalon Wind 2, LLC; Catalina Solar, LLC; Catalina Solar 2, LLC; Pacific Wind Lessee, LLC; Pacific Wind 2, LLC; Valentine Solar, LLC; EDF Renewable Development, Inc.; Notice of Petition for Declaratory...

  15. 77 FR 48138 - Topaz Solar Farms LLC; High Plains Ranch II, LLC; Bethel Wind Energy LLC; Rippey Wind Energy LLC...

    Science.gov (United States)

    2012-08-13

    ... Ranch II, LLC; Bethel Wind Energy LLC; Rippey Wind Energy LLC; Pacific Wind, LLC; Colorado Highlands Wind, LLC; Shooting Star Wind Project, LLC; Notice of Effectiveness of Exempt Wholesale Generator or... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket Nos. EG12-63-000; EG12-64-000...

  16. 77 FR 40608 - Notice of Petition for Enforcement and Declaratory Order; Exelon Wind 1, LLC; Exelon Wind 2, LLC...

    Science.gov (United States)

    2012-07-10

    ... Petition for Enforcement and Declaratory Order; Exelon Wind 1, LLC; Exelon Wind 2, LLC; Exelon Wind 3, LLC; Exelon Wind 4, LLC; Exelon Wind 5, LLC; Exelon Wind 6, LLC; Exelon Wind 7, LLC; Exelon Wind 8, LLC; Exelon Wind 9, LLC; Exelon Wind 10, LLC; Exelon Wind 11, LLC; High Plains Wind Power, LLC Take notice...

  17. 75 FR 5363 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Modifying...

    Science.gov (United States)

    2010-02-02

    ... flow, imposed significant competitive pressure on the NYSE Arca to act equitably, fairly, and... competitive forces that the Commission described in the NYSE Arca Order are present in the case of NYSE Arca... ``when possible, reliance on competitive forces is the most appropriate and effective means to assess...

  18. 75 FR 30095 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Amending Its...

    Science.gov (United States)

    2010-05-28

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62157; File No. SR-NYSEArca-2010-28] Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Amending Its Schedule of Fees May 24, 2010. On April 12, 2010, NYSE Arca, Inc. (``NYSE Arca'') filed with the Securities and Exchange...

  19. 78 FR 32385 - Exelon Generation Company, LLC; CER Generation II, LLC; Constellation Mystic Power, LLC...

    Science.gov (United States)

    2013-05-30

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. EL13-64-000] Exelon Generation Company, LLC; CER Generation II, LLC; Constellation Mystic Power, LLC; Constellation NewEnergy...) Rules of Practice and Procedure, 18 CFR 385.207, Exelon Generation Company, LLC, CER Generation II, LLC...

  20. 77 FR 14010 - Rocky Ridge Wind Project, LLC, Blackwell Wind, LLC, CPV Cimarron Renewable Energy Company, LLC...

    Science.gov (United States)

    2012-03-08

    ..., EG12-18-000, EG12-19-000, EG12- 20-000, EG12-21-000, EG12-22-000, EG12-23-000] Rocky Ridge Wind Project, LLC, Blackwell Wind, LLC, CPV Cimarron Renewable Energy Company, LLC, Minco Wind Interconnection Services, LLC, Shiloh III Lessee, LLC, California Ridge Wind Energy LLC, Perrin Ranch Wind, LLC, Erie Wind...

  1. 75 FR 45623 - Morris Energy Group, LLC v.PSEG Energy Resources & Trade LLC; PSEG Fossil LLC; and PSEG Power LLC...

    Science.gov (United States)

    2010-08-03

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. EL10-79-000] Morris Energy Group, LLC v.PSEG Energy Resources & Trade LLC; PSEG Fossil LLC; and PSEG Power LLC; Notice of Complaint...) filed a complaint against PSEG Energy Resources & Trade, LLC, PSEG Fossil LLC and PSEG Power LLC (PSEG...

  2. 76 FR 5840 - Supermedia LLC, Formerly Known as Idearc Media LLC, Supermedia Information Services LLC, Client...

    Science.gov (United States)

    2011-02-02

    ... Known as Idearc Media LLC, Supermedia Information Services LLC, Client Care Group and Publishing... known as Idearc Media LLC, Client Care Group and Publishing Operations Group, Middleton, Massachusetts... Information Services LLC, Client Care Group and Publishing Operations Group, including on-site leased workers...

  3. 77 FR 70423 - Black Bear Hydro Partners, LLC and Black Bear Development Holdings, LLC and Black Bear SO, LLC...

    Science.gov (United States)

    2012-11-26

    ... Bear Hydro Partners, LLC and Black Bear Development Holdings, LLC and Black Bear SO, LLC; Notice of..., 2012, Black Bear Hydro Partners, LLC, sole licensee (transferor) and Black Bear Development Holdings, LLC and Black Bear SO, LLC (transferees) filed an application for the partial the transfer of licenses...

  4. 75 FR 48385 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-08-10

    ... Gap Inc/The 331 ESI ITT Educational Services Inc. 280 TSL Trina Solar Ltd......... 332 NKE NIKE Inc...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... hereby given that on July 20, 2010, NYSE Arca, Inc. (``NYSE Arca'' or the ``Exchange'') filed with the...

  5. 75 FR 47301 - Cedro Hill Wind LLC; Butler Ridge Wind Energy Center, LLC; High Majestic Wind Energy Center, LLC...

    Science.gov (United States)

    2010-08-05

    ...- 000; EG10-34-000; EG10-34-000; EG10-35-000; EG10-36-000; EG10-37-000; EG10-38-000] Cedro Hill Wind LLC; Butler Ridge Wind Energy Center, LLC; High Majestic Wind Energy Center, LLC; Wessington Wind Energy Center, LLC; Juniper Canyon Wind Power LLC; Loraine Windpark Project, LLC; White Oak Energy LLC; Meadow...

  6. Rock Equity Holdings, LLC

    Science.gov (United States)

    The EPA is providing notice of an Administrative Penalty Assessment in the form of an Expedited Storm Water Settlement Agreement against Rock Equity Holdings, LLC, for alleged violations at The Cove at Kettlestone/98th Street Reconstruction located at 3015

  7. 76 FR 79714 - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing...

    Science.gov (United States)

    2011-12-22

    ... public interest and for the protection of investors, to foster cooperation and coordination among the.... Whereas, the Participating Organizations desire to: (a) Foster cooperation and coordination among the SROs... Fraudulent Devices) [NYSE Amex Cons. Art. II Sec. 3 Confidential Information] [NYSE Amex Cons. Art. V Sec. 4...

  8. 75 FR 1052 - Terra-Gen Dixie Valley, LLC; TGP Dixie Development Company, LLC; New York Canyon, LLC; Notice of...

    Science.gov (United States)

    2010-01-08

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. EL10-29-000] Terra-Gen Dixie Valley, LLC; TGP Dixie Development Company, LLC; New York Canyon, LLC; Notice of Filing December 30, 2009. Take notice that on December 24, 2009, Terra-Gen Dixie Valley, LLC, TGP Dixie Development Company, LLC...

  9. 75 FR 62530 - Eagle Creek Hydro Power, LLC; Laredo Ridge Wind, LLC; RRI Energy West, Inc.; Goshen Phase II LLC...

    Science.gov (United States)

    2010-10-12

    ... Ridge Wind, LLC; RRI Energy West, Inc.; Goshen Phase II LLC; Solar Partners I, LLC; Solar Partners II, LLC; Solar Partners VIII, LLC; Notice of Effectiveness of Exempt Wholesale Generator Status October 1... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. EG10-48-000; EG10-51-000...

  10. 75 FR 7305 - Drake Switching Company, LLC-Operation Exemption- Drake Cement, LLC

    Science.gov (United States)

    2010-02-18

    ... Switching Company, LLC--Operation Exemption-- Drake Cement, LLC Drake Switching Company, LLC (DSC), a... and operated by Drake Cement, LLC.\\1\\ \\1\\ Drake Cement, LLC filed a verified notice of exemption to acquire these track in STB Finance Docket No. 35350, Drake Cement, LLC--Acquisition Exemption--Clarkdale...

  11. 75 FR 65515 - Supermedia LLC, Formerally Known as IDEARC Media LLC, Supermedia Information Services LLC, Client...

    Science.gov (United States)

    2010-10-25

    ... DEPARTMENT OF LABOR Employment and Training Administration [TA-W-74,290] Supermedia LLC, Formerally Known as IDEARC Media LLC, Supermedia Information Services LLC, Client Care Group and Publishing Operations Group, Including On-Site Leased Workers of Advavtage (TAC), RESPRCCONN, TATACONSSV, MODIS, AMDOCS...

  12. 78 FR 79534 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Approving...

    Science.gov (United States)

    2013-12-30

    ..., London School of Economics, and Yuval Millo, Professor of Social Studies of Finance, University of... Daniel Buenza, Lecturer in Management, London School of Economics, and Yuval Millo, Professor of Social... and sellers,\\24\\ which could promote just and equitable principles of trade and would be in the public...

  13. 78 FR 46661 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting...

    Science.gov (United States)

    2013-08-01

    ..., Lecturer in Management, London School of Economics and Yuval Millo, Professor of Social Studies of Finance... promote just and equitable principles of trade, and would be in the public interest.\\22\\ According to this... and manipulative acts and practices, to promote just and equitable principles of trade, to remove...

  14. 78 FR 29406 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation...

    Science.gov (United States)

    2013-05-20

    ... proposed rule change. The Commission may extend the period for issuing an order approving or disapproving... ``parity'' allocation of shares of an Exchange execution, as compared with off-Floor market participants... an advantage over market participants pursuing similar strategies directly on the Exchanges...

  15. 78 FR 42988 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Approving...

    Science.gov (United States)

    2013-07-18

    ... a Floor broker leave the Crowd before entering a liquidating order (selling what had been bought... address. For example, given the increasing automation of the Exchanges, the Commission believes that there...

  16. 78 FR 11928 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting...

    Science.gov (United States)

    2013-02-20

    ...'' effectively required that a Floor broker leave the Crowd before entering a liquidating order (selling what had... things, that the automation of the markets in the intervening years, including the increased speed of... automation and other market structure changes are likely to have substantially reduced the time and place...

  17. 78 FR 63547 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation...

    Science.gov (United States)

    2013-10-24

    ... Daniel Buenza, Lecturer in Management, London School of Economics and Yuval Millo, Professor of Social... Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers, To Make... School of Business, dated May 14, 2013 (``Angel Letter''). Although the comment letters addressed only...

  18. 78 FR 27261 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting Approval...

    Science.gov (United States)

    2013-05-09

    ... and benefits to retail brokers of implementing technology changes to identify orders as Retail or non.... Fourth, the commenter stated that the proposals may cause an exponential increase in monitoring and...

  19. 78 FR 47807 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an...

    Science.gov (United States)

    2013-08-06

    ... Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs July 31, 2013. On July 3, 2012, the Commission issued an order pursuant to its authority under Rule 612(c) of Regulation NMS (``Sub-Penny Rule'') \\1\\ that granted the New York Stock Exchange...

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

    Science.gov (United States)

    2012-08-24

    ... obsolete since the second phase of the New Market Model was launched in 2008.\\9\\ For instance, the... participate in the closing transaction is always included in the hierarchy of execution as if it were interest... also meet the other requirements under section 11(a)(1)(G) and Rule 11a1-1(T) to effect transactions...

  1. 75 FR 16535 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting...

    Science.gov (United States)

    2010-04-01

    ... impose significant competitive pressures on the NYSE in setting the terms for distributing its depth-of... NYSE's compelling need to attract order flow, imposed significant competitive pressure on the NYSE to... that NYSE was subject to significant competitive forces in setting fees for its depth-of-book order...

  2. 76 FR 36914 - Astoria Generating Company, L.P., NRG Power Marketing LLC, Arthur Kill Power LLC, Astoria Gas...

    Science.gov (United States)

    2011-06-23

    ... Generating Company, L.P., NRG Power Marketing LLC, Arthur Kill Power LLC, Astoria Gas Turbine Power LLC... Power Marketing LLC, Arthur Kill Power LLC, Astoria Gas Turbine Power LLC, Dunkirk Power LLC, Huntley... when a document is added to a subscribed docket(s). For assistance with any FERC Online service, please...

  3. 75 FR 7303 - Drake Cement, LLC-Acquisition Exemption-Clarkdale Arizona Central Railroad, LLC

    Science.gov (United States)

    2010-02-18

    ... DEPARTMENT OF TRANSPORTATION Surface Transportation Board [STB Finance Docket No. 35350] Drake Cement, LLC--Acquisition Exemption--Clarkdale Arizona Central Railroad, LLC Drake Cement, LLC (DC), a..., Drake Switching Company, LLC --Operation Exemption-- Drake Cement, LLC. DC certifies that the projected...

  4. 78 FR 9907 - TGP Development Company, LLC; TGP Flying Cloud Holdings, LLC; WEC TX Company, LLC v. Arizona...

    Science.gov (United States)

    2013-02-12

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. EL13-45-000] TGP Development Company, LLC; TGP Flying Cloud Holdings, LLC; WEC TX Company, LLC v. Arizona Public Service Company... section 206 of the Federal Power Act, 16 U.S.C. 824(e) (2006), TGP Development Company, LLC, TGP Flying...

  5. 78 FR 79048 - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change Amending...

    Science.gov (United States)

    2013-12-27

    ... sale disciplinary actions in its equities market, as the Exchange believes that the conduct described... of equity market participants subject to disciplinary action for wash sales, the Exchange proposed a... wash sale disciplinary actions in its equities market. The Exchange stated that Rule 6140--Equities...

  6. 77 FR 60735 - Self-Regulatory Organizations; NYSE Arca, Inc.; International Securities Exchange, LLC; Notice of...

    Science.gov (United States)

    2012-10-04

    ... Gold Trust (``GLD''), Google Inc. (``GOOG''), and Amazon.com , Inc. (``AMZN'').\\12\\ According to the... with the underlying securities, are highly liquid and have well-established trading histories. The...

  7. 75 FR 76453 - Top of the World Wind Energy, LLC; Kit Carson Windpower, LLC; Chestnut Flats Wind, LLC; Minco...

    Science.gov (United States)

    2010-12-08

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket Nos. EG10-65-000; EG10-66-000; EG10-67-000; EG10-68-000; EG10- 69-000; EG10-70-000; EG10-71-000] Top of the World Wind Energy, LLC; Kit Carson Windpower, LLC; Chestnut Flats Wind, LLC; Minco Wind, LLC; Arizona Solar One LLC; Criterion...

  8. 78 FR 40511 - RG Steel Sparrows Point LLC, Formerly Known as Severstal Sparrows Point LLC, a Subsidiary of RG...

    Science.gov (United States)

    2013-07-05

    ... Leased Workers From Echelon Service Company, Sun Associated Industries, Inc., MPI Consultants Llc... Services LLC, Recycling & Treatment Technologies of Baltimore, Llc, and Lafarge North America, Sparrows... leased workers from Echelon Service Company, Sun Associated Industries, Inc., MPI Consultants LLC...

  9. 78 FR 19530 - RG Steel Sparrows Point LLC, Formerly Known as Severstal Sparrows Point LLC, a Subsidiary of RG...

    Science.gov (United States)

    2013-04-01

    ... Leased Workers From Echelon Service Company, Sun Associated Industries, Inc., MPI Consultants LLC... Services LLC, and Recycling & Treatment Technologies of Baltimore, LLC Sparrows Point, Maryland; Amended... Service Company, Sun Associated Industries, Inc., MPI Consultants LLC, Alliance Engineering, Inc...

  10. “Theory anchors” explain the 1920s NYSE Bubble

    OpenAIRE

    Ali Kabiri

    2012-01-01

    The NYSE boom of the 1920s ended with the infamous crash of October 1929 and subsequent collapse in common stock prices from 1929-1932. Most approaches have suggested an overvaluation of 100%, usually dating from mid-1927 to September 1929.Excessive speculation based on high real earnings growth rates from 1921-8, amid a euphoric “new age” for the US economy, has been given as the cause. However, the 1920s witnessed the emergence of new ideas emanating from new research on the long-term retur...

  11. 78 FR 13103 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2013-02-26

    ... intermediate holding company from the ownership structure of the Exchange. C. Self-Regulatory Organization's...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Its Rules To..., Inc., Thereby Eliminating NYSE Arca Holdings, Inc. From the Ownership Structure of the Exchange...

  12. 77 FR 6850 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-02-09

    ... Listing and Trading of the PIMCO Total Return Exchange Traded Fund Under NYSE Arca Equities Rule 8.600... and trade shares (``Shares'') of the PIMCO Total Return Exchange Traded Fund (``Fund'') under NYSE... outlook for interest rates, currency exchange rates, and the economy, analyze credit and call risks, and...

  13. 77 FR 42343 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-18

    ... Firm manual executions, which excludes Strategy Executions, Royalty Fees, and firm trades executed via... Change Relating to Amendments to the NYSE Arca Options Fee Schedule To Increase the Posted Liquidity... Exchange proposes to amend the NYSE Arca Options Fee Schedule (``Fee Schedule'') to increase the posted...

  14. 78 FR 47807 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-06

    ... Change Amending the NYSE Arca Options Fee Schedule To Increase the Royalty Fees Applicable to Non... Fee Schedule to increase the Royalty Fees applicable to non-Customer transactions in options on the... proposes to amend the NYSE Arca Options Fee Schedule to increase the Royalty Fees applicable to non...

  15. 77 FR 38351 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-06-27

    ... copper market is the third largest metals market in terms of physical volume. Much of the copper traded...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of iShares Copper Trust Pursuant to NYSE Arca Equities Rule 8.201 June 22, 2012. Pursuant to Section...

  16. 77 FR 34445 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-11

    ... Outsourcing Solutions, Inc. as an NYSE Arca ETP Holder and OTP Holder, Subject to Apex Clearing Complying With... Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. (``Apex Clearing'') as an NYSE Arca ETP... could have a significant collateral impact to a number of other ETP Holders and OTP Holders. The...

  17. 77 FR 41849 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-16

    ... or OTP Holder has trained its personnel, and any entity assisting in its compliance, in procedures... Rule 3230(e). Outsourcing Telemarketing NYSE Arca Rule 9.20(b)(6) states that if an OTP Firm or OTP... remains responsible for ensuring compliance with all provisions contained in the rule. Proposed NYSE Arca...

  18. 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...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Trail System Rules, for Equity Trading Permit Holders That Are Not Financial Industry Regulatory...

  19. 77 FR 65920 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-10-31

    ... Trading of Shares of the Pring Turner Business Cycle ETF Under NYSE Arca Equities Rule 8.600 October 25... Turner Business Cycle ETF. The text of the proposed rule change is available on the Exchange's Web site... and trade shares (``Shares'') of the Pring Turner Business Cycle ETF (``Fund'') under NYSE Arca...

  20. 77 FR 76121 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-12-26

    ... well as other factors that influence exchange rates such as flows, market technical trends, and... Foreign Currency Strategy Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 December 19, 2012... following under NYSE Arca Equities Rule 8.600 (``Managed Fund Shares''): PIMCO Foreign Currency Strategy...

  1. 77 FR 31050 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-05-24

    ...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Liquidity in Penny Pilot Issues May 18, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on May 8, 2012, NYSE Arca...

  2. 75 FR 31484 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Modify...

    Science.gov (United States)

    2010-06-03

    ... nature of the core data disclosure regime leaves little room for competitive forces to determine products... an essential part of NYSE Arca's competitive success. If NYSE Arca cannot attract order flow to its...); State Oil Co. v. Khan, 522 U.S. 3 (1997); Northern Pacific Railway Co. v. U.S., 356 U.S. 1 (1958). \\23...

  3. 78 FR 39352 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2013-07-01

    ..., directors and employees to agree and consent in writing to the applicability to them of these jurisdictional... substantial part on the current NYSE Euronext Certificate and Bylaws, will reflect a simplified and more... informed NYSE Euronext that it expects the derivatives business of LAM will be gradually transitioned to...

  4. 76 FR 53012 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-08-24

    ...) at all times the customer order is executable by the ETP Holder. Conforming and Other Changes For... respect to the proposed rule change that are filed with the Commission, and all written communications... Change Deleting the Text of NYSE Arca Equities Rules 6.16 and 6.16A, and Adopting New NYSE Arca Equities...

  5. 76 FR 79238 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-12-21

    ... Publication of Manipulative or Deceptive Quotations or Transactions, as NYSE Arca Equities Rule 5210 December... manipulative or deceptive quotations or transactions, as NYSE Arca Equities Rule 5210. The text of the proposed... the text of FINRA Rule 5210, which prohibits the publication of manipulative or deceptive quotations...

  6. 78 FR 28917 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-05-16

    ... connect to the server remain fee liable. If the Professional End-User cannot limit or track the number of... Change Establishing Non- Display Usage Fees and Amending the Professional End-User Fees for NYSE Arca... Professional End-User fees for NYSE Arca Options market data, operative on May 1, 2013. The text of the...

  7. 76 FR 34692 - Astoria Generating Company, L.P., NRG Power Marketing LLC, Arthur Kill Power LLC, Astoria Gas...

    Science.gov (United States)

    2011-06-14

    ... Generating Company, L.P., NRG Power Marketing LLC, Arthur Kill Power LLC, Astoria Gas Turbine Power LLC... Generating Company, L.P., NRG Power Marketing LLC, Arthur Kill Power LLC, Astoria Gas Turbine Power LLC... notification when a document is added to a subscribed docket(s). For assistance with any FERC Online service...

  8. 78 FR 21151 - Boise White Paper, LLC, A Subsidiary of Boise Paper Holdings, LLC, Including On-Site Leased...

    Science.gov (United States)

    2013-04-09

    ... Paper, LLC, A Subsidiary of Boise Paper Holdings, LLC, Including On-Site Leased Workers From Guardsmark.... Helens, OR; Boise White Paper, LLC, A Subsidiary of Boise Paper Holdings, LLC, Vancouver, WA; Amended... workers and former workers of Boise White Paper, LLC, a subsidiary of Boise Paper Holdings, LLC, St...

  9. Knight Capital Americas LLC

    DEFF Research Database (Denmark)

    Austin, Robert D.; Meister, Darren

    2015-01-01

    It took 19 years to build Knight Capital Americas LLC into the largest market maker on the New York Stock Exchange, but on August 1, 2012, it took only 45 minutes for the firm to be wiped out by an information technology (IT) problem: a change in the company's software caused it to lose more than...... $450 million dollars in less than an hour. Although it was ultimately saved from bankruptcy when it was acquired two days later, the terms of acquisition were very unfavourable to the company's shareholders. How did this happen? Could it have been prevented? What should the staff, the chief executive...

  10. 75 FR 77862 - FFP Missouri 16, LLC, Solia 9 Hydroelectric, LLC; Notice of Competing Preliminary Permit...

    Science.gov (United States)

    2010-12-14

    ... Missouri 16, LLC, Solia 9 Hydroelectric, LLC; Notice of Competing Preliminary Permit Applications Accepted.... On August 6, 2010, FFP Missouri 16, LLC (FFP) and Solia 9 Hydroelectric, LLC filed preliminary permit...-2822. Solia 9 Hydroelectric's proposed Lock and Dam 15 Hydropower Project (Project No. 13827-000) would...

  11. 75 FR 76520 - Tennessee Southern Railroad Company, Patriot Rail, LLC, Patriot Rail Holdings LLC, and Patriot...

    Science.gov (United States)

    2010-12-08

    ... family by converting two of its subsidiaries from corporations into limited liability companies: (1... Railroad Company, Patriot Rail, LLC, Patriot Rail Holdings LLC, and Patriot Rail Corp.--Corporate Family... Railroad Company (TSRR), Patriot Rail, LLC (PRL) and its subsidiaries, Patriot Rail Holdings LLC (PRH) and...

  12. 78 FR 15053 - Simpson Lumber Company, LLC, Shelton, Washington; Simpson Lumber Company, LLC, Tacoma, Washington...

    Science.gov (United States)

    2013-03-08

    ...,372B] Simpson Lumber Company, LLC, Shelton, Washington; Simpson Lumber Company, LLC, Tacoma, Washington; Simpson Lumber Company, LLC, Longview, Washington; Notice of Revised Determination on Reconsideration On... Reconsideration for the workers and former workers of Simpson Lumber Company, LLC, Shelton, Washington (TA-W-81...

  13. 76 FR 40946 - WNC Tax Credits 40, LLC, WNC Tax Credits 41, LLC, WNC Housing Tax Credits Manager 2, LLC, WNC...

    Science.gov (United States)

    2011-07-12

    ... Credits 40, LLC, WNC Tax Credits 41, LLC, WNC Housing Tax Credits Manager 2, LLC, WNC National Partners... (``Fund 41'') (each a ``Fund,'' and collectively, the ``Funds''), WNC Housing Tax Credits Manager 2, LLC (the ``Manager''), WNC National Partners, LLC (``WNC National Partners'') and WNC & Associates, Inc...

  14. Causality and correlations between BSE and NYSE indexes: A Janus faced relationship

    Science.gov (United States)

    Neeraj; Panigrahi, Prasanta K.

    2017-09-01

    We study the multi-scale temporal correlations and causality connections between the New York Stock Exchange (NYSE) and Bombay Stock Exchange (BSE) monthly average closing price indexes for a period of 300 months, encompassing the time period of the liberalisation of the Indian economy and its gradual global exposure. In multi-scale analysis; clearly identifiable 1, 2 and 3 year non-stationary periodic modulations in NYSE and BSE have been observed, with NYSE commensurating changes in BSE at 3 years scale. Interestingly, at one year time scale, the two exchanges are phase locked only during the turbulent times, while at the scale of three year, in-phase nature is observed for a much longer time frame. The two year time period, having characteristics of both one and three year variations, acts as the transition regime. The normalised NYSE's stock value is found to Granger cause those of BSE, with a time lag of 9 months. Surprisingly, observed Granger causality of high frequency variations reveals BSE behaviour getting reflected in the NYSE index fluctuations, after a smaller time lag. This Janus faced relationship, shows that smaller stock exchanges may provide a natural setting for simulating market fluctuations of much bigger exchanges. This possibly arises due to the fact that high frequency fluctuations form an universal part of the financial time series, and are expected to exhibit similar characteristics in open market economies.

  15. 78 FR 34092 - Lock+ Hydro Friends Fund XXX, LLC; FFP Project 121, LLC; Notice of Competing Preliminary Permit...

    Science.gov (United States)

    2013-06-06

    .... 14504-000] Lock+ Hydro Friends Fund XXX, LLC; FFP Project 121, LLC; Notice of Competing Preliminary... Applications Lock+ Hydro Friends Fund XXX, LLC and FFP Project 121, LLC filed preliminary permit applications... regular business day. See id. at 385.2001(a)(2). Lock+ Hydro Friends Fund XXX, LLC's application is for a...

  16. 76 FR 36910 - Astoria Generating Company, L.P., NRG Power Marketing LLC, Arthur Kill Power LLC, Astoria Gas...

    Science.gov (United States)

    2011-06-23

    ... Generating Company, L.P., NRG Power Marketing LLC, Arthur Kill Power LLC, Astoria Gas Turbine Power LLC... Generating Company, L.P., NRG Power Marketing LLC, Arthur Kill Power LLC, Astoria Gas Turbine Power [[Page... subscribed docket(s). For assistance with any FERC Online service, please e-mail [email protected

  17. 75 FR 12230 - Black Oak Energy, L.L.C., EPIC Merchant Energy, LP, SESCO Enterprises, LLC v. PJM Interconnection...

    Science.gov (United States)

    2010-03-15

    ... Energy, L.L.C., EPIC Merchant Energy, LP, SESCO Enterprises, LLC v. PJM Interconnection, L.L.C.; Notice of Filing March 8, 2010. Take notice that on March 1, 2010, PJM Interconnection, L.L.C. filed a..., Order Accepting Compliance filing issued in this proceeding, Black Oak Energy, L.L.C., et al. v. PJM...

  18. 77 FR 60981 - TGP Granada, LLC and Roosevelt Wind Ranch, LLC v. Public Service Company of New Mexico, Tortoise...

    Science.gov (United States)

    2012-10-05

    ...; EL12-43-000, EL12-43-001 TGP Granada, LLC and Roosevelt Wind Ranch, LLC v. Public Service Company of New Mexico, Tortoise Capital Resources Corp.; TGP Granada, LLC and Roosevelt Wind Ranch, LLC; Notice... over capacity on the Eastern Interconnection Project. \\1\\ TGP Granada, LLC v. Pub. Serv. Co. of New...

  19. 78 FR 6842 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule...

    Science.gov (United States)

    2013-01-31

    ... the NYSE multi-cast equities data feed, which includes NYSE ArcaBook Highspeed and NYSE OpenBook... $7,500; and the MRC for Direct Edge Depth of Book multi-cast feed, which includes EDGA and EDGX, will... common practice for colocation offerings, would ensure that the Exchange can recoup the substantial...

  20. 76 FR 79260 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-12-21

    ... Prohibits the Publication of Manipulative or Deceptive Quotations or Transactions, as NYSE Rule 5210... 5210, which prohibits the publication of manipulative or deceptive quotations or transactions, as NYSE... publication of manipulative or deceptive quotations or transactions, as NYSE Rule 5210.\\4\\ \\4\\ See Securities...

  1. 76 FR 81968 - United States v. Deutsche Börse AG and NYSE Euronext; Proposed Final Judgment and Competitive...

    Science.gov (United States)

    2011-12-29

    ... domestically, because it allows them to build brand awareness and reputation and stay close to U.S. capital... brands in finance. Its post- merger leadership will be split between former executives from both NYSE and...

  2. 77 FR 7634 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-02-13

    ... Less Than $75 \\1\\ ``iShares[supreg]'' is a registered trademark BlackRock Institutional Trust Company... Public Reference Room, and www.nyse.com . \\5\\ ``iShares[reg]'' is a registered trademark BlackRock...

  3. 77 FR 27817 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2012-05-11

    ... its parent company or its affiliates. See id. \\9\\ See email from Tim Malinowski, Senior Director, NYSE... IIV is no longer calculated or available as required. \\17\\ See email from Tim Malinowski, Senior...

  4. 78 FR 48528 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Amend...

    Science.gov (United States)

    2013-08-08

    ... to and system coding for exchange systems and would reduce the systemic and administrative burdens on... the Affiliated Exchange enforce the Exchange's rules. The Exchange believes that adding NYSE MKT to...

  5. Carrington Real Estate Services, LLC and Carrington Mortgage Services, LLC Information Sheet

    Science.gov (United States)

    Carrington Real Estate Services, LLC and Carrington Mortgage Services, LLC (the Company) is located in Anaheim, California. The settlement involves the sale of properties constructed prior to 1978, located in Bakersfield and Ridgecrest, California.

  6. 75 FR 17976 - WNC Tax Credits 38, LLC, WNC Tax Credits 39, LLC, WNC Housing Tax Credits Manager, LLC and WNC...

    Science.gov (United States)

    2010-04-08

    ... Credits 38, LLC, WNC Tax Credits 39, LLC, WNC Housing Tax Credits Manager, LLC and WNC & Associates, Inc... collectively, the ``Funds''), WNC Housing Tax Credits Manager, LLC (the ``Manager'') and WNC & Associates, Inc... credit under the Internal Revenue Code of 1986, as amended. The Manager is a California limited liability...

  7. Fiscal Aggressiveness: A comparison between companies listed on the NYSE and BM&FBOVESPA1

    Directory of Open Access Journals (Sweden)

    Risolene Alves de Macena Araújo

    2018-01-01

    Full Text Available Actions aimed at reducing corporate taxes through aggressive tax activities are becoming an increasingly common feature of the organizational environment in many countries around the world. In view of this, the objective of this work was to verify that the companies listed on the New York Stock Exchange (NYSE are less aggressive fiscally than companies listed on the São Paulo Stock Exchange(BM&FBOVESPA. The analysis period was from 2010 to 2014. To achieve this goal, the aggressive fiscal proxies were based on the study of Chen et al. (2010: effective rate of tax (ETR and difference between accounting profit and taxable profit (BTD. Regression techniques were used OLS Regression and Quantile regression for a sample of 501 companies, being 107 companies listed on the BM&FBOVESPA and 394 listed on the New York Stock Exchange (NYSE. The results showed that the NYSE companies are less aggressive fiscally than companies listed on the BM&FBOVESPA,  except in the upper quantile (quantile 90 relating to the ETR, in which companies the NYSE showed lower ETR than companies of BM&FBOVESPA, suggesting greater fiscal aggression of these companies.

  8. 75 FR 81264 - Critical Path Transmission, LLC; Clear Power, LLC; v. California Independent System Operator, Inc...

    Science.gov (United States)

    2010-12-27

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. EL11-11-000] Critical Path Transmission, LLC; Clear Power, LLC; v. California Independent System Operator, Inc.; Notice of Complaint... and 306 of the Federal Power Act, 16 U.S.C. 824e and 825e (2006), Critical Path Transmission, LLC and...

  9. 76 FR 56428 - Southern Cross Transmission LLC; Pattern Power Marketing LLC; Notice of Filing

    Science.gov (United States)

    2011-09-13

    ... Transmission LLC; Pattern Power Marketing LLC; Notice of Filing Take notice that on September 6, 2011, pursuant... Marketing LLC (PPM) jointly filed an application requesting that the Commission direct (1) the City of... with any FERC Online service, please e-mail [email protected] , or call (866) 208-3676 (toll...

  10. 75 FR 69469 - Supermedia, LLC, Formerly Known as Idearc Media, LLC, a Subsidiary of Supermedia Information...

    Science.gov (United States)

    2010-11-12

    ... DEPARTMENT OF LABOR Employment and Training Administration [TA-W-73,170] Supermedia, LLC, Formerly Known as Idearc Media, LLC, a Subsidiary of Supermedia Information Services, LLC, Troy, NY; Notice of Affirmative Determination Regarding Application for Reconsideration By application dated July 16, 2010, a...

  11. 75 FR 34170 - Plastic Omnium Automotive Exteriors, LLC, Anderson, SC; Plastic Omnium Automotive Exteriors, LLC...

    Science.gov (United States)

    2010-06-16

    ... Omnium Automotive Exteriors, LLC, Anderson, SC; Plastic Omnium Automotive Exteriors, LLC, Troy, MI... the Anderson, South Carolina location of Plastic Omnium Automotive Exteriors, LLC, working out of Troy... certification to include workers in support of the Anderson, South Carolina facility working out of Troy...

  12. 75 FR 41895 - Inteva Products, LLC Adrian, Michigan; Inteva Products, LLC Troy, Michigan; Amended Certification...

    Science.gov (United States)

    2010-07-19

    ... Products, LLC Adrian, Michigan; Inteva Products, LLC Troy, Michigan; Amended Certification Regarding... time period at the Troy, Michigan location of Inteva Products, LLC. The Troy, Michigan location.... Accordingly, the Department is amending the certification to include workers of the Troy, Michigan location of...

  13. 75 FR 82426 - Big Four Terminal Railroad, LLC-Operation Exemption-RMW Ventures, LLC

    Science.gov (United States)

    2010-12-30

    ... DEPARTMENT OF TRANSPORTATION Surface Transportation Board [Docket No. FD 35454] Big Four Terminal Railroad, LLC--Operation Exemption--RMW Ventures, LLC Big Four Terminal Railroad, LLC (BFTR), has filed a verified notice of exemption under 49 CFR 1150.31 to operate over 5.2 +/- miles of rail line between...

  14. Tom Ford Construction, LLC Information Sheet

    Science.gov (United States)

    Tom Ford Construction, LLC (the Company) is located in Brentwood, Tennessee. The settlement involves renovation activities conducted at a property constructed prior to 1978, located in Nashville, Tennessee.

  15. 75 FR 1049 - Wausau Paper Printing & Writing, LLC,

    Science.gov (United States)

    2010-01-08

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Project No. 2533-046] Wausau Paper Printing & Writing, LLC, Wausau Paper Mills, LLC; Notice of Application for Transfer of License and... & Writing, LLC (transferor) and Wausau Paper Mills, LLC (transferee) filed an application for transfer of...

  16. 77 FR 12280 - FFP Missouri 17, LLC BOST2 Hydroelectric, LLC; Notice Announcing Filing Priority for Preliminary...

    Science.gov (United States)

    2012-02-29

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Project Nos. 13824-000, 13826-000] FFP Missouri 17, LLC BOST2 Hydroelectric, LLC; Notice Announcing Filing Priority for Preliminary Permit... Hydroelectric, LLC, Project No. 13826-000. 2. FFP Missouri 17, LLC, Project No. 13824-000. Dated: February 22...

  17. 77 FR 38884 - Professional Transportation, Inc.-Asset Acquisition-CUSA ES, LLC and CUSA CSS, LLC

    Science.gov (United States)

    2012-06-29

    ..., Inc.--CUSA ES, LLC (MC-463168) and CUSA CSS, LLC (MC-522544) (collectively, Coach America Subsidiaries... Transportation, Inc.--Asset Acquisition--CUSA ES, LLC and CUSA CSS, LLC AGENCY: Surface Transportation Board. ACTION: Notice of Finance Application. SUMMARY: Professional Transportation, Inc. (PTI or Applicant), an...

  18. 77 FR 27763 - Quantum Choctaw Power, LLC, USG Nevada LLC, et al.; Notice of Effectiveness of Exempt Wholesale...

    Science.gov (United States)

    2012-05-11

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket Nos. EG12-31-000; EG12-32-000; et al.] Quantum Choctaw Power, LLC, USG Nevada LLC, et al.; Notice of Effectiveness of Exempt Wholesale Generator Status Docket Nos. Quantum Choctaw Power, LLC EG12-31-000 USG Nevada LLC EG12-32-000...

  19. 78 FR 24803 - Hilco SP Rail, LLC-Acquisition and Operation Exemption-RG Steel Railroad Holding, LLC

    Science.gov (United States)

    2013-04-26

    ... DEPARTMENT OF TRANSPORTATION Surface Transportation Board [Docket No. FD 35734] Hilco SP Rail, LLC--Acquisition and Operation Exemption--RG Steel Railroad Holding, LLC Hilco SP Rail, LLC (Hilco), a noncarrier... Holding, LLC, and operate as a common carrier over an approximately 12-mile line of railroad in Sparrows...

  20. 75 FR 49527 - Caps Visual Communications, LLC; Black Dot Group; Formerly Known as Caps Group Acquisition, LLC...

    Science.gov (United States)

    2010-08-13

    ... DEPARTMENT OF LABOR Employment and Training Administration [TA-W-74,195] Caps Visual Communications, LLC; Black Dot Group; Formerly Known as Caps Group Acquisition, LLC Chicago, IL; Amended... of Caps Visual Communications, LLC, Black Dot Group, formerly known as Caps Group Acquisition, LLC...

  1. 76 FR 78641 - Cedar Creek Wind Energy, LLC, Milford Wind Corridor Phase I, LLC; Notice of Filing

    Science.gov (United States)

    2011-12-19

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. RC11-1-002; Docket No. RC11-2-002] Cedar Creek Wind Energy, LLC, Milford Wind Corridor Phase I, LLC; Notice of Filing Take...) June 16, 2011 Order.\\1\\ \\1\\ Cedar Creek Wind Energy, LLC and Milford Wind Corridor Phase I, LLC, 135...

  2. 77 FR 70478 - RG Steel Wheeling, LLC, Wheeling Office, A Division Of RG Steel, LLC, Including On-Site Leased...

    Science.gov (United States)

    2012-11-26

    ... Unlimited and Green Energy Initiatives LLC, Including Workers Whose Wages Were Reported Through Severstal..., Wheeling Office, a division of RG Steel, LLC, including on-site leased workers from Pro Unlimited and Green Energy Initiatives, LLC, Wheeling, West Virginia (TA-W-81,880) and Mountain State Carbon, LLC, including...

  3. 77 FR 65874 - Kinder Morgan Pony Express Pipeline LLC, Hiland Crude, LLC; Notice of Petition For Declaratory Order

    Science.gov (United States)

    2012-10-31

    ... Pony Express Pipeline LLC, Hiland Crude, LLC; Notice of Petition For Declaratory Order Take notice that..., 18 CFR 385.207(a)(2)(2012), Kinder Morgan Pony Express Pipeline LLC and Hiland Crude, LLC, filed a... terms, as described in filing. Any person desiring to intervene or protest in any of the above...

  4. 76 FR 67721 - PNE Energy Supply, LLC;

    Science.gov (United States)

    2011-11-02

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. ER12-186-000] PNE Energy Supply, LLC; Supplemental Notice that Initial Market-Based Rate Filing Includes Request for Blanket... Supply, LLC's application for market-based rate authority, with an accompanying rate tariff, noting that...

  5. 76 FR 61689 - Sutton Hydroelectric Company, LLC

    Science.gov (United States)

    2011-10-05

    ... Hydroelectric Company, LLC Notice of Site Visit On February 6, 2008, Sutton Hydroelectric Company, LLC (Sutton Hydroelectric) filed a notice of intent and a preliminary application document to license its proposed Sutton Hydroelectric Project No. 12693. The project would be located at the U.S. Army Corps of Engineers' (Corps...

  6. 77 FR 69682 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a...

    Science.gov (United States)

    2012-11-20

    ..., and that in some cases its port fees are less expensive than many of its primary competitors.\\11\\ The... differences between a drop copy port and an order/quote entry port (e.g., that configuration and monitoring of...

  7. 78 FR 69499 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-11-19

    ... Exchange for Dissemination to the Options Price Reporting Authority Is Subject to Disciplinary Action... (``OPRA'') is subject to disciplinary action, including fines. Current Rule 957NY requires an ATP Holder... determining appropriate disciplinary action for late reporting of option transactions, the Exchange may apply...

  8. 77 FR 71853 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-04

    ... available best-priced interest that would not lock or cross the Exchange best offer (bid). In moving the... could lock or cross the Exchange best bid or offer could be if a liquidity replenishment point (``LRP'') is reached pursuant to Rule 1000-- Equities, and automatic executions on one side of the market are...

  9. 78 FR 48922 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-12

    ... could increase the ratio during times of market stress so that ATP Firms could continue to foster price..., views, and arguments concerning the foregoing, including whether the proposed rule change is consistent...

  10. 77 FR 49038 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-15

    ... proposal. Furthermore, the notion of ``premium'' or ``select'' pricing for a subset of issues traded on an... Permit and Monthly Fees Relating to Trading in Premium Products August 9, 2012. Pursuant to Section 19(b...''), and (ii) introduce a group of 10 issues, to be known as Premium Products, that will carry a monthly...

  11. 77 FR 73708 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-11

    ...: Brazil, Chile, China, Colombia, Czech Republic, Egypt, Hungary, India, Indonesia, Korea, Malaysia, Mexico... potential and actual ability to provide liquidity and depth in the product), as well as retail traders...

  12. 78 FR 21172 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-09

    ... are subject to a fee structure that utilizes the following basic principles: \\8\\ See Securities... economics literature confirms that there is no way to allocate common costs between joint products that... generally Mark Hirschey, Fundamentals of Managerial Economics, at 600 (2009) (``It is important to note...

  13. 78 FR 22011 - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving, on an Accelerated Basis, Proposed...

    Science.gov (United States)

    2013-04-12

    ... volatility. \\18\\ See Rule 900.3NY(d)(1). Stop Orders when elected create a Market Order to buy or sell the... Limit Orders when elected create a Limit Order to buy or sell the option at a specific price. See 900... security, which may affect the quoting behavior of Specialists and Market Makers. For example, when the...

  14. 78 FR 22004 - Self-Regulatory Organizations; NYSE Arca LLC; Order Approving, on an Accelerated Basis, Proposed...

    Science.gov (United States)

    2013-04-12

    ... volatility. \\18\\ See Rule 6.62(d)(1). Stop Orders when elected create a Market Order to buy or sell the... Limit Orders when elected create a Limit Order to buy or sell the option at a specific price. See Rule 6... behavior of Lead Market Makers and Market Makers. For example, when the underlying is in a Limit or...

  15. 78 FR 23963 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-23

    ... Strategic Investments Corporation (``BAML''), Barclays Electronic Commerce Holdings Inc. (``Barclays... & Co. (``Goldman Sachs''), Datek Online Management Corp. (``TD Ameritrade'') and UBS Americas Inc...

  16. 77 FR 59423 - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of a Proposed Rule Change...

    Science.gov (United States)

    2012-09-27

    ... America Strategic Investments Corporation (``BAML''), Barclays Electronic Commerce Holdings Inc...''), Goldman, Sachs & Co. (``Goldman Sachs''), Datek Online Management Corp. (``TD Ameritrade'') and UBS...

  17. 77 FR 59234 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Amend...

    Science.gov (United States)

    2012-09-26

    ... as the product of (i) the Founding Firm aggregate target market share for such measurement period... exceeded its ``Individual Target'' during the measurement period. A Founding Firm's Individual Target is its pro rata portion of an aggregate Founding Firm target contribution to the annual volume of the...

  18. 77 FR 68177 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-15

    ... and the ability to more closely tailor their investment and risk management strategies and decisions..., and risk management purposes. In addition, the Exchange proposes to delete Commentary .08 to Exchange... strategies effectively via STOS, particularly in the current fast, multi-faceted trading and investing...

  19. 78 FR 70380 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-11-25

    .... The CTA Plan, pursuant to which markets collect and disseminate last sale price information for non-NASDAQ listed securities, is a ``transactional plan'' under Rule 601 of the Securities and Exchange Act (the ``Act''), 17 CFR 242.601, and a ``national market system plan'' under Rule 608 under the Act, 17...

  20. 78 FR 14388 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-05

    ... the Transaction. IFUS trades its products exclusively on an electronic trading platform and no longer... that are proposed to relocate to the Blue Room can execute transactions electronically in all products... orange juice, coffee, sugar, cocoa, energy, foreign currencies, and certain Russell Indices.\\6\\ However...

  1. 77 FR 57621 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-09-18

    ... from an order processing issue at a routing destination. For instance, if a routing destination experienced a systems problem that affects its order processing, it may transmit back a message purporting to... Broker that affects one or more orders (``error positions''). By definition, an error position would not...

  2. 77 FR 65030 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-10-24

    ... the manner described below. Example B. Error positions may result from an order processing issue at a... order processing, it may transmit back a message purporting to cancel a routed order, but then... definition, an error position would not include any position that results from an order submitted by a member...

  3. 78 FR 16554 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-15

    ... time period of the Pilot Program,\\4\\ which is currently scheduled to expire on March 31, 2013 through... manipulative acts and practices, to promote just and equitable principles of trade, to foster cooperation and... the Pilot Program is designed to promote just and equitable principles of trade, to foster cooperation...

  4. 77 FR 62576 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2012-10-15

    ...) compensation paid to an immediate family member who is an employee (other than an executive officer) of the...) whether the director has an affiliate relationship with the company, a subsidiary of the company or an... affirmatively determines that the director does not have a relationship that would interfere with the exercise...

  5. 78 FR 39036 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-28

    ... applicable non-financial listing standard requirements, including, without limitation, the requirements of... financial statements for a full fiscal year commencing on a date after the date of filing with the...-K, including all required audited financial statements (the ``Reverse Merger Form 8-K'').\\5\\ In...

  6. 77 FR 52767 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-30

    ... inherently contestable because there is fierce competition for the inputs necessary to the creation of... spur innovation and competition for the provision of market data. The Exchange believes that the... and competition: [E]fficiency is promoted when broker-dealers who do not need the data beyond the...

  7. 78 FR 57198 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-09-17

    ... Article I of the OCC By-Laws. The proposed rule change would apply only to series of option contracts... the exercise of option contracts. Specifically, the Exchange proposes to specify that the 10-business... a business day. Third, the Exchange proposes to amend Rule 980 (Exercise of Option Contracts) in...

  8. 77 FR 68194 - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of Proposed Rule Change, as...

    Science.gov (United States)

    2012-11-15

    ...) Strike price higher than the highest strike price with open interest in the put and/or call series for a given expiration month; and (ii) strike price lower than the lowest strike price with open interest in... Exchange has represented that it and OPRA have the necessary systems capacity to handle the potential...

  9. 77 FR 52090 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-28

    .../or default settings for the Risk Limitation Mechanisms proposed under Rule 928NY.\\19\\ This would... default settings would apply only to Market Makers using the Transaction-Based Risk Limitation Mechanism... currently announces the applicable minimum, maximum and default settings for the Risk Limitation Mechanisms...

  10. 77 FR 34442 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-11

    ... Clearing and Outsourcing Solutions, Inc. as an Exchange Equities Member Organization and ATP Holder... Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. (``Apex Clearing'') as... impact to a number of other Exchange Equities member organizations and ATP Holders. The proposed...

  11. 77 FR 41859 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-16

    ... in its compliance, in procedures established pursuant to the national do-not-call rules; (3) The...\\ See also FINRA Rule 3230(e). Outsourcing Telemarketing Rule 3230(f)--Equities states that if a member... remains responsible for ensuring compliance with all provisions contained in the rule. Proposed Rule 3230...

  12. 77 FR 41824 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-16

    ... personnel, and any entity assisting in its compliance, in procedures established pursuant to the national do... FINRA Rule 3230(e). Outsourcing Telemarketing Rule 429(f) states that if a member organization uses... responsible for ensuring compliance with all provisions contained in the rule. Proposed Rule 429(f) also...

  13. 77 FR 73106 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-07

    ... price, and an order acceptance cut-off time. The Exchange designates the order acceptance cut-off time... Amending Rule 123C(9)(a)(1)(ii)--Equities To Delete the Requirement That the Order Acceptance Cut-Off Time... order acceptance cut-off time cannot be past 4:30 p.m. The text of the proposed rule change is available...

  14. 78 FR 19777 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-02

    ... costs of processing Mini quotes and orders will necessarily cause the Exchange to either raise fees for... 17 to the current Fee Schedule.\\7\\ As noted earlier, the cost to the Exchange to process quotes... the right balance of fees applicable to Minis--too low and the costs of processing Mini quotes and...

  15. 77 FR 77154 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-31

    ... Commentary .01, a Trading Official determines that the execution of such trade was done in violation of... PHLX rule deal with the nullification of an options trade whenever the underlying security or a certain...). Additionally, paragraph (D) of the PHLX rule deals with Treasury securities. The Exchange does not trade...

  16. 77 FR 45406 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-31

    .... This schedule is known as the DMM Capital Commitment Schedule (``CCS'').\\11\\ CCS provides the Display..., at and inside the Exchange Best Bid or Best Offer (``BBO''). CCS interest is separate and distinct...

  17. 78 FR 38766 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-27

    .... This schedule is known as the DMM Capital Commitment Schedule (``CCS'').\\11\\ CCS provides the Display..., at and inside the Exchange Best Bid or Best Offer (``BBO''). CCS interest is separate and distinct...

  18. 78 FR 1286 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-01-08

    ... (``CCS'').\\12\\ CCS provides the Display Book[supreg] \\13\\ with the amount of shares that the DMM is willing to trade at price points outside, at and inside the Exchange Best Bid or Best Offer (``BBO''). CCS...

  19. 78 FR 62881 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-22

    ... to fund the S501 CE Program administered to persons registered only as Proprietary Traders who are... Company Products/Variable Contracts Limited Representatives; and (3) the S101 (``S101 CE Program'') for... S201, S106 and S101 CE Programs, ``CE Programs'') for persons registered only as Proprietary Traders.\\8...

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

    Science.gov (United States)

    2013-04-10

    ... trades they have prevented, and have allowed the Exchange to communicate in an orderly way with issuers during periods of market stress. \\4\\ See Securities Exchange Act Release No. 53539 (March 22, 2006), 71... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69294; File No. SR-NYSEMKT-2013-33] Self...

  1. 78 FR 2465 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-01-11

    ... proposed rule change as described in Items I, II, and III below, which Items have been prepared by the self... CRD system for the registration of associated persons of ATP Holders that are not FINRA members (``Non- FINRA ATP Holders''). The Exchange originally adopted fees for use of the CRD system in 2003.\\5\\ FINRA...

  2. 77 FR 74261 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-13

    ... (the ``Commission'') the proposed rule change as described in Items I, II, and III below, which Items... description above, an ATP Holder that submits an Electronic Complex Order to the Exchange may designate an... charge funds, such that an ATP Holder that submits any electronic non-Directed Order to the Exchange may...

  3. 77 FR 68186 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-15

    ... Exchange Commission (the ``Commission'') the proposed rule change as described in Items I, II, and III... The ORF, which is currently $0.004 per contract, is assessed by the Exchange on each ATP Holder for all options transactions executed or cleared by the ATP Holder that are cleared by The Options...

  4. 77 FR 74710 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-17

    ... proposed rule change as described in Items I, II, and III below, which Items have been prepared by the self... Trading Permit (``ATP'') fees and Premium Product Fees. In addition, a Market Maker acting as a Specialist... order routing firm, pay only $500 per month in ATP fees (assuming the cost is passed back to them), and...

  5. 78 FR 68111 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2013-11-13

    ... entered by ATP Holders. \\7\\ Under Rules 980NY(c)(i)-(iii), incoming orders or quotes, or those residing in... ATP Holder During the Trading Day November 6, 2013. Pursuant to Section 19(b)(1) of the Securities... (``Commission'') the proposed rule change as described in Items I, II, and III below, which Items have been...

  6. 77 FR 39288 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-07-02

    ... (i) ``ATP Holders,'' as that term is defined in Rule 900.2NY(5); (ii) Sponsored Participants, as that term is defined in Rule 900.2NY(77); and (iii) non-ATP Holder broker-dealers and vendors that request... change as described in Items I, II, and III below, which Items have been prepared by the self-regulatory...

  7. 78 FR 12123 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2013-02-21

    ... in Items I, II, and III below, which Items have been prepared by the self-regulatory organization... Exchange proposes to amend the times in which certain ATP Holders are required to notify the Exchange in... to extend the time ATP Holders acting as agent for Customer orders have to notify the Exchange of a...

  8. 78 FR 65736 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-11-01

    ... Proposed Rule Change 1. Purpose The Exchange is proposing to amend Rules 980NY(c)(i), (c)(iii), (e)(6)(A... specified conditions, in which case such individual orders and quotes have priority. Rule 980NY(c)(iii) currently provides that ATP Holders can view Electronic Complex Orders in the Consolidated Book via an...

  9. 78 FR 16332 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-14

    ..., and III below, which Items have been prepared by the self-regulatory organization. The Commission is...: (1) Clearing Member Trade Agreement (``CMTA'') information,\\5\\ and the name of the clearing ATP...\\ (iii) the exercise price; (iv) buy or sell with applicable limit or stop price or special instructions...

  10. 78 FR 46399 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-07-31

    ... ATP Holders. \\9\\ If the Exchange announces by Trader Update that the Trading Collars are being... will publish a Trader Update that advises ATP Holders when the Trading Collars will return to the bid... displayed price of the collared order.\\10\\ As set forth in proposed Rule 967NY(a)(4)(C)(iii), should market...

  11. 78 FR 17982 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-25

    ... Contingent Cross Orders in mini- options. \\4\\ See Securities Exchange Act Release No. 69131 (March 13, 2013... same underlying security. With regard to the impact of this proposal on system capacity, the Exchange represents that it and the Options Price Reporting Authority have the necessary systems capacity to handle...

  12. 78 FR 69465 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-11-19

    ... change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose... Quarterly Options series shall not affect the series of options of the same class previously opened.'' In... the point that additional strike prices in smaller intervals would be valuable to investors. However...

  13. 78 FR 1284 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-01-08

    ..., facilitate the trading of larger orders more efficiently and operates to reward aggressive liquidity... market system and, in general, to protect investors and the public interest. The Exchange believes that... liquidity and operates to reward aggressive liquidity providers. Moreover, the instant filing requesting an...

  14. 78 FR 38748 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-27

    ... to reward aggressive liquidity providers. As such, the Exchange believes that the rules governing the... open market and a national market system and, in general, to protect investors and the public interest... to encourage the addition of liquidity and operates to reward aggressive liquidity providers...

  15. 78 FR 51775 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-21

    ... choice in selecting the most appropriate level of data and fees for the professional and non... the order book, trade execution, core market data, and non-core market data are joint products of a... arguments therein. The Exchange also notes that the economics literature confirms that there is no way to...

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

    Science.gov (United States)

    2013-12-27

    ... meet all of a member organization's needs, and the tools are not designed to be the sole means of risk... Trader Update when specific risk management tools will be available. The Exchange intends to make...

  17. 78 FR 25102 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Amend...

    Science.gov (United States)

    2013-04-29

    ... to the fairness and competitive impact of providing certain order information to Floor participants... disapproval order. The Exchange believes that the Commission's application of the Act's fairness and... coordinator for the securities in which the specialist is registered by exercising leadership and managing...

  18. 77 FR 58429 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-09-20

    ... series of individual stock options and Exchange-Traded Fund Shares until the beginning of the month in... participants' risk management needs in a stock. In these situations, the Exchange has the ability to add... tailor their investment decisions and hedging decisions prior to expiration. The Exchange also believes...

  19. 78 FR 33866 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-05

    ... purpose of executing a particular investment strategy. Exchange Rule 900.3NY governs Complex Orders, Stock... rules of the stock execution venue, and sets out the priority ranking used by Exchange systems to... ``Electronic Complex Order'' is any Complex Order, as defined in Exchange Rule 900.3NY(e), or Stock/Option...

  20. 78 FR 62917 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-22

    ... Statement of the Terms of the Substance of the Proposed Rule Change The Exchange proposes to add a new rule... market is offered at 1.05 (this price is established by selling one Jan 20 for 2.10 and buying one Jan 25... by selling one Jan 20 for 5.30 and buying one Jan 25 for 2.10). The Filter will then look at the NBBO...

  1. 78 FR 31619 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 1 and Order...

    Science.gov (United States)

    2013-05-24

    ... situation where a Complex Order trades with another Complex Order in the Complex Order Book, and one of the... the Complex Order Book where one leg qualifies for the no-bid provision of Rule 975NY, the trade will... nullify the trade. Finally, the Exchange is codifying its current practice for handling situations in...

  2. 78 FR 77523 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-23

    ... underlying security that results in a large number of series being out-of-the- money. For example, a market... option contract with a 100 share multiplier). Because the temporary procedures allow trading below $0.01 per share (or $1.00 per option contract with a 100 share multiplier), the procedures are available for...

  3. 78 FR 34689 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-10

    ... resulted in a significant number of series being out-of-the-money. For example, a market participant might... option contract with a 100 share multiplier). Because the temporary procedures allow trading below $0.01 per share (or $1.00 per option contract with a 100 share multiplier), the procedures are available for...

  4. 78 FR 41168 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2013-07-09

    ... volatility level. Occasionally, certain market activity occurs that makes it difficult to effect these types... combination strategy outside of the currently prevailing market quotes in the individual component series legs...-part strategy trades from occurring out-of-range from the prevailing market quotes in the individual...

  5. 78 FR 70992 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change to...

    Science.gov (United States)

    2013-11-27

    ... cancellations apparently designed to implement a market-making or spread-trading strategy; or The account enters... Mechanism by Lowering the Benefits of Certain Order Anticipation Strategies As part of the Equity Market... effects that order anticipation strategies may have on the quality of price discovery by imposing minimum...

  6. 77 FR 73705 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-11

    ..., 2012. Among other things, the JOBS Act is intended to help facilitate capital formation for ``emerging... effective upon signature of the President of the United States on April 5, 2012. On August 22, 2012, the SEC...

  7. 78 FR 77750 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-24

    ...- rack unit up to two kilowatts (``kWs'') of power.\\7\\ Consistent with existing pricing for dedicated... pricing, the Exchange believes that the partial cabinet option would be selected by Users with power... kW of allocated power and $2,700 for two kWs of allocated power.\\8\\ \\5\\ For purposes of the Exchange...

  8. 78 FR 47450 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-05

    ...-regulatory organizations and broker-dealers increased authority and flexibility to offer new and unique..., providing virtually limitless opportunities for entrepreneurs who wish to produce and distribute their own...

  9. 77 FR 42535 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-19

    ... unfairly discriminatory because it will provide a convenient and easy-to-administer way for a television... data itself, providing virtually limitless opportunities for entrepreneurs who wish to produce and... a more economical and easier to administer fee would encourage more television broadcasters to...

  10. 78 FR 20969 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-08

    ... the demand for a more seamless and easier-to- administer data distribution model that takes into... data itself, providing virtually limitless opportunities for entrepreneurs who wish to produce and...

  11. 77 FR 50733 - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving a Proposed Rule Change Amending the...

    Science.gov (United States)

    2012-08-22

    ... connects in multiples of six (e.g., six, twelve, eighteen or twenty-four cross connects). The Exchange... charge $500 monthly to furnish and install one cross connect between cabinets. For a bundle of six cross... Users regarding the fees charged for a particular product, service or piece of equipment. In light of...

  12. 77 FR 50734 - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving a Proposed Rule Change Amending the...

    Science.gov (United States)

    2012-08-22

    ... cross connect or several cross connects in multiples of six (e.g., six, twelve, eighteen or twenty-four.... For a bundle of six cross connects, the monthly charge would be $1,500; 12 cross connects would be $2... differentiation among Users regarding the fees charged for a particular product, service or piece of equipment. In...

  13. 77 FR 70522 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-26

    ... for drop copy ports, which is higher than the rate proposed for order/quote entry ports. The Exchange.... 78f(b)(4). Overall, the Exchange believes that the proposed changes, including the rates proposed, are... comparable to the rates of other exchanges.\\18\\ The Exchange also believes that these changes to the fees are...

  14. 78 FR 26675 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-05-07

    ... proposing is higher than the one on PHLX, the Exchange notes that the base rate on PHLX is substantially higher at $.45 per contract \\7\\ as compared to the Exchange's base rate of $.25 per contract. \\7\\ See... for Firms that trade electronically on the Exchange. Upon achieving a higher volume tier, a Firm will...

  15. 77 FR 66890 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a...

    Science.gov (United States)

    2012-11-07

    ... Hurricane Sandy, and in consultation with other equities, options, bonds, and derivative exchanges, market... Change to Temporarily Suspend Those Aspects of Rules 36.20--Equities, 36.21--Equities, and 36.30--Equities That Would Not Permit Designated Market Makers and Floor Brokers To Use Personal Portable Phone...

  16. 77 FR 40112 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Adopting...

    Science.gov (United States)

    2012-07-06

    ..., 2012, XYZ is expected to continue to pay a $.20 dividend in each of the calendar quarters remaining... RISKS. f. Symbology DORS will be listed using a unique symbol. For example, if DORS were listed on Apple... under which DORS on Apple Inc. are listed. OWLS, as noted earlier, have a risk/reward profile like that...

  17. 78 FR 4537 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 3, and Order...

    Science.gov (United States)

    2013-01-22

    ... family member who is, a current partner of the company's outside auditor, or was a partner or employee of... work of any compensation adviser they retain.\\15\\ The exchange rules must also provide that each listed... than one year) (See Commentary .08); (b) a director who accepted or has an immediate family member who...

  18. 77 FR 55254 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-09-07

    ... one uses five-year straight-line depreciation, the monthly cost of a single CMM Trading Right is $25... rule's impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). At any time...

  19. 78 FR 75642 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-12

    ... the Exchange understands that other option markets similarly include FLEX Option transactions in... arbitrage involving the purchase, sale and exercise of in-the-money options of the same class. A ``merger... Exchange. The proposed change is also designed to compete with other markets that apply similar fee caps...

  20. 78 FR 48535 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-08

    ... Extending the Pilot Period for the Exchange's Retail Liquidity Program for an Additional 12 Months, To... period for the Exchange's Retail Liquidity Program (the ``Retail Liquidity Program'' or the ``Program... Retail Liquidity Program,\\3\\ currently scheduled to expire on July 31, 2013, for an additional 12 months...

  1. 78 FR 60362 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-01

    ..., and the Exchange is not aware of any problems that ATP Firms would have in complying with the proposed... any event, because competitors are free to modify their own fees and credits in response, and because...

  2. 78 FR 42807 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-07-17

    ..., and the Exchange is not aware of any problems that member organizations would have in complying with... least one of its competitors charges different rates depending on the number of ports utilized... Exchange notes that at least one of the Exchange's competitors charges different rates depending on the...

  3. 78 FR 54943 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-09-06

    ... Place.\\5\\ Rule 478T sets forth temporary procedures that governed legacy disciplinary proceedings that... To Delete Certain Obsolete Rules That Relate to Its Disciplinary Proceedings and Make a Conforming... that relate to its disciplinary proceedings and make a conforming change. The text of the proposed rule...

  4. 77 FR 75681 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-21

    ... operational. Among other things, the telephone services provided by third-party carriers to the Exchange were... internet service. Specifically, the wired telephone lines and internet connections for Floor brokers... anticipated. In addition, there has been damage to the internet connections available to Floor brokers on the...

  5. 78 FR 13110 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-02-26

    ... operational. Among other things, the telephone services provided by third-party carriers to the Exchange were... ongoing intermittent phone and internet service. Specifically, the wired telephone lines and internet... previously anticipated. In addition, there has been damage to the internet connections available to Floor...

  6. 78 FR 5848 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-01-28

    .... Among other things, the telephone services provided by third-party carriers to the Exchange were still... Internet service. Specifically, the wired telephone lines and Internet connections for Floor brokers... more extensive than previously anticipated. In addition, there has been damage to the Internet...

  7. 77 FR 62582 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-10-15

    ... dedicated system that a Professional End-User develops internally, a server- based market data application.... Professional End-User \\5\\ Fee \\5\\ A Professional End-User is a person or entity that receives market data from... Professional End-User is not permitted to redistribute that market data to any person or entity outside of its...

  8. 78 FR 74210 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-10

    ...'') available, and the Exchange did not have a systemically enforced narrow-width bid-ask differential... is a systemic solution which renders the rules-based narrow bid-ask differential moot. Further, in...

  9. Comparability of Accounting Choices in Investment Properties of BM&FBOVESPA and NYSE Listed Companies

    Directory of Open Access Journals (Sweden)

    Reiner Alves Botinha

    2017-04-01

    Full Text Available This research aimed to identify the consequence of the accounting choices made by public companies managers listed on the NYSE and the BM&FBOVESPA, in relation to the subsequent measurement of investment properties, through identifying the comparability degree of financial reports from the year 2013. The degree of comparability was calculated using the T index Taplin. In this paper, it was observed that, in a more conservative way, to both stock exchanges, there was increased use of the cost method for the sample companies. Even with the existence of accounting choices, it is considered that there is comparability between accounting practices in the recognition of investment property from the companies listed on the BM&FBOVESPA and NYSE. However, the degree of comparability was presented low for the international comparability and in the medium, near the lower limit for comparability per stock exchange. A curious fact is the presentation of a greater degree of comparability for the companies listed on the BM&FBOVESPA in relation to listed on the NYSE, which is a more developed capital market. In the analysis of the comparability by sector, it was observed a medium degree close to the upper limit. It has also been inferred the low comparability degrees identified may be related to the different choices made by the companies regarding the measurement methods.

  10. RA Construction KC, LLC Information Sheet

    Science.gov (United States)

    RA Construction KC, LLC (the Company) is located in Gladstone, Missouri. The settlement involves renovation activities conducted at a property constructed prior to 1978, located in Kansas City, Missouri.

  11. 77 FR 9231 - FFP Missouri 17, LLC; BOST2 Hydroelectric, LLC; Notice Announcing Preliminary Permit Drawing

    Science.gov (United States)

    2012-02-16

    .... 13826-000] FFP Missouri 17, LLC; BOST2 Hydroelectric, LLC; Notice Announcing Preliminary Permit Drawing... of the Commission, or her designee, will conduct a random drawing to determine the filing priority of... applications as provided in section 4.37 of its regulations.\\2\\ The priority established by this drawing will...

  12. 76 FR 4893 - FFP Missouri 13, LLC, Grays Hydro, LLC; Notice Announcing Preliminary Permit Drawing

    Science.gov (United States)

    2011-01-27

    .... 13772-000] FFP Missouri 13, LLC, Grays Hydro, LLC; Notice Announcing Preliminary Permit Drawing January... Commission, or her designee, will, by random drawing, determine the filing priority for the two applicants identified in this notice. The drawing is open to the public and will be held in room 2C, the Commission...

  13. 75 FR 60138 - Chrysler Financial Services Americas, LLC, a Subsidiary of Finco Intermediate Holding Co., LLC...

    Science.gov (United States)

    2010-09-29

    ... Services Americas, LLC, a Subsidiary of Finco Intermediate Holding Co., LLC, Troy Customer Contact Center, Troy, Michigan; Notice of Affirmative Determination Regarding Application for Reconsideration By... workers at Chrysler Financial Services, Troy, Michigan were engaged in activities that initiated the need...

  14. 75 FR 21680 - GE-Hitachi Global Laser Enrichment LLC;

    Science.gov (United States)

    2010-04-26

    ... Global Laser Enrichment LLC; Establishment of Atomic Safety and Licensing Board Pursuant to delegation by... over the following proceeding: GE-Hitachi Global Laser Enrichment LLC (GLE Commercial Facility) This... application of GE-Hitachi Global Laser Enrichment LLC for a license to possess and use source, byproduct, and...

  15. 76 FR 35882 - Paulding Wind Farm II, LLC, et al.;

    Science.gov (United States)

    2011-06-20

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket Nos. EG11-61-000, etc.] Paulding Wind Farm II, LLC, et al.; Notice of Effectiveness of Exempt Wholesale Generator Status Docket Nos. Paulding Wind Farm II LLC EG11-61-000 Macho Springs Power I, LLC EG11-63-000 Alta Wind III Owner Lessor A...

  16. 76 FR 9065 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2011-02-16

    ... the SPDR Nuveen S&P High Yield Municipal Bond ETF February 9, 2011. I. Introduction On December 21... Municipal Bond ETF (``ETF'' or ``Fund'') under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02. The... Municipal Bond ETF (``Fund'' or ``ETF''). The SPDR Nuveen S&P High Yield Municipal Bond ETF\\4\\ seeks to...

  17. 76 FR 32005 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-06-02

    ... Listing and Trading of the Guggenheim Enhanced Core Bond ETF and Guggenheim Enhanced Ultra- Short Bond ETF... change to list and trade shares (``Shares'') of the Guggenheim Enhanced Core Bond ETF and Guggenheim Enhanced Ultra-Short Bond ETF (each a ``Fund,'' and, together, the ``Funds'') under NYSE Arca Equities Rule...

  18. 75 FR 11221 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-03-10

    ... Change Relating to Listing of Wilshire 5000 Total Market ETF and the Wilshire 4500 Completion ETF March 3... proposes to list and trade the shares of the Wilshire 5000 Total Market ETF and the Wilshire 4500 Completion ETF under NYSE Arca Equities Rule 5.2(j)(3). The text of the proposed rule change is available at...

  19. 78 FR 6161 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-01-29

    ... Listing and Trading of Shares of the Horizons S&P 500 Covered Call ETF, Horizons S&P Financial Select Sector Covered Call ETF, and Horizons S&P Energy Select Sector Covered Call ETF Under NYSE Arca Equities... 500 Covered Call ETF, Horizons S&P Financial Select Sector Covered Call ETF, and Horizons S&P Energy...

  20. 77 FR 36599 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-19

    ... Change Relating to the Accuvest Global Long Short ETF (Formerly the Mars Hill Global Relative Value ETF...) applicable to, the Accuvest Global Long Short ETF (``Fund'') (formerly known as the Mars Hill Global Relative Value ETF). The text of the proposed rule change is available on the Exchange's Web site at www.nyse.com...

  1. 78 FR 76669 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order...

    Science.gov (United States)

    2013-12-18

    ... MFS Systematic Core Equity ETF, SPDR MFS Systematic Growth Equity ETF, and SPDR MFS Systematic Value Equity ETF Under NYSE Arca Equities Rule 8.600 December 12, 2013. I. Introduction On October 10, 2013... SPDR MFS Systematic Core Equity ETF, SPDR MFS Systematic Growth Equity ETF, and SPDR MFS Systematic...

  2. 75 FR 80084 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-12-21

    ... futures or options or derivatives on the foregoing in this subparagraph (b); or (c) CBOE Volatility Index...) interest rate futures or options or derivatives on the foregoing; or (c) CBOE VIX futures. NYSE Arca... (multiple or inverse) performance of an index or indexes of futures contracts or options or derivatives on...

  3. 75 FR 81692 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-12-28

    ... Additional Information (``SAI''), the ETF's Shareholder Reports, and its Form N- CSR and Form N-SAR, filed..., and those documents and the Form N-CSR and Form N-SAR may be viewed on-screen or downloaded from the... benefit of investors and the marketplace. In addition, the listing and trading criteria set forth in NYSE...

  4. 75 FR 2896 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to...

    Science.gov (United States)

    2010-01-19

    ... and Annual Fee Applicable to Derivative Securities Products January 12, 2010. On November 24, 2009... Services (``Fee Schedule'') to revise the listing and annual fees applicable to Derivative Securities... Schedule, the term ``Derivative Securities Products'' includes securities described in NYSE Arca Equities...

  5. 75 FR 51863 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to...

    Science.gov (United States)

    2010-08-23

    ... securities defined in Section 2 of NYSE Arca Equities Rule 8, collectively, ``Derivative Securities Products... Derivative Securities Products) each shall have a minimum market value of at least $75 million. The Exchange... provides, among other things, that (i) the component stocks (excluding Derivative Securities Products...

  6. 76 FR 55956 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-09-09

    ... Commentary .02(b)(4) to NYSE Arca Equities Rule 8.200, means any combination of investments, including cash... investment objective of USMI is for the daily changes in percentage terms of its Units' net asset value... Fundamentals of Commodity Futures Returns,'' Gorton, Rouwenhorst and Hayashi (September 2008), Yale...

  7. 77 FR 71469 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-30

    ... Auction Process. \\4\\ See NYSE Arca Options Rule 6.37(b)(1). The big-ask [sic] guidelines specified in Rule... subject to a standard- width quote requirement puts the Exchange at a competitive disadvantage to other... Interested persons are invited to submit written data, views, and arguments concerning the foregoing...

  8. 75 FR 36136 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Amend...

    Science.gov (United States)

    2010-06-24

    ... is the practice of NYSE Euronext's Global Risk and Audit Services Department (``RAS''), which...) and Section 401(a) of the Exchange's Bylaws To Eliminate the Exchange's Audit Committee, Compensation... eliminate the Exchange's Audit Committee, Compensation Committee, and Regulatory Oversight Committee. The...

  9. 75 FR 37510 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc...

    Science.gov (United States)

    2010-06-29

    ... countries' currencies relative to the U.S. dollar. The term ``commodity currency'' generally is used to... Trading of WisdomTree Dreyfus Commodity Currency Fund Under NYSE Arca Equities Rule 8.600 June 22, 2010... Equities Rule 8.600: WisdomTree Dreyfus Commodity Currency Fund (``Fund''). The text of the proposed rule...

  10. 75 FR 47652 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change...

    Science.gov (United States)

    2010-08-06

    ... Listing and Trading of WisdomTree Dreyfus Commodity Currency Fund under NYSE Arca Equities Rule 8.600... and trade the shares (``Shares'') of the WisdomTree Dreyfus Commodity Currency Fund (``Fund'') under... redemption securities, including that the securities accepted for deposits and the securities used to satisfy...

  11. 78 FR 77743 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-12-24

    ...\\ a proposed rule change to list and trade shares (``Shares'') of the PIMCO Diversified Income... proposes to list and trade the Shares of the Funds pursuant to NYSE Arca Equities Rule 8.600, which governs... to other risks, such as interest rate or currency risk. A Fund may also use forwards to enhance...

  12. 77 FR 36591 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-06-19

    ...., value, growth), sectors, and industries, as well as exchange- traded currency and commodity trusts..., securities, foreign currencies, and net income from an interest in a qualified publicly traded partnership... traded on the Exchange under NYSE Arca Equities Rule 5.2(j)(3), seeks to provide investment results that...

  13. 75 FR 81697 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-12-28

    ... ``Underlying ETPs'') including, but not limited to, exchange-traded notes (``ETNs''), exchange-traded currency..., exchange-traded currency trusts and closed-end funds.\\9\\ \\9\\ See note 7 supra [sic]. In general, the Fund... investment company that issues Investment Company Units, listed and traded on the Exchange under NYSE Arca...

  14. 77 FR 51081 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-08-23

    ... each of the last three years, but with a currency that has been primarily traded on a non-delivered... traded on the Exchange under NYSE Arca Equities Rule 5.2(j)(3), seeks to provide investment results that...) the country has issued the equivalent of $5 billion in local currency sovereign debt. The criteria...

  15. 77 FR 21827 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-04-11

    ... Fund Shares on the Exchange.\\3\\ The Fund will be an actively managed exchange-traded fund.\\4\\ The... Investment Company Units, listed and traded on the Exchange under NYSE Arca Equities Rule 5.2(j)(3), seeks to...-NYSEArca-2008-86) (order approving Exchange listing and trading of WisdomTree Dreyfus Emerging Currency...

  16. 78 FR 14600 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2013-03-06

    ... currency other than United States dollars) or more par amount outstanding and significant par value traded... traded on the Exchange under NYSE Arca Equities Rule 5.2(j)(3), seeks to provide investment results that... trading of WisdomTree Dreyfus Commodity Currency Fund); 64935 (July 20, 2011), 76 FR 44966 (July 27, 2011...

  17. 78 FR 34681 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-10

    ... of strategy executions, royalty fees and Firm trades executed via a joint back office agreement. The... Change Amending the NYSE Arca Options Fee Schedule to Change the Monthly Fees for Option Trading Permits and Raise the Fee Cap that Applies to Certain Firm and Broker Dealer Open Outcry Executions June 4...

  18. 78 FR 46643 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-01

    ... cleared in the customer range for open outcry executions, exclusive of strategy executions, royalty fees... outcry executions, exclusive of strategy executions, royalty fees and Firm trades executed via a JBO... Change Amending the NYSE Arca Options Fee Schedule With Respect to Cap on Fees for Firm and Broker Dealer...

  19. 78 FR 18649 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-27

    .... (``AAPL''), SPDR Gold Trust (``GLD''), Google Inc. (``GOOG'') and Amazon.com Inc. (``AMZN'').\\4\\ Whereas... Exchange's Web site at www.nyse.com , at the principal office of the Exchange, and at the Commission's.../Option orders that seek to achieve legitimate investment strategies are afforded certain benefits...

  20. 77 FR 45401 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a...

    Science.gov (United States)

    2012-07-31

    ... change. All such Regulatory Bulletins will contain information regarding changes to the risk settings in...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule... Applicable to the Market Maker Risk Limitation Mechanism Will Be Between One and 100 Executions per Second...

  1. 77 FR 74707 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2012-12-17

    ... the Pring Turner Business Cycle ETF Under NYSE Arca Equities Rule 8.600 December 11, 2012. On October... Pring Turner Business Cycle ETF (``Fund''). The proposed rule change was published for comment in the... proprietary business cycle research, the Sub-Adviser proactively will change the Fund's asset allocation and...

  2. 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

    ... ounce of gold and, along with other alloys, uses the durable 22-karat standard (0.9167 fine gold or... of the APMEX Physical--1 oz. Gold Redeemable Trust Pursuant to NYSE Arca Equities Rule 8.201 March 20... proposes to list and trade shares of the APMEX Physical--1 oz. Gold Redeemable Trust (the ``Trust...

  3. 77 FR 6613 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-02-08

    ...) incorporates the concepts currently set forth in NYSE Arca Equities Rule 5.2(b)(1)(B). Consistent with current... impediments to and perfect the mechanism of a free and open market and a national market system. \\8\\ 15 U.S.C...) impose any significant burden on competition; and (iii) become operative prior to 30 days from the date...

  4. 77 FR 1766 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-01-11

    ... (primary and secondary data center) of any logical port other than a Multicast PITCH Spin Server Port or... PITCH Spin Server Ports and GRP ports relate to market data dissemination while the proposed port fee... Change Amending the NYSE Arca Equities Fee Schedule Changing the Monthly Fees for the Use of Ports That...

  5. 78 FR 11238 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-02-15

    ... such as flows, market technical trends, and government policies. With respect to fixed income investing... PIMCO Foreign Currency Strategy Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 February 8... and trade shares (``Shares'') of the PIMCO Foreign Currency Strategy Exchange-Traded Fund (``Fund...

  6. 77 FR 73500 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-12-10

    ... sufficiently broad-based to deter potential manipulation in that the Reference Indices stocks are among the... option eligible securities in the relevant Reference Index that meet, among others, stock and option... Component Stocks.\\9\\ Specifically, Commentary .01(a)(A) to NYSE Arca Equities Rule 5.2(j)(3) \\10\\ sets forth...

  7. 77 FR 39535 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-07-03

    ... Trust (GLD), Google Inc. (GOOG), and Amazon.com Inc. (AMZN). These issues were selected because they are... S&P 500 (SPY), Apple, Inc. (AAPL), SPDR Gold Trust (GLD), Google Inc. (GOOG), and Amazon.com Inc... contracts''). The text of the proposed rule change is available on the Exchange's Web site at www.nyse.com...

  8. 77 FR 21120 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List...

    Science.gov (United States)

    2012-04-09

    ..., specifically SPDR S&P 500 (SPY), Apple, Inc. (AAPL), SPDR Gold Trust (GLD), Google Inc. (GOOG), and Amazon.com...), and Amazon.com Inc. (AMZN) for all expirations applicable to 100 share options in each class. The... available at the Exchange, www.nyse.com , and the Commission's Public Reference Room. II. Self-Regulatory...

  9. 77 FR 25218 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-04-27

    ... of a company's competitive position and target market potential also will influence portfolio... Huntington US Equity Rotation Strategy ETF and Huntington EcoLogical Strategy ETF Under NYSE Arca Equities...''): Huntington US Equity Rotation Strategy ETF and Huntington EcoLogical Strategy ETF. The text of the proposed...

  10. 75 FR 25013 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-05-06

    ...-Point Passive Liquidity Order (``MPL Order''). The text of the proposed rule change is available on the...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Mid- Point Passive Liquidity Order April 29, 2010. Pursuant to Section 19(b)(1) \\1...

  11. 78 FR 50459 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-19

    ...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Provide for a 40 Gigabit Liquidity Center Network Connection August 13, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is...

  12. 77 FR 64153 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and...

    Science.gov (United States)

    2012-10-18

    ... factors, such as the movement of a particular stock or stock index), forward foreign currency exchange... business days (i.e., each day the New York Stock Exchange (``NYSE'') is open) for additions and deletions... outstanding voting stock of any one investment company, (ii) 5% of the Fund's total assets with respect to any...

  13. 78 FR 34679 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-10

    ... proposed rule change is available on the Exchange's website at www.nyse.com , at the principal office of..., and furthers the objectives of Section 6(b)(5) of the Act \\7\\ in particular, in that it is designed to... included on the subject line if e-mail is used. To help the Commission process and review your comments...

  14. 75 FR 8164 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-02-23

    ... long-term investment horizons. The Fund's investment objective is non- fundamental and may be changed... December 15, 2005. The Trust is registered with the Commission as an investment company.\\5\\ \\3\\ NYSE Arca... an investment company registered under the Investment Company Act of 1940 (15 U.S.C. 80a) (``1940 Act...

  15. 77 FR 38879 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-06-29

    ... marketable non-displayed interest, the Market Maker would be required to re-enter a quotation for purposes of...-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Adding New... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to add new...

  16. 77 FR 74247 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing And Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-13

    ... Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend NYSE Arca... priority in purchasing (selling) up to the equivalent number of option contracts of the same series that... purchasing (selling) up to the equivalent number of option contracts of the same series that he/she purchased...

  17. 76 FR 4968 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-01-27

    ...-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading Shares of the AdvisorShares Active Bear ETF January 19, 2011. I. Introduction On... of the security or investment in the portfolio. \\14\\ Under accounting procedures followed by the Fund...

  18. 76 FR 39960 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-07-07

    ...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Exchange Act of 1934, as amended (the ``Act''). Upon effectiveness of a plan filed pursuant to Rule 17d-2...(a) through 9.25, which concern advertising and sales literature, would be deleted and the text of...

  19. 77 FR 74719 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-17

    ... fees. In addition, the Exchange proposes to separate the take liquidity rate for electronic executions... participants equally. The Exchange believes that raising the take liquidity rate for NYSE Market Maker, Firm... significant contributions to market quality by providing higher volumes of liquidity. The Exchange believes...

  20. 76 FR 805 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-01-06

    ... Trading Shares of the SPDR Nuveen S&P High Yield Municipal Bond ETF December 30, 2010. Pursuant to Section... Change The Exchange proposes to list and trade shares of the SPDR Nuveen S&P High Yield Municipal Bond ETF under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02. The text of the proposed rule change is...

  1. 78 FR 68116 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2013-11-13

    ... Liquidity Program November 6, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934... to establish a Retail Liquidity Program (``Program'' or ``proposed rule change'') to attract... new NYSE Arca Equities Rule 7.44 to establish a Retail Liquidity Program to attract additional retail...

  2. 77 FR 76148 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-12-26

    ..., corporate debt securities are fixed-income securities issued by businesses to finance their operations....nyse.com , at the principal office of the Exchange, and at the Commission's Public Reference Room. II... principal underwriter and distributor of the Fund's Shares. Brown Brothers Harriman & Co. (``Administrator...

  3. 75 FR 63233 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-10-14

    ..., which Items have been prepared by the self-regulatory organization. The Commission is publishing this...). \\2\\ 15 U.S.C. 78a. \\3\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of...'s Web site at http://www.nyse.com . II. Self-Regulatory Organization's Statement of the Purpose of...

  4. 78 FR 49509 - Lock+ Hydro Friends Fund XXX, LLC; FFP Project 121, LLC; Notice Announcing Preliminary Permit...

    Science.gov (United States)

    2013-08-14

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [ Project No. 13625-003; Project No. 14504-000] Lock+ Hydro Friends Fund XXX, LLC; FFP Project 121, LLC; Notice Announcing Preliminary Permit... and Jefferson County, Ohio. The applications were filed by Lock+ Hydro Friends Fund XXX, LLC for...

  5. 77 FR 39695 - HollyFrontier Refining and Marketing LLC v. Osage Pipe Line Company, LLC; Notice of Complaint

    Science.gov (United States)

    2012-07-05

    ... Refining and Marketing LLC v. Osage Pipe Line Company, LLC; Notice of Complaint Take notice that on June 25...; 18 CFR 343.1(a) and 343.2(c), HollyFrontier Refining and Marketing LLC (Complainant) filed a formal... assistance with any FERC Online service, please email [email protected] , or call (866) 208-3676...

  6. 76 FR 45248 - PJM Interconnection, L.L.C., PJM Power Providers Group v. PJM Interconnection, L.L.C...

    Science.gov (United States)

    2011-07-28

    ...-002; Docket No. EL11-20-001] PJM Interconnection, L.L.C., PJM Power Providers Group v. PJM Interconnection, L.L.C.; Supplemental Notice of Staff Technical Conference On June 13, 2011, the Commission issued... Resources Services, Inc., Maryland Public Service Commission, Monitoring Analytics, L.L.C., National Rural...

  7. 78 FR 34091 - Wausau Paper Mills, LLC; Specialty Papers Acquisition, LLC; Notice of Application for Transfer of...

    Science.gov (United States)

    2013-06-06

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Project Nos. 2161-034; 2207-045] Wausau Paper Mills, LLC; Specialty Papers Acquisition, LLC; Notice of Application for Transfer of Licenses, and Soliciting Comments and Motions To Intervene On April 22, 2013, Wausau Paper Mills, LLC (transferor) and...

  8. 75 FR 24747 - SCI, LLC/Zener-Rectifier Operations Division A Wholly Owned Subsidiary of SCI, LLC/ON...

    Science.gov (United States)

    2010-05-05

    ... DEPARTMENT OF LABOR Employment and Training Administration [TA-W-70,235] SCI, LLC/Zener-Rectifier... Adjustment Assistance on October 19, 2009, applicable to workers of SCI LLC/Zener-Rectifier, Operations... Technical Resources were employed on-site at the Phoenix Arizona location of SCI LLC/Zener-Rectifier...

  9. 76 FR 19473 - Chrysler Financial Services Americas, LLC, a Subsidiary of FinCo Intermediate Holding Co., LLC...

    Science.gov (United States)

    2011-04-07

    ... Services Americas, LLC, a Subsidiary of FinCo Intermediate Holding Co., LLC, Troy Customer Contact Center; Troy, MI; Notice of Negative Determination on Reconsideration On September 21, 2010, the Department of... Co., LLC, Troy Customer Contact Center, Troy, Michigan (subject firm). The Department's Notice was...

  10. 75 FR 77670 - SuperMedia, LLC, Formerly Known as Idearc Media, LLC, a Subsidiary of SuperMedia Information...

    Science.gov (United States)

    2010-12-13

    ... Known as Idearc Media, LLC, a Subsidiary of SuperMedia Information Services, LLC Publishing Group, Troy... Subsidiary of SuperMedia Information Services, LLC, Troy, New York, to apply for Trade Adjustment Assistance..., Publishing Group, Troy, New York, who became totally or partially separated from employment on or after...

  11. 78 FR 14528 - Mayo Hydropower, LLC, Avalon Hydropower, LLC; Notice of Application for Transfer of License, and...

    Science.gov (United States)

    2013-03-06

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Project No. 11169-029] Mayo Hydropower, LLC, Avalon Hydropower, LLC; Notice of Application for Transfer of License, and Soliciting Comments and Motions To Intervene On November 20, 2012, Mayo Hydropower, LLC (transferor) and Avalon Hydropower...

  12. 78 FR 62764 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-22

    ... in MNX options. See Amex Fee Schedule, Royalty Fees; Arca Fees and Charges, Royalty Fees; and ISE... Change To Amend the Schedule of Fees October 9, 2013. Pursuant to Section 19(b)(1) of the Securities... Terms of the Substance of the Proposed Rule Change Topaz is proposing to amend its Schedule of Fees to...

  13. 78 FR 54942 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-06

    ... trades in NDX options. See Amex Fee Schedule, Royalty Fees; Arca Fees and Charges, Royalty Fees; BOX Fee... Change To Amend the Schedule of Fees August 30, 2013. Pursuant to Section 19(b)(1) of the Securities... the Proposed Rule Change Topaz is proposing to amend its Schedule of Fees to establish a surcharge fee...

  14. 76 FR 76153 - Notice of Effectiveness of Exempt Wholesale Generator Status; Caney River Wind Project, LLC...

    Science.gov (United States)

    2011-12-06

    ...] Notice of Effectiveness of Exempt Wholesale Generator Status; Caney River Wind Project, LLC, Mesquite Solar 1, LLC, Copper Crossing Solar LLC, Copper Mountain Solar 1, LLC, Pinnacle Wind, LLC, Bellevue... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket Nos. EG11-115-000, EG11-116-000...

  15. SPREADING THE IDEAL OF MASS SHAREOWNERSHIP: PUBLIC RELATIONS AND THE NYSE

    Directory of Open Access Journals (Sweden)

    Janice Traflet (ed.

    2004-01-01

    Full Text Available In the 1950s, the New York Stock Exchange, led by President Keith Funston, embarked on an ambitious public relations campaign christened “Own Your Share of American Business.” This paper justaposes the “Own Your Share”campaign with earlier NYSE image-making efforts. Tracing the evolution in Exchange public relations sheds lights on how the Big Board gradually embraced mass shareownership as a worthy goal and endorsed mass merchandising as a legitimate way to achieve it.

  16. 75 FR 26825 - Self-Regulatory Organizations; New York Stock Exchange, LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2010-05-12

    ... order flow, imposed significant competitive pressure on the NYSE to act equitably, fairly, and... NYSE was subject to significant competitive forces in setting fees for its depth-of-book order data in... methodology.\\14\\ There are a variety of alternative sources of information that impose significant competitive...

  17. 78 FR 72968 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2013-12-04

    ... Capital Commitment Schedule (``CCS'') interest; (3) NYSE Rule 70.25 to permit d-Quotes to be designated... that MPL Orders may interact with CCS interest; (3) NYSE Rule 70.25 to permit d- Quotes to be... the CCS pursuant to Rule 1000 would not be permitted to be designated as MPL Orders. The CCS is a...

  18. 75 FR 31488 - Self-Regulatory Organizations; New York Stock Exchange, LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2010-06-03

    ....\\17\\ The mandatory nature of the core data disclosure regime leaves little room for competitive forces... concern of any equity exchange, including NYSE. Attracting order flow is an essential part of NYSE's...); State Oil Co. v. Khan, 522 U.S. 3 (1997); Northern Pacific Railway Co. v. U.S., 356 U.S. 1 (1958). \\23...

  19. 76 FR 51449 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed...

    Science.gov (United States)

    2011-08-18

    ... issuers have access to tools and information related to market intelligence, education, investor outreach... currently available through the NYSE Market Access Center have a commercial value of approximately $50,000... receive market surveillance products and services, which NYSE states have a commercial value of $45,000...

  20. 76 FR 53015 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-24

    ... customer order is executable by the member organization. Conforming and Other Changes The Exchange further... communications relating to the proposed rule change between the Commission and any person, other than those that... Proposed Rule Change Deleting the Text of NYSE Rule 92 and Adopting a New NYSE Rule 5320 That Is...

  1. 76 FR 56244 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-09-12

    ... laws of any foreign country. NYSE rules provide limited exemptions with respect to corporate governance practices and interim earnings reporting for ``foreign private issuers.'' \\8\\ NYSE does not intend to expand... particular in that it is designed to prevent fraudulent and manipulative acts and practices, to promote just...

  2. 78 FR 38027 - Wilkesboro Hydroelectric Company, LLC; Wilkesboro Hydropower, LLC; Notice of Application for...

    Science.gov (United States)

    2013-06-25

    ...: Mr. Kevin Edwards, Wilkesboro Hydropower, LLC, 1000 CN Smith Mill Road, Stoneville, NC 27048.../elibrary.asp . Enter the docket number (P-12642) in the docket number field to access the document. For...

  3. 77 FR 70434 - Petal Gas Storage, L.L.C., Hattiesburg Industrial Gas Sales, L.L.C.; Notice of Offer of Settlement

    Science.gov (United States)

    2012-11-26

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. CP12-464-000] Petal Gas Storage, L.L.C., Hattiesburg Industrial Gas Sales, L.L.C.; Notice of Offer of Settlement Take notice that on November 8, 2012, Petal Gas Storage, L.L.C. (Petal) and Hattiesburg Industrial Gas Sales, L.L.C...

  4. 77 FR 34031 - Petal Gas Storage, L.L.C., Hattiesburg Industrial Gas Sales, L.L.C.; Notice of Application

    Science.gov (United States)

    2012-06-08

    ... Storage, L.L.C., Hattiesburg Industrial Gas Sales, L.L.C.; Notice of Application Take notice that on May 21, 2012, Petal Gas Storage, L.L.C. (Petal) and Hattiesburg Industrial Gas Sales, L.L.C. (Hattiesburg... pursuant to sections 7(c) and 7(b) of the Natural Gas Act (NGA), for authorization for Petal to acquire the...

  5. 77 FR 70159 - Marble River, LLC v. Noble Clinton Windpark I, LLC, Noble Ellenburg Windpark, LLC, Noble...

    Science.gov (United States)

    2012-11-23

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. EL13-20-000] Marble River... Commission's (Commission) Rules of Practice and Procedure, Marble River, LLC (Marble River or Complainant.... (NYISO or Respondent), alleging that Noble failed to pay Marble River for headroom created by common...

  6. 76 FR 62481 - Incapital LLC, et al.

    Science.gov (United States)

    2011-10-07

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29828; File No. 812-13922] Incapital LLC, et al.; Notice of Application September 30, 2011. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of application for an order under section 12(d)(1)(J) of the Investment Company...

  7. A multioutput LLC-type parallel resonant converter

    Science.gov (United States)

    Liu, Rui; Lee, C. Q.; Upadhyay, Anand K.

    1992-07-01

    When an LLC-type parallel resonant converter (LLC-PRC) operates above resonant frequency, the switching transistors can be turned off at zero voltage. Further study reveals that the LLC-PRC possesses the advantage of lower converter voltage gain as compared with the conventional PRC. Based on analytic results, a complete set of design curves is obtained, from which a systematic design procedure is developed. Experimental results from a 150 W 150 kHz multioutput LLC-type PRC power supply are presented.

  8. 76 FR 52034 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-08-19

    ... Shares of ProShares Short VIX Short-Term Futures ETF, ProShares Short VIX Mid-Term Futures ETF, ProShares Ultra VIX Short-Term Futures ETF, ProShares Ultra VIX Mid-Term Futures ETF, ProShares UltraShort VIX Short-Term Futures ETF, and ProShares UltraShort VIX Mid-Term Futures ETF Under NYSE Arca Equities Rule...

  9. 76 FR 16405 - Notice of Attendance at PJM INterconnection, L.L.C., Meetings

    Science.gov (United States)

    2011-03-23

    ... INterconnection, L.L.C., Meetings The Federal Energy Regulatory Commission (Commission) hereby gives notice that members of the Commission and Commission staff may attend upcoming PJM Interconnection, L.L.C., (PJM...: Docket No. EL05-121, PJM Interconnection, L.L.C. Docket No. ER06-456, PJM Interconnection, L.L.C. Docket...

  10. 78 FR 19259 - Notice of Attendance at PJM Interconnection, L.L.C. Meetings

    Science.gov (United States)

    2013-03-29

    ... Interconnection, L.L.C. Meetings The Federal Energy Regulatory Commission (Commission) hereby gives notice that members of the Commission and Commission staff may attend upcoming PJM Interconnection, L.L.C. (PJM... proceedings: Docket No. EL05-121, PJM Interconnection, L.L.C. Docket No. EL08-14, Black Oak Energy LLC, et al...

  11. 76 FR 4103 - ETC Tiger Pipeline, LLC; Notice of Filing

    Science.gov (United States)

    2011-01-24

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. AC11-25-000] ETC Tiger Pipeline, LLC; Notice of Filing January 13, 2011. Take notice that on December 30, 2010, ETC Tiger Pipeline, LLC submitted a request for a waiver of the reporting requirement to file the FERC Form 2 for 2010...

  12. 75 FR 38799 - ETC Tiger Pipeline, LLC; Notice of Application

    Science.gov (United States)

    2010-07-06

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. CP10-459-000] ETC Tiger Pipeline, LLC; Notice of Application June 25, 2010. Take notice that on June 15, 2010, ETC Tiger Pipeline, LLC (ETC Tiger), 711 Louisiana Street, Suite 900, Houston, Texas 77002, filed an application in Docket...

  13. 76 FR 42704 - Sky River LLC; Notice of Filing

    Science.gov (United States)

    2011-07-19

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket Nos. ER11-3277-000; ER11-3277-001] Sky River LLC; Notice of Filing Take notice that, on July 8, 2011, Sky River LLC filed to amend its Open Access Transmission Tariff (OATT) filing, submitted on April 1, 2011 and amended on April 7...

  14. 77 FR 56837 - Enterprise Intrastate LLC; Notice of Filing

    Science.gov (United States)

    2012-09-14

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. PR12-34-000] Enterprise Intrastate LLC; Notice of Filing Take notice that on September 6, 2012, Enterprise Intrastate LLC (Enterprise.... Enterprise Intrastate is revising its SOC to replace all references to ``Enterprise Intrastate L.P.'' with...

  15. 76 FR 82295 - Central Power & Lime LLC; Notice of Filing

    Science.gov (United States)

    2011-12-30

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket Nos. EL12-18-000; QF82-207-007] Central Power & Lime LLC; Notice of Filing December 23, 2011. Take notice that on December 22, 2011, Central Power & Lime LLC, pursuant to sections 18 CFR 292.205(c) and 385.207 of the Federal Energy...

  16. 77 FR 73635 - Northwest Storage GP, LLC; Notice of Application

    Science.gov (United States)

    2012-12-11

    ...) 1254 to a proposed 346-megawatt (MW) power plant located within the north industrial area of the Port...] Northwest Storage GP, LLC; Notice of Application Take notice that on November 21, 2012, Northwest Storage GP, LLC. (Northwest) filed with the Federal Energy Regulatory Commission an application under section 7 of...

  17. 77 FR 20442 - Sunwest Rollover Member LLC; Notice of Application

    Science.gov (United States)

    2012-04-04

    ... limited liability company formed for the purpose of holding equity interests (``Rollover Equity Interests'') in BRE/SW Portfolio LLC (``Blackstone LLC''),\\1\\ a Delaware limited liability company, to resolve the... common interests and class A preferred units, each as defined in the limited liability company agreement...

  18. 77 FR 54787 - Airworthiness Directives; M7 Aerospace LLC Airplanes

    Science.gov (United States)

    2012-09-06

    ... Airworthiness Directives; M7 Aerospace LLC Airplanes AGENCY: Federal Aviation Administration (FAA), DOT. ACTION... Aerospace LLC Models SA226-AT, SA226-T, SA226-T(B), SA226-TC, SA227-AC (C-26A), SA227-BC (C-26A), SA227-CC..., contact M7 Aerospace LP, 10823 NE Entrance Road, San Antonio, Texas 78216; phone: (210) 824- 9421; fax...

  19. 77 FR 2286 - Northern Illinois Hydropower, LLC; Notice of Meeting

    Science.gov (United States)

    2012-01-17

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Project No. 12717-002] Northern Illinois Hydropower, LLC; Notice of Meeting a. Date and Time of Meeting: Thursday, January 26, 2012 from 11... Meeting: Commission staff will meet with Northern Illinois Hydropower, LLC to discuss potentially moving...

  20. 75 FR 16456 - Inglis Hydropower, LLC; Notice Soliciting Scoping Comments

    Science.gov (United States)

    2010-04-01

    ... Hydropower, LLC; Notice Soliciting Scoping Comments March 26, 2010. Take notice that the following...: Inglis Hydropower, LLC. e. Name of Project: Inglis Hydropower Project. f. Location: The proposed project... Commission staff intends to prepare a single Environmental Assessment (EA) for the Inglis Hydropower Project...

  1. 76 FR 36532 - Iberdrola Renewables, Inc., PacifiCorp, NextEra Energy Resources, LLC, Invenergy Wind North...

    Science.gov (United States)

    2011-06-22

    ... Renewables, Inc., PacifiCorp, NextEra Energy Resources, LLC, Invenergy Wind North America LLC, Horizon Wind...), Iberdrola Renewables, Inc., PacifiCorp, NextEra Energy Resources, LLC, Invenergy Wind North America LLC, and Horizon Wind Energy LLC (Complainants) filed a formal complaint against Bonneville Power Administration...

  2. 76 FR 36600 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-06-22

    ... equities. The underlying investment process for the Madrona Forward Global Bond ETF is based on fundamental... Delaware and registered with the Commission as an open-end management investment company.\\4\\ The investment advisor for the Funds is AdvisorShares Investments, LLC (``Adviser''). Madrona Funds LLC is the Funds' sub...

  3. 76 FR 62118 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Amending...

    Science.gov (United States)

    2011-10-06

    ... Rule 6.96(b)(2) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify... program that permits the Exchange to accept inbound orders routed by Archipelago Securities LLC (``Arca...

  4. 76 FR 62119 - Self-Regulatory Organizations; NYSE Arca, Inc; Order Approving a Proposed Rule Change Amending...

    Science.gov (United States)

    2011-10-06

    ... Rule 7.45(c)(2) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify... program that permits the Exchange to accept inbound orders routed by Archipelago Securities LLC (``Arca...

  5. 77 FR 42831 - Professional Transportation, Inc.-Asset Acquisition-CUSA ES, LLC and CUSA CSS, LLC

    Science.gov (United States)

    2012-07-20

    ... DEPARTMENT OF TRANSPORTATION Surface Transportation Board [Docket No. MCF 21046] Professional Transportation, Inc.--Asset Acquisition--CUSA ES, LLC and CUSA CSS, LLC AGENCY: Surface Transportation Board, Department of Transportation. ACTION: Correction to Notice of Finance Application. On June 29, 2012, notice...

  6. 78 FR 75557 - CE FLNG, LLC, CE Pipeline, LLC; Notice of Intent To Prepare an Environmental Impact Statement for...

    Science.gov (United States)

    2013-12-12

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. PF13-11-000] CE FLNG, LLC, CE Pipeline, LLC; Notice of Intent To Prepare an Environmental Impact Statement for the Planned CE FLNG Project, Request for Comments on Environmental Issues, and Notice of Public Scoping Meeting The staff of the Federal Energy Regulatory Commission ...

  7. 77 FR 48145 - Cameron Interstate Pipeline, LLC, Cameron LNG, LLC; Notice of Intent To Prepare an Environmental...

    Science.gov (United States)

    2012-08-13

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket Nos. PF12-12-000; PF12-13-000] Cameron Interstate Pipeline, LLC, Cameron LNG, LLC; Notice of Intent To Prepare an Environmental Impact Statement for the Planned Cameron Pipeline Expansion Project and Cameron LNG Liquefaction Project, Request for Comments on Environmental Issues,...

  8. 78 FR 8588 - Rg Steel Sparrows Point LLC, Formerly Known as Severstal Sparrows Point LLC, a Subsidiary of RG...

    Science.gov (United States)

    2013-02-06

    ... Consulting, Crown Security, Eastern Automation, EDS(HP), Teksystems, URS Corporation, and B More Industrial... from B More Industrial Services LLC were employed on-site at the Sparrows Point, Maryland location of RG Steel Sparrows Point LLC. The Department has determined that these workers from B More Industrial...

  9. 78 FR 4842 - Linden VFT, LLC v. Brookfield Energy Marketing, LP, Cargill Power Markets, LLC; Notice of Complaint

    Science.gov (United States)

    2013-01-23

    ... v. Brookfield Energy Marketing, LP, Cargill Power Markets, LLC; Notice of Complaint Take notice that... Brookfield Energy Marketing, LP and Cargill Power Markets, LLC (Respondents) alleging that, Respondents... subscribed docket(s). For assistance with any FERC Online service, please email [email protected

  10. 77 FR 10740 - Riverbank Hydro No. 22, LLC; FFP Project 93, LLC; Notice Announcing Preliminary Permit Drawing

    Science.gov (United States)

    2012-02-23

    ...] Riverbank Hydro No. 22, LLC; FFP Project 93, LLC; Notice Announcing Preliminary Permit Drawing The..., will conduct a random drawing to determine the filing priority of the applicants identified in this... regulations.\\2\\ The priority established by this drawing will be used to determine which applicant, among...

  11. 76 FR 67174 - Arkansas Electric Cooperative Corp., Riverbank Hydro No. 9 LLC, Solia 3 Hydroelectric LLC, Lock...

    Science.gov (United States)

    2011-10-31

    ...; 14166-000; 14180-000; 14193-000] Arkansas Electric Cooperative Corp., Riverbank Hydro No. 9 LLC, Solia 3... May 2, 2011, Arkansas Electric Cooperative Corp. (Arkansas Electric), Riverbank Hydro No. 9 LLC.... Krouse, Hydro Green Energy, 5090 Richmond Avenue 390, Houston, TX 77056. (877) 556-6566 x 709. FFP 2's...

  12. 78 FR 46938 - St. Paul Park Refining Co. LLC v. Enbridge Pipelines (North Dakota) LLC; Notice of Complaint

    Science.gov (United States)

    2013-08-02

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. OR13-28-000] St. Paul Park..., 2013, St. Paul Park Refining Co. LLC (Complainant) filed a formal complaint against Enbridge Pipelines... regulatory basis. St. Paul Park Refining Co. LLC certifies that copies of the complaint were served on the...

  13. 76 FR 39870 - PJM Interconnection, LLC; PJM Power Providers Group v. PJM Interconnection, LLC; Notice of Date...

    Science.gov (United States)

    2011-07-07

    .... EL11-20-001] PJM Interconnection, LLC; PJM Power Providers Group v. PJM Interconnection, LLC; Notice of... Sell Offers for Planned Generation Capacity Resources submitted into PJM's Reliability Pricing Model... presents an opportunity to exercise buyer market power; (2) whether the Fixed Resource Requirement (FRR...

  14. 76 FR 40945 - Entergy Nuclear Indian Point 2, LLC, Entergy Nuclear Indian Point 3, LLC, Entergy Nuclear...

    Science.gov (United States)

    2011-07-12

    ... NUCLEAR REGULATORY COMMISSION [NRC-2011-0150; Docket Nos. 50-003, 50-247, and 50-286; License Nos. DPR-5, DPR-26, and DPR-64] Entergy Nuclear Indian Point 2, LLC, Entergy Nuclear Indian Point 3, LLC, Entergy Nuclear Operations, Inc.; Receipt of Request for Action Notice is hereby given that by petition...

  15. 75 FR 20591 - AES Sparrows Point LNG, LLC and Mid-Atlantic Express, LLC; Notice of Final General Conformity...

    Science.gov (United States)

    2010-04-20

    ...] AES Sparrows Point LNG, LLC and Mid-Atlantic Express, LLC; Notice of Final General Conformity... revised draft Final General Conformity Determination (GCD) for Pennsylvania to assess the potential air... the above-referenced dockets. In accordance with the General Conformity Regulations under the Code of...

  16. 77 FR 33013 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-06-04

    ..., 2011, NYSE Liffe became the sole Designated Contract Market to list futures on the MSCI EAFE Index. See... Trader Alert when this filing becomes effective to notify its members when the close of trading hours...

  17. 78 FR 2306 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-10

    ... Act Release No. 68021 (October 9, 2012), 77 FR 63406 (October 16, 2012) (SR-NYSE-2012-50). Company name Symbol Bank of America Corp BAC Citigroup Inc C Ford Motor Company F General Electric GE JPMorgan...

  18. 78 FR 48522 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2013-08-08

    ... systems and would reduce the systemic and administrative burdens on market participants by avoiding the... Arca rules rather than having the Exchange enforce NYSE Arca rules. In sum, the Exchange believes that...

  19. 78 FR 36017 - MCM Rail Services LLC, d/b/a Baltimore Industrial Railroad-Operation Exemption-Hilco SP Rail, LLC

    Science.gov (United States)

    2013-06-14

    ... DEPARTMENT OF TRANSPORTATION Surface Transportation Board [Docket No. FD 35725] MCM Rail Services LLC, d/b/a Baltimore Industrial Railroad-- Operation Exemption--Hilco SP Rail, LLC MCM Rail Services LLC, d/b/a Baltimore Industrial Railroad (MCM), a noncarrier, has filed a verified notice of exemption...

  20. Waters Edge Land Company, LLC - Clean Water Act Public Notice

    Science.gov (United States)

    The EPA is providing notice of an Administrative Penalty Assessment in the form of an Expedited Storm Water Settlement Agreement against Waters Edge Land Company, LLC, a business located at 10800 Farley St. Overland Park, KS, for alleged violations located

  1. Rock Equity Holdings, LLC - Clean Water Act Public Notice

    Science.gov (United States)

    The EPA is providing notice of an Administrative Penalty Assessment in the form of an Expedited Storm Water Settlement Agreement against Rock Equity Holdings, LLC, for alleged violations at The Cove at Kettlestone/98th Street Reconstruction located at 3015

  2. CITGO Petroleum Corporation and PDV Midwest Refining, LLC Settlement

    Science.gov (United States)

    CITGO Petroleum Corporation and PDV Midwest Refining, LLC (collectively, CITGO) have agreed to pay a $1,955,000 civil penalty, perform environmental projects totaling more than $2 million, and spend an estimated $42 million in injunctive relief to resolve.

  3. State-Trajectory Analysis and Control of LLC Resonant Converters

    OpenAIRE

    Feng, Weiyi

    2013-01-01

    With the fast development of communication systems, computers and consumer electronics, the power supplies for telecoms, servers, desktops, laptops, flat-panel TVs, LED lighting, etc. are required for more power delivery with smaller spaces. The LLC resonant converter has been widely adopted for these applications due to the advantages in high efficiency, high power density and holdup time operation capability.However, unlike PWM converters, the control of the LLC resonant converter is much m...

  4. Analysis and Modeling of Integrated Magnetics for LLC resonant Converters

    DEFF Research Database (Denmark)

    Li, Mingxiao; Ouyang, Ziwei; Zhao, Bin

    2017-01-01

    Shunt-inserted transformers are widely used toobtain high leakage inductance. This paper investigates thismethod in depth to make it applicable to integrate resonantinductor for the LLC resonant converters. The analysis andmodel of magnetizing inductance and leakage inductance forshunt...... transformers can provide a significantdifference. The way to obtain the desirable magnetizing andleakage inductance value for LLC resonant converters issimplified by the creation of air gaps together with a magneticshunt. The calculation and relation are validated by finiteelement analysis (FEA) simulations...

  5. 75 FR 47333 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-08-05

    ... 100 shares) orders in a separate, dedicated system, but will trade them on the Display Book system... Rule 501(a)--NYSE Amex Equities, the Exchange proposes to amend the definition of the term ``Closing... proposes to add language to conform the definition of a ``Stop Order'' for Nasdaq Securities with that for...

  6. Conservatism in Corporate Valuation

    DEFF Research Database (Denmark)

    Bach, Christian

    Using a CCAPM based risk adjustment model, consistent with general asset pricing theory, I perform corporate valuations of a large sample of stocks listed on NYSE, AMEX and NASDAQ. The model is different from the standard CAPM model in the sense that it discounts forecasted residual income for ri...

  7. 75 FR 1099 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-01-08

    ... Laundering Compliance Program) and adopt new Rule 3310--NYSE Amex Equities (Anti-Money Laundering Compliance... amendments, NASD Rule 3011 (Anti- Money Laundering Compliance Program) and related Interpretive Material NASD IM-3011-1 and 3011-2 as consolidated FINRA Rule 3310 (Anti-Money Laundering Compliance Program), and...

  8. 75 FR 10535 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-03-08

    ...; and (x) codify the hierarchy of allocation of interest in the closing transaction in NYSE Amex... commencing operation of the Closing Modifications on March 1, 2010, will provide participants with additional... market participants by explaining the anticipated operation date of the Close Modifications and the...

  9. 75 FR 54935 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-09-09

    ... price point upon execution of incoming orders. The modified logic rewards displayed orders that... Operation of the NMM Pilot NYSE Amex established the NMM Pilot to provide incentives for quoting, to enhance... trading of larger orders more efficiently and operates to reward aggressive liquidity providers. As such...

  10. 77 FR 73711 - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing...

    Science.gov (United States)

    2012-12-11

    ... 240.17d-2. I. Introduction Section 19(g)(1) of the Act,\\3\\ among other things, requires every self... associated persons; (c) Discharge of its duties and obligations as a DEA; and (d) Evaluation of advertising... Customer Communications (Advertising) NYSE MKT [Amex] Rules 991 and 1106 BATS Rule 26.16 BOX Rule 4170 CBOE...

  11. 76 FR 19160 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2011-04-06

    ... market'' is defined in NYSE Amex Rule 900.2NY(62), in respect of an underlying stock or Exchange-Traded Fund Share, as the principal market in which the underlying stock or Exchange-Traded Fund Share is... and meet their investment, trading and risk management requirements. The Exchange is also proposing to...

  12. 75 FR 6753 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated, International...

    Science.gov (United States)

    2010-02-10

    ... ETFS Silver and ETF Gold Trusts. Shares of the ETFS Silver and ETFS Gold Trusts must continue to be... Approval of a Proposed Rule Change Relating to Listing and Trading Options on the ETFS Gold Trust and the... the ETFS Gold Trust and the ETFS Silver Trust (collectively ``ETFS Options''). Specifically, NYSE Amex...

  13. 75 FR 16543 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-04-01

    ... making this rate change the Exchange seeks to remain competitive with other markets that often charge a higher rate. In proposing this new rate, NYSE Amex also seeks to adopt industry practice which sets the electronic broker dealer rate at a level slightly higher than the manual broker dealer charge. The pricing...

  14. 77 FR 31418 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for...

    Science.gov (United States)

    2012-05-25

    ... Trading, LLC, dated April 5, 2012; letter from Joan C. Conley, Senior Vice President and Corporate... and Market Data Strategy, TD Ameritrade, Inc., to Elizabeth M. Murphy, Secretary, Commission, dated...

  15. 78 FR 19542 - Neuberger Berman ETF Trust and Neuberger Berman Management LLC; Notice of Application

    Science.gov (United States)

    2013-04-01

    ...] Neuberger Berman ETF Trust and Neuberger Berman Management LLC; Notice of Application March 25, 2013. AGENCY... ETF Trust (the ``Trust'') and Neuberger Berman Management LLC (``NBM'' or [[Page 19543

  16. 77 FR 52373 - Self-Regulatory Organizations; NASDAQ Stock Market, LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-08-29

    ...-Regulatory Organizations; NASDAQ Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership in The NASDAQ Stock Market LLC August 23, 2012. Pursuant to Section... is hereby given that on August [[Page 52374

  17. 75 FR 18191 - City of Raleigh; Community Hydro, LLC; Notice of Competing Preliminary Permit Applications...

    Science.gov (United States)

    2010-04-09

    ...: Mr. Thomas A. McCormick, Raleigh City Attorney, P.O. Box 590, Raleigh, North Carolina 27601, e-mail tom.mccormick@ci.raleigh.nc.us . For Community Hydro, LLC: Lori Barg, Community Hydro, LLC, 113...

  18. 75 FR 32977 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-06-10

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

  19. 78 FR 69080 - Houtama Hydropower LLC; Notice of Preliminary Permit Application Accepted for Filing and...

    Science.gov (United States)

    2013-11-18

    ... Hydropower LLC; Notice of Preliminary Permit Application Accepted for Filing and Soliciting Comments, Motions To Intervene, and Competing Applications On August 14, 2013, Houtama Hydropower LLC filed an.... Hampton, CEO, Houtama Hydropower [[Page 69081

  20. A numerical method to estimate the parameters of the CEV model implied by American option prices: Evidence from NYSE

    International Nuclear Information System (INIS)

    Ballestra, Luca Vincenzo; Cecere, Liliana

    2016-01-01

    Highlights: • We develop a method to compute the parameters of the CEV model implied by American options. • This is the first procedure for calibrating the CEV model to American option prices. • The proposed approach is extensively tested on the NYSE market. • The novel method turns out to be very efficient in computing the CEV model parameters. • The CEV model provides only a marginal improvement over the lognormal model. - Abstract: We develop a highly efficient procedure to forecast the parameters of the constant elasticity of variance (CEV) model implied by American options. In particular, first of all, the American option prices predicted by the CEV model are calculated using an accurate and fast finite difference scheme. Then, the parameters of the CEV model are obtained by minimizing the distance between theoretical and empirical option prices, which yields an optimization problem that is solved using an ad-hoc numerical procedure. The proposed approach, which turns out to be very efficient from the computational standpoint, is used to test the goodness-of-fit of the CEV model in predicting the prices of American options traded on the NYSE. The results obtained reveal that the CEV model does not provide a very good agreement with real market data and yields only a marginal improvement over the more popular Black–Scholes model.

  1. 76 FR 14652 - Port Barre Investments, L.L.C.; Notice of Application

    Science.gov (United States)

    2011-03-17

    ... Investments, L.L.C.; Notice of Application Take notice that on March 4, 2011, Port Barre Investments, L.L.C. (Bobcat) filed in Docket No. CP11-124-000 an application pursuant to section 7(c) of the Natural Gas Act... Investments, L.L.C., 126 FERC ] 61,240 (2009). \\2\\ Port Barre Investments, L.L.C., 130 FERC ] 62,272 (2010...

  2. 77 FR 64422 - Approval and Promulgation of Air Quality Implementation Plans; Illinois; Greif Packaging, LLC...

    Science.gov (United States)

    2012-10-22

    ... Promulgation of Air Quality Implementation Plans; Illinois; Greif Packaging, LLC Adjusted Standard AGENCY... State Implementation Plan (SIP) an adjusted standard for the Greif Packaging, LLC facility located at 5... submitted an Adjusted Standard for the Greif Packaging, LLC facility located at 5 S 220 Frontenac Road in...

  3. 77 FR 52368 - Manufacturer of Controlled Substances; Notice of Registration; Austin Pharma, LLC.

    Science.gov (United States)

    2012-08-29

    ...; Notice of Registration; Austin Pharma, LLC. By Notice dated May 9, 2012, and published in the Federal Register on May 21, 2012, 77 FR 30027, Austin Pharma LLC., 811 Paloma Drive, Suite C, Round Rock, Texas... factors in 21 U.S.C. 823(a) and determined that the registration of Austin Pharma LLC., to manufacture the...

  4. 78 FR 64019 - Manufacturer of Controlled Substances, Notice of Registration, Austin Pharma, LLC.

    Science.gov (United States)

    2013-10-25

    ..., Notice of Registration, Austin Pharma, LLC. By Notice dated May 14, 2013, and published in the Federal Register on May 22, 2013, 78 FR 30332, Austin Pharma, LLC., 811 Paloma Drive, Suite C, Round Rock, Texas... this drug code is authorized for this registration. On August 9, 2013, Austin Pharma, LLC., withdrew...

  5. 76 FR 78325 - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-12-16

    ...-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed... November 30, 2011. The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and... Change The NASDAQ Stock Market LLC proposes to amend Rule 7056 entitled ``NASDAQ Options Fee Disputes...

  6. 78 FR 30333 - Manufacturer of Controlled Substances; Notice of Registration; Siegfried (Usa), Llc.

    Science.gov (United States)

    2013-05-22

    ...; Notice of Registration; Siegfried (Usa), Llc. By Notice dated November 19, 2012, and published in the Federal Register on November 27, 2012, 77 FR 70825, Siegfried (USA), LLC., 33 Industrial Park Road... 21 U.S.C. 823(a) and determined that the registration of Siegfried (USA), LLC., to manufacture the...

  7. 78 FR 64020 - Manufacturer of Controlled Substances; Notice of Registration; Siegfried USA, LLC

    Science.gov (United States)

    2013-10-25

    ...; Notice of Registration; Siegfried USA, LLC By Notice dated May 22, 2013, and published in the Federal Register on May 30, 2013, 78 FR 32458, Siegfried USA, LLC., 33 Industrial Park Road, Pennsville, New Jersey... determined that the registration of Siegfried USA, LLC., to manufacture the listed basic class of controlled...

  8. 78 FR 64020 - Manufacturer of Controlled Substances, Notice of Registration, Siegfried USA, LLC

    Science.gov (United States)

    2013-10-25

    ..., Notice of Registration, Siegfried USA, LLC The Notice dated July 23, 2013, and published in the Federal Register on August 1, 2013, 78 FR 46613, page 18338, Siegfried (USA), LLC., 33 Industrial Park Road...), and Poppy Straw Concentrate (9670). On August 6, 2013, Siegfried (USA), LLC., subsequently withdrew...

  9. 76 FR 28226 - Ndahendekire Barbara v. African Shipping; Njoroge Muhia; Alco Logistics, Llc; Brenda Alexander...

    Science.gov (United States)

    2011-05-16

    ... Muhia; Alco Logistics, Llc; Brenda Alexander; and AIR 7 Seas Transportlogistics, Inc.; Notice of Filing...; Njoroge Muhia, ALCO Logistics, LLC; Brenda Alexander; and Air 7 Seas Transport Logistics, Inc...; Respondent ALCO Logistics, LLC, is a freight forwarding and logistics company; Respondent Brenda Alexander is...

  10. 78 FR 9687 - Prineville Energy Storage, LLC; Notice of Preliminary Permit Application Accepted for Filing and...

    Science.gov (United States)

    2013-02-11

    ... Energy Storage, LLC; Notice of Preliminary Permit Application Accepted for Filing and Soliciting Comments, Motions To Intervene, and Competing Applications On August 31, 2012, Prineville Energy Storage, LLC, filed... Contact: Mr. Matthew Shapiro, Chief Executive Officer, Prineville Energy Storage, LLC, 1210 W. Franklin...

  11. 75 FR 6378 - Covanta Pylmouth Renewable Energy Limited Partnership Covanta Energy Marketing LLC Covanta Power...

    Science.gov (United States)

    2010-02-09

    ..., ER10-410-000] Covanta Pylmouth Renewable Energy Limited Partnership Covanta Energy Marketing LLC... Pylmouth Renewable Energy Limited Partnership, Covanta Energy Marketing LLC, and Covanta Power, LLC filed... assistance with any FERC Online service, please e-mail [email protected] , or call (866) 208-3676...

  12. 77 FR 23472 - Tennessee Gas Pipeline Company, L.L.C.; Notice of Application

    Science.gov (United States)

    2012-04-19

    ... Pipeline Company, L.L.C.; Notice of Application Take notice that on April 4, 2012, Tennessee Gas Pipeline Company, L.L.C. (Tennessee), 1001 Louisiana Street, Houston, Texas 77002, filed an application in the..., Manager, Certificates, Tennessee Gas Pipeline Company, L.L.C., 1001 Louisiana Street, Houston, Texas 77002...

  13. 75 FR 51989 - Southern LNG Company, L.L.C.; Notice of Application

    Science.gov (United States)

    2010-08-24

    ... Company, L.L.C.; Notice of Application August 16, 2010. Take notice that on August 4, 2010, Southern LNG Company, L.L.C. (Southern LNG), Post Office Box 2563, Birmingham, Alabama 35202-2563, filed in the above.... Sheffield, Director--Rates and Regulatory, Southern LNG Company, L.L.C., 569 Brookwood Village, Suite 501...

  14. 75 FR 40815 - PJM Interconnection, L.L.C.; Notice of Filing

    Science.gov (United States)

    2010-07-14

    ... Interconnection, L.L.C.; Notice of Filing July 7, 2010. Take notice that on July 1, 2010, PJM Interconnection, L.L.C. (PJM) filed revised sheets to Schedule 1 of the Amended and Restated Operating Agreement of PJM Interconnection, L.L.C. (Operating Agreement) and the parallel provisions of Attachment K--Appendix of the PJM...

  15. 78 FR 6313 - Tennessee Gas Pipeline Company, L.L.C.; Notice of Application

    Science.gov (United States)

    2013-01-30

    ... Pipeline Company, L.L.C.; Notice of Application Take notice that on January 14, 2013, Tennessee Gas Pipeline Company, L.L.C. (Tennessee), 1001 Louisiana Street, Houston, Texas 77002, filed an application in... directed to Thomas G. Joyce, Manager, Certificates, Tennessee Gas Pipeline Company, L.L.C. 1001 Louisiana...

  16. 77 FR 74179 - Stingray Pipeline Company, L.L.C.; Notice of Application

    Science.gov (United States)

    2012-12-13

    ... Pipeline Company, L.L.C.; Notice of Application Take notice that on November 26, 2012, Stingray Pipeline Company, L.L.C. (Stingray), 1100 Louisiana, Suite 3300, Houston, Texas 77002, filed in the above... Roney, Manager--Regulatory Affairs, Stingray Pipeline Company, L.L.C., 1100 Louisiana, Suite 3300...

  17. 76 FR 35200 - High Island Offshore System, L.L.C.; Notice of Amendment

    Science.gov (United States)

    2011-06-16

    ... Offshore System, L.L.C.; Notice of Amendment Take notice that on June 6, 2011, High Island Offshore System, L.L.C. (HIOS), 1100 Louisiana St., Houston, Texas 77002, filed in Docket No. CP10-43-001, to amend... System, L.L.C., 1100 Louisiana St., Houston, Texas 77002, or (telephone) 713-381-2526, or [email protected

  18. 75 FR 22773 - PJM Interconnection, L.L.C.; Notice of Filing

    Science.gov (United States)

    2010-04-30

    ... Interconnection, L.L.C.; Notice of Filing April 23, 2010. Take notice that on April 22, 2010, PJM Interconnection, L.L.C. (PJM) filed revised tariff sheets to its Schedule 1 of the Amended and Restated Operating... (Commission) March 23, 2010 Order on Compliance Filing, PJM Interconnection, L.L.C., 130 FERC ] 61,230 (2010...

  19. 76 FR 71961 - Elba Express Company, L.L.C.; Notice of Application

    Science.gov (United States)

    2011-11-21

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. CP12-11-000] Elba Express Company, L.L.C.; Notice of Application Take notice that on October 31, 2011, Elba Express Company, L.L.C... directed to Glenn A. Sheffield, Director, Rates & Regulatory Affairs, Elba Express Company, L.L.C., 569...

  20. 77 FR 8247 - Tennessee Gas Pipeline Company, L.L.C. Notice of Application

    Science.gov (United States)

    2012-02-14

    ... Pipeline Company, L.L.C. Notice of Application Take notice that on February 2, 2012, Tennessee Gas Pipeline Company, L.L.C. (Tennessee), 1001 Louisiana Street, Houston, Texas 77002, filed an application in Docket... Gas Pipeline Company, L.L.C., 1001 Louisiana Street, Houston, Texas 77002, by telephone at (713) 420...

  1. 77 FR 43277 - Tennessee Gas Pipeline Company, L.L.C.; Notice of Application

    Science.gov (United States)

    2012-07-24

    ... Pipeline Company, L.L.C.; Notice of Application Take notice that on July 6, Tennessee Gas Pipeline Company, L.L.C. (Tennessee), 1001 Louisiana Street, Houston, Texas 77002, filed in the above referenced... Company, L.L.C. 1001 Louisiana Street, Houston, Texas 77002, or telephone (713) 420- 3299, or facsimile...

  2. 77 FR 34378 - PJM Interconnection, L.L.C.; Notice of Complaint

    Science.gov (United States)

    2012-06-11

    ... Interconnection, L.L.C.; Notice of Complaint Take notice that on June 1, 2012, pursuant to section 206 of the Federal Power Act (FPA), 16 U.S.C. 824(e), PJM Interconnection, L.L.C. (PJM) filed proposed revisions to the Amended and Restated Operating Agreement of PJM Interconnection L.L.C. (Operating Agreement) to...

  3. 77 FR 68115 - Millennium Pipeline Company, L.L.C.; Notice of Application

    Science.gov (United States)

    2012-11-15

    ...] Millennium Pipeline Company, L.L.C.; Notice of Application Take notice that on November 1, 2012, Millennium Pipeline Company, L.L.C. (Millennium), One Blue Hill Plaza, Seventh Floor, P.O. Box 1565, Pearl River, New... system to the existing interconnection with Algonquin Gas Transmission, L.L.C. in Ramapo, New York and...

  4. 75 FR 4547 - High Island Offshore System, L.L.C.; Notice of Application

    Science.gov (United States)

    2010-01-28

    ... Offshore System, L.L.C.; Notice of Application January 21, 2010. Take notice that on January 12, 2010, High Island Offshore System, L.L.C. (HIOS), 1100 Louisiana St., Houston, Texas 77002, filed in Docket No. CP10... directed to Jeff Molinaro, High Island Offshore System, L.L.C., 1100 Louisiana St., Houston, Texas 77002...

  5. 76 FR 79673 - Tennessee Gas Pipeline Company, L.L.C.; Notice of Application

    Science.gov (United States)

    2011-12-22

    ... Pipeline Company, L.L.C.; Notice of Application On December 9, 2011, Tennessee Gas Pipeline Company, L.L.C... (Commission) an application under section 7(c) of the Natural Gas Act (NGA), as amended, and part 157 of the... Rocan, Senior Counsel, Tennessee Gas Pipeline Company, L.L.C., 1001 Louisiana Street, Houston, Texas...

  6. 76 FR 45878 - Alticor, Inc., Including Access Business Group International LLC and Amway Corporation, Buena...

    Science.gov (United States)

    2011-08-01

    ...,420B] Alticor, Inc., Including Access Business Group International LLC and Amway Corporation, Buena Park, CA; Alticor, Inc., Including Access Business Group International LLC and Amway Corporation...., Including Access Business Group International LLC and Amway Corporation, Including On-Site Leased Workers...

  7. 75 FR 32221 - Alticor, Inc., Including Access Business Group International, LLC, and Amway Corporation...

    Science.gov (United States)

    2010-06-07

    ... Access Business Group International, LLC, and Amway Corporation, Including On-Site Leased Workers from... Business Group International, LLC and Amway Corporation. The notice was published in the Federal Register... issued as follows: All workers of Alticor, Inc., including Access Business Group International, LLC and...

  8. 75 FR 26794 - Alticor, Inc., Including Access Business Group International LLC and Amway Corporation, Buena...

    Science.gov (United States)

    2010-05-12

    ..., Inc., Including Access Business Group International LLC and Amway Corporation, Buena Park, CA; Alticor, Inc., Including Access Business Group International LLC, and Amway Corporation, Ada, MI; Amended... of Alticor, Inc., including Access Business Group International LLC and Amway Corporation, Buena Park...

  9. 75 FR 57013 - Notice of Effectiveness of Exempt Wholesale Generator Status; Taloga Wind, LLC, Stephentown...

    Science.gov (United States)

    2010-09-17

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. EG10-40-000, EG10-41-000, et al.] Notice of Effectiveness of Exempt Wholesale Generator Status; Taloga Wind, LLC, Stephentown...-000 Synergics Roth Rock Wind Energy, LLC EG10-49-000 Synergics Roth Rock North Wind Energy, LLC EG10...

  10. 76 FR 87 - Grant of Authority for Subzone Status; Skechers USA, LLC (Distribution of Footwear); Moreno...

    Science.gov (United States)

    2011-01-03

    ... Status; Skechers USA, LLC (Distribution of Footwear); Moreno Valley, California Pursuant to its authority... distribution facility of Skechers USA, LLC, located in Moreno Valley, California, (FTZ Docket 5- 2008, filed 2... activity related to footwear warehousing and distribution at the facility of Skechers USA, LLC, located in...

  11. 75 FR 70689 - Kaiser Aluminum Fabricated Products, LLC; Kaiser Aluminum-Greenwood Forge Division; Currently...

    Science.gov (United States)

    2010-11-18

    ... DEPARTMENT OF LABOR Employment and Training Administration [TA-W-70,376] Kaiser Aluminum Fabricated Products, LLC; Kaiser Aluminum- Greenwood Forge Division; Currently Known As Contech Forgings, LLC..., applicable to workers of Kaiser Aluminum Fabricated Products, LLC, Kaiser Aluminum-Greenwood Forge Division...

  12. 75 FR 59707 - Coastal Hydropower, LLC; Notice of Preliminary Permit Application Accepted for Filing and...

    Science.gov (United States)

    2010-09-28

    ... Hydropower, LLC; Notice of Preliminary Permit Application Accepted for Filing and Soliciting Comments... on July 16, 2010, Coastal Hydropower, LLC filed an application for a preliminary permit, pursuant to... Hydropower, LLC, Key Centre, 601 108th Avenue, NE., Suite 1900, Bellevue, WA 98004; phone: (425) 943-7690...

  13. 75 FR 62516 - Northern Illinois Hydropower, LLC; Notice of Application Ready for Environmental Analysis and...

    Science.gov (United States)

    2010-10-12

    ... Illinois Hydropower, LLC; Notice of Application Ready for Environmental Analysis and Soliciting Comments...: Northern Illinois Hydropower, LLC. e. Name of Project: Dresden Island Project. f. Location: U.S. Army Corps... Zdunich, Northern Illinois Hydropower, LLC, 801 Oakland Avenue, Joliet, IL 60435, (312) 320-1610. i. FERC...

  14. 75 FR 24937 - Northern Illinois Hydropower, LLC; Notice of Application Accepted for Filing and Soliciting...

    Science.gov (United States)

    2010-05-06

    ... Illinois Hydropower, LLC; Notice of Application Accepted for Filing and Soliciting Motions To Intervene and... No.: 12717-002. c. Date filed: May 27, 2009. d. Applicant: Northern Illinois Hydropower, LLC. e. Name... Hydropower, LLC, 801 Oakland Avenue, Joliet, IL 60435, (312) 320-1610. i. FERC Contact: Dr. Nicholas Palso...

  15. 77 FR 31349 - Coastal Hydropower, LLC; Notice of Preliminary Permit Application Accepted for Filing and...

    Science.gov (United States)

    2012-05-25

    ... Hydropower, LLC; Notice of Preliminary Permit Application Accepted for Filing and Soliciting Comments, Motions To Intervene, and Competing Applications On April 12, 2012, Coastal Hydropower, LLC filed an... generation of 31.5 gigawatt-hours. Applicant Contact: Neil Anderson, Coastal Hydropower, LLC, Key Centre, 601...

  16. 75 FR 62518 - Northern Illinois Hydropower, LLC; Notice of Application Ready for Environmental Analysis and...

    Science.gov (United States)

    2010-10-12

    ... Illinois Hydropower, LLC; Notice of Application Ready for Environmental Analysis and Soliciting Comments...: Northern Illinois Hydropower, LLC. e. Name of Project: Brandon Road Hydroelectric Project. f. Location: U.S... Hydropower, LLC, 801 Oakland Avenue, Joliet, IL 60435, (312) 320-1610. i. FERC Contact: Janet Hutzel, (202...

  17. 78 FR 16500 - Rolling Bay, LLC and Indus; Transfer of Data

    Science.gov (United States)

    2013-03-15

    ... contract to perform work for OPP, and access to this information will enable Rolling Bay, LLC and its subcontractor, Indus, to fulfill the obligations of the contract. DATES: Rolling Bay, LLC and its subcontractor... Under Contract No. GS-35F-0072Y, Rolling Bay, LLC and its subcontractor, Indus, will: Capture data that...

  18. 75 FR 11530 - Crystal Lake Wind III, LLC, et al.; Notice of Effectiveness of Exempt Wholesale Generator Status

    Science.gov (United States)

    2010-03-11

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission Crystal Lake Wind III, LLC, et al.; Notice of Effectiveness of Exempt Wholesale Generator Status March 4, 2010. Docket Nos. Crystal Lake Wind III, LLC EG10-6-000 GardenGarden Wind, LLC EG10-7-000 Star Point Wind Project LLC EG10-8-000...

  19. 76 FR 13271 - DeQueen and Eastern Railroad, LLC-Corporate Family Transaction Exemption-Texas, Oklahoma...

    Science.gov (United States)

    2011-03-10

    ... Eastern Railroad, LLC--Corporate Family Transaction Exemption--Texas, Oklahoma & Eastern Railroad, LLC DeQueen and Eastern Railroad, LLC (DQ&E) and Texas, Oklahoma & Eastern Railroad, LLC (TOE), have filed a... the competitive balance with carriers outside the corporate family. Under 49 U.S.C. 10502(g), the...

  20. Disclosure ambiental dos produtores de etanol com ações listadas na Bovespa e Nyse - Environmental disclosure by ethanol producers listed on the Bovespa and Nyse stock exchanges

    Directory of Open Access Journals (Sweden)

    Cassio Luiz Vellani

    2009-05-01

    Full Text Available Ao mesmo tempo em que a empresa proporciona valor aos seus acionistas, também pode fornecer educação, cultura, lazer e justiça social aos funcionários; e ainda, não prejudicar a vida e a diversidade dos ecossistemas. Ou seja, a empresa pode atuar em três dimensões da Sustentabilidade Empresarial: Econômica, Social e Ambiental. Este artigo foca nessa última. Alguns setores como o do etanol, por serem muitas vezes divulgado como um setor ligado a energia renovável, deveriam ser exemplo de evidenciação ambiental. Este artigo objetiva responder ao seguinte questionamento: como as empresas produtoras de etanol, com ações listadas na BOVESPA e NYSE, informam sobre os gastos e benefícios incorridos nas atividades ambientais: por meio de palavras apenas ou valores monetários são também divulgados? Há um padrão na evidenciação? Por meio de uma Pesquisa Estudo de Caso, conclui-se que as empresas produtoras de etanol com ações listadas na BOVESPA e NYSE evidenciam informações ambientais por meio de textos escritos e não financeiros contidos dos relatórios contábeis enviados à SEC e CVM. Valores dos gastos e benefícios ambientais não são citados por completo. Percebe-se que há um padrão, mas ainda em evolução. Pode-se dizer que as empresas ainda informam somente o exigido por leis e órgãos fiscalizadores. Não foram encontradas evidências de relatórios econômico-financeiro-ambientais. At the same time a firm provides value to its stockholders, it can offer education, culture, leisure activities and social justice to its employees and not harm life and ecosystem diversity. In other words, the firm can act in the three dimensions of corporate sustainability: economic, social and environmental. This article focuses on the latter. The ethanol sector, often portrayed as being linked to renewable energy, should serve to exemplify environmental disclosure. This article seeks to answer the following question: how do