WorldWideScience

Sample records for nyse amex llc

  1. 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

    ... Rule Change The Exchange proposes a one-year pilot program that would add new NYSE Amex Equities Rule... a one-year pilot program that would add new NYSE Amex Equities Rule 107C to establish a Retail...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Rule Change Proposing a One-Year Pilot Program...

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

    Science.gov (United States)

    2012-03-01

    ... that is under common control with an NYSE Amex member organization falls outside of the definition of...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending the NYSE Amex Equities Definition of Approved Person To Exclude Foreign Affiliates, Eliminating the Application Process...

  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 35865 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending...

    Science.gov (United States)

    2010-06-23

    ... the rules of the New York Stock Exchange LLC (``NYSE''). See SR-NYSE-2010-43. Background Round lot... for a size within the standard unit (round- lot) of trading, which is 100 shares for most stocks, but... references to Odd-Lot Dealers in NYSE Amex Equities Rules 94 (``Designated Market Markers or Odd-Lot Dealers...

  5. 76 FR 64983 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-10-19

    ...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change..., 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...

  6. 76 FR 46863 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2011-08-03

    ...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person To Exclude Foreign Affiliates, Creating a New Definition of ``Foreign Securities Affiliate... prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments...

  7. 75 FR 80557 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-12-22

    ...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change...-Traded Notes and Broaden the Definition of Futures Linked Securities December 15, 2010. Pursuant to... in Items I and II below, which Items have been prepared by the self-regulatory organization. The...

  8. 75 FR 77923 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending...

    Science.gov (United States)

    2010-12-14

    ... Change The Exchange proposes to amend its rules regarding the listing of $1 strike prices. The text of...-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending Its Rules Regarding the Listing of Options Series With $1 Strike Prices December 8, 2010. Pursuant to Section 19(b)(1...

  9. 77 FR 30572 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-05-23

    ... price that is below $1 per option contract until May 31, 2013. The text of the proposed rule change is... contract in any options series open for trading in the Exchange, except that the Rule is not applicable to...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change...

  10. 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...

  11. 75 FR 31500 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving Proposed Rule Change To Establish...

    Science.gov (United States)

    2010-06-03

    ..., including NYSE Amex. Attracting order flow is an essential part of NYSE Amex's competitive success. If NYSE... published estimated trading percentages in NMS Stocks in its Concept Release on Equity Market Structure. See.... 574 (1986); State Oil Co. v. Khan, 522 U.S. 3 (1997); Northern Pacific Railway Co. v. U.S., 356 U.S. 1...

  12. 76 FR 51111 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-08-17

    ... broken by the Exchange if they exceed the applicable percentage from the Reference Price, as noted in the table found under NYSE Amex Equities Rule 128(c)(1).\\9\\ The Reference Price, for purposes of NYSE Amex...)(1), during regular trading hours a security with a Reference Price of greater than zero and up to an...

  13. 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...

  14. 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...

  15. 75 FR 67424 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending...

    Science.gov (United States)

    2010-11-02

    ... a Complex Order RFR Auction. NYSE Amex proposes a similar auction under Rule 980NY, with one... Holder representing the order that it be COA'd, the Exchange will send an RFR message to ATP Holders with an interface connection to NYSE Amex that have elected to receive such RFR messages. This RFR message...

  16. 75 FR 1664 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-01-12

    ... thereunder, will be deemed to be a ``matter which may affect substantially the rights or privileges of such... request, the Exchange stated, among ] other things, that waiver of the 30-day operative delay will allow... Proposed Rule Change Amending Rule 452-- NYSE Amex Equities and Section 723 of the NYSE Amex Company Guide...

  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

    ... Transaction in Which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta... Exchange LLC (``Exchange'')--and (2) 100% of the equity interest of NYSE Market, Inc. (``NYSE Market... Equities, Inc. (``NYSE Arca Equities'') (the NYSE Exchanges, together with NYSE Market, NYSE Regulation...

  18. 77 FR 40673 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Granting...

    Science.gov (United States)

    2012-07-10

    ... segmentation would not be inconsistent with Section 6(b)(5) of the Act, which requires that the rules of an...(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed... Act Release Nos. 65671 (November 2, 2011), 76 FR 69774 (SR-NYSE Amex-2011-84); and 65672 (November 2...

  19. 76 FR 49812 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-08-11

    ... Floor Broker for entry into the NYSE Amex System). The Exchange's proposal addresses the mechanics of... Number SR-NYSEAmex-2011-56 on the subject line. Paper Comments Send paper comments in triplicate to...

  20. 76 FR 45899 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-08-01

    ... Amending Commentary .07 to NYSE Amex Rule 904 To Increase Position Limits for Options on the SPDR[supreg] S... Amex Rule 904 to increase position limits for options on the SPDR[supreg] S&P 500[supreg] exchange... and one trading symbol for the options reflected therein, including SPY. The text of the proposed rule...

  1. 76 FR 65230 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-10-20

    ... Transaction in Which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta... (``Exchange'') and NYSE Amex LLC (``NYSE Amex'')--and (2) 100% of the equity interest of NYSE Market, Inc. (``NYSE Market''), NYSE Regulation, Inc. (``NYSE Regulation''), NYSE Arca L.L.C. (``NYSE Arca LLC'') and...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 77 FR 23298 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-04-18

    ... Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the... .02 to NYSE Amex Equities Rule 5320 to require that member organizations report to the Order Audit... public interest. The Exchange requests that the Commission waive the 30-day operative delay so that the...

  7. 76 FR 70790 - Self-Regulatory Organizations; NYSE Amex LLC; Notice and Order Granting Accelerated Approval to...

    Science.gov (United States)

    2011-11-15

    ... status only to those that are bona fide companies with sufficient public float, investor base, and... proposals seek to improve the reliability of the reported financial results of Reverse Merger companies by... Change, as Modified by Amendment No. 2, Amending Section 101 of the NYSE Amex Company Guide To Adopt...

  8. 77 FR 29721 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-05-18

    ... NYSE Amex Options Rule 904 To Eliminate Position Limits for Options on the SPDR[supreg] S&P 500[supreg... limits for options on the SPDR[supreg] S&P 500[supreg] exchange-traded fund (``SPY ETF''),\\3\\ which list and trade under the symbol SPY. The text of the proposed rule change is available at the Exchange, the...

  9. 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...

  10. 76 FR 16026 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-03-22

    ... Exchange notes that its affiliate, New York Stock Exchange LLC (``NYSE''), has proposed parallel changes... addition of Supplementary Material .31 would not alter in any way the universe of off-Floor individuals...

  11. 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...

  12. 76 FR 65247 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-10-20

    ... Subsidiary of Alpha Beta Netherlands Holding N.V. October 14, 2011. Pursuant to Section 19(b)(1) \\1\\ of the... (``NYSE Amex'')--and (2) 100% of the equity interest of NYSE Market, Inc. (``NYSE Market''), NYSE.... (``NYSE Arca Equities'') (the NYSE Exchanges, together with NYSE Market, NYSE Regulation, NYSE Arca LLC...

  13. 76 FR 29809 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Designation of a Longer Period for...

    Science.gov (United States)

    2011-05-23

    ... Commission Action on Proposed Rule Change Relating to the Formation of a Joint Venture Between the Exchange... formation of a joint venture between the Exchange, its ultimate parent NYSE Euronext, and seven other...

  14. 77 FR 10584 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-02-22

    ... based on a $10.10 reference price, and the last sale prior to that reference price is $10.11 on a plus... reference price, Buy Minus MOCs and Buy Minus LOCS priced below the last sale are not included to offset the... proposed rule change is available at the Exchange, the Commission's Public Reference Room, and www.nyse.com...

  15. 76 FR 18591 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-04-04

    ... Options Exchange, and the employees and directors of each of these entities. The Company, NYSE Euronext... each such contribution, a ``Voluntary Capital Contribution'') for the benefit of the Company, up to an..., in satisfaction of liabilities of the Company (other than contingent, conditional or unmatured...

  16. 75 FR 4598 - Self-Regulatory Organizations; NYSE Amex, Inc.; Order Approving Proposed Rule Change To Establish...

    Science.gov (United States)

    2010-01-28

    ... Realtime Reference Prices Service January 22, 2010. I. Introduction On November 30, 2009, the NYSE Amex... thereunder,\\2\\ a proposed rule change to establish the NYSE Amex Realtime Reference Prices service and to... believes that the NYSE Amex Realtime Reference Prices service would provide a low-cost service that makes...

  17. 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...

  18. 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...

  19. 77 FR 39547 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Designation of a Longer Period for...

    Science.gov (United States)

    2012-07-03

    ...[supreg],'' ``Standard & Poor's[supreg],'' ``S&P[supreg],'' ``S&P 500[supreg],'' and ``Standard & Poor's 500'' are registered trademarks of Standard & Poor's Financial Services LLC. The SPY ETF represents...

  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. 77 FR 30341 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-05-22

    ... institutional investors. The Fund may invest in I-Shares, which represent an ownership interest issued by an... listed and traded on the New York Stock Exchange LLC (``NYSE'') and NYSE Amex LLC. The Fund may invest in... conditions,\\7\\ the Fund will invest at least 80% of its net assets (plus the amount of any borrowings for...

  5. 76 FR 16019 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-03-22

    ... affiliate, NYSE Amex LLC, has proposed parallel changes its rules. See SR-NYSEAmex-2011-16. \\5\\ ``DMM... would not alter in any way the universe of off-Floor individuals with whom Floor-based personnel may...

  6. 78 FR 47465 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-05

    ... Exchange Commission (the ``Commission'') the proposed rule change as described in Items I, II, and III... such as NYSE Amex Market Makers, non-NYSE Amex Market Makers, ATP Firms, Professional Customers, and... No written comments were solicited or received with respect to the proposed rule change. III. Date of...

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

    Science.gov (United States)

    2012-09-27

    ... Options LLC (``Company'') was formed as a joint venture between NYSE MKT \\4\\ and its corporate parent NYSE... seven firms, which are referred to in the joint venture's operating documents as ``Founding Firms,'' are... Americas Inc. (``UBS''). \\4\\ At the time it entered into the joint venture, NYSE MKT was referred to as...

  9. 77 FR 49038 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-15

    ... Items I, II, and III below, which Items have been prepared by the self-regulatory organization. The... Options Fee Schedule (``Fee Schedule'') to (i) change the monthly cost for an Amex Trading Permit (``ATP... 1. Purpose NYSE MKT proposes to amend the Fee Schedule to (i) change the monthly cost for an ATP...

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

    Science.gov (United States)

    2013-08-01

    ...-2013-25] Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting... coordinator for the securities in which the specialist is registered by exercising leadership and managing... securities in which the specialist is registered by exercising leadership and managing trading crowd activity...

  12. 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

    ... submitted the proposals in part in response to the aftermath of Superstorm Sandy, which struck the New York... Rule 49 As a result of Superstorm Sandy, which caused NYSE and NYSE MKT to close for two days on...

  13. 76 FR 65255 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2011-10-20

    ... Subsidiary of Alpha Beta Netherlands Holding N.V. October 14, 2011. Pursuant to Section 19(b)(1) \\1\\ of the.... (``NYSE Arca'') and NYSE Amex LLC (``NYSE Amex'')--and (2) 100% of the equity interest of NYSE Market, Inc. (``NYSE Market''), NYSE Regulation, Inc. (``NYSE Regulation''), NYSE Arca L.L.C. (``NYSE Arca LLC'') and...

  14. 76 FR 65264 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2011-10-20

    ... Subsidiary of Alpha Beta Netherlands Holding N.V. October 14, 2011. Pursuant to Section 19(b)(1) \\1\\ of the.... (``NYSE Arca'') and NYSE Amex LLC (``NYSE Amex'')--and (2) 100% of the equity interest of NYSE Market, Inc. (``NYSE Market''), NYSE Regulation, Inc. (``NYSE Regulation''), NYSE Arca L.L.C. (``NYSE Arca LLC'') and...

  15. 78 FR 62928 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-22

    ...-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2-- Equities To Specify That the Definition of An Approved Person Does Not Include a... Indirectly Owns a Member Organization, Then the Member Organization Must Identify Such Governmental Entity to...

  16. 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...

  17. 76 FR 65288 - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-10-20

    ... Subsidiary of Alpha Beta Netherlands Holding N.V. October 14, 2011. Pursuant to Section 19(b)(1) \\1\\ of the U... (2) 100% of the equity interest of NYSE Market, Inc. (``NYSE Market''), NYSE Regulation, Inc. (``NYSE...'') (the NYSE Exchanges, together with NYSE Market, NYSE Regulation, NYSE Arca LLC and NYSE Arca Equities...

  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

    ... Listing and Trading Options on the ETFS Palladium Trust and the ETFS Platinum Trust June 9, 2010. On April...) represent interests in a trust that holds a specified non-U.S. currency or currencies deposited with the... owner to receive the specified non-U.S. currency or currencies and pays the beneficial owner interest...

  19. 77 FR 27508 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Designation...

    Science.gov (United States)

    2012-05-10

    ..., Managing Director, Order Routing and Market Data Strategy, TD Ameritrade, dated November 30, 2011 (``TD....612(c). \\8\\ See Letter from Janet M. McGinness, Senior Vice President- Legal and Corporate Secretary... Janet M. McGinness, Senior Vice President-Legal and Corporate Secretary, Office of the General Counsel...

  20. 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

    ... To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to... Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to establish a Retail..., Order Routing and Market Data Strategy, TD Ameritrade, dated November 30, 2011 (``TD Ameritrade Letter...

  1. 77 FR 7628 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Instituting...

    Science.gov (United States)

    2012-02-13

    ... supported market participant segmentation programs so long as such segmentation is done in an objective and... Letter''); Kurt Schact, CFA, Managing Director, and James Allen, CFA, Head, Capital Markets Policy, CFA... (``Green Letter''); Robert Bright, Chief Executive Officer, and Dennis Dick, CFA, Market Structure...

  2. 76 FR 80445 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Designation...

    Science.gov (United States)

    2011-12-23

    ...; Wayne Koch, Trader, Bright Trading, dated November 29, 2011; Kurt Schact, CFA, Managing Director, and James Allen, CFA, Head, Capital Markets Policy, CFA Institute, dated November 30, 2011; David Green, Bright Trading, dated November 30, 2011; Robert Bright, Chief Executive Officer, and Dennis Dick, CFA...

  3. 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...

  4. 78 FR 11928 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting...

    Science.gov (United States)

    2013-02-20

    ... disadvantaged by the time and place advantage of intra-day traders.'' \\13\\ \\9\\ See Securities Exchange Act... advantage over other market participants through ``intra-day trading,'' where the trader seeks to garner the... a Floor broker to engage in intra-day trading.\\5\\ Currently, NYSE Rule 95(c) states that if a Floor...

  5. 75 FR 65539 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-10-25

    ... Income and Growth Fund (``Fund''), sponsored by Nuveen Investments, Inc. (``Nuveen''). The Exchange... Revenue Service. Instead, the Fund would make its own direct investments. Consequently, NYSE Amex proposed... Income and Growth Fund). The investment plan of the Fund was described in detail in the Amex's Form 19b-4...

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

    Science.gov (United States)

    2011-12-29

    ..., if the Exchange best bid is $10.04 and the NBO locks it at $10.04, a pegging e-Quote to sell would..., if automatic executions on the buy (sell) side are suspended at the Exchange, for example, if a... (bid), but would instead join the next available best-priced non-pegging interest that does not lock or...

  7. 76 FR 40410 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-07-08

    ... crossed market. Autoquote resumes after a manual trade or when the lock or cross is cleared.\\4\\ \\4\\ See... triggering of LRPs than is typical on the Exchange, thus unnecessarily limiting automatic execution of orders... continuous automatic executions of securities before hitting an LRP. While the purpose of the LRP is to...

  8. 76 FR 35493 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-06-17

    ... matching and processing, post trade allocation, submission for clearing and customer service activities... volume threshold of 3,500,000 contracts. Additionally, the charge for all non-Public Customers who... improved market liquidity. The Exchange has previously adopted other incentive programs targeting other...

  9. 75 FR 20401 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change, and...

    Science.gov (United States)

    2010-04-19

    ... may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set... Replenishment Point (``LRP'') parameters. Trading in Nasdaq Securities will be subject to rules that are... ``QQQs'') and has proposed a set of special requirements governing the assignment of the QQQs and its...

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

    Science.gov (United States)

    2010-05-11

    .... 220 DTV DIRECTV. 279 DHI DR Horton Inc. 223 WMB Williams Cos Inc/The. 280 ADBE Adobe Systems Inc. 225.... Corp. 239 MJN Mead Johnson 289 CREE Cree Inc. Nutrition Co. 240 ALL Allstate Corp/The. 290 SIRI Sirius... national market system and, in general, to protect investors and the public interest, by identifying the...

  11. 75 FR 48405 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-08-10

    ... Corp/ 322 HSY Hershey Co/The. United States. 226 YUM Yum! Brands Inc......... 323 TXT Textron Inc. 232... constitutes a stated policy, practice, or interpretation with respect to the meaning, administration, or...

  12. 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...

  13. 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...

  14. 76 FR 23632 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-04-27

    ... selects a multiply listed product as the basis of a volatility index, proposed Commentary .13 would permit... classes. Further, the Exchange does not believe that the proposal will result in a material proliferation...

  15. 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...

  16. 75 FR 6772 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-02-10

    ...) and IWM (iShares Russell 2000 Index Fund) as eligible to quote and trade all options contracts in one... Index Fund). In selecting these issues, the Exchange considered, among other things, that these symbols...

  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

    ... NASDAQ 100 Tracking Stock (QQQQ); SPDR S&P 500 ETF (SPY); iShares Russell 2000 Index Fund (IWM); and... 2000 323,983 500,000 Index Fund. 20 RUT Russell 2000 Index...... 97,046 Unlimited. 24 DIA DIAMONDS...Shares Russell 2000 Index Fund (IWM); and DIAMONDS Trust (DIA). Contract Terms To avoid investor...

  18. 76 FR 49522 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2011-08-10

    ... ``Securities Act'') \\5\\ at that point in time, as there would be for an IPO. \\4\\ In some cases a private... diligence by underwriters as a company listing in conjunction with its IPO, so it would be inequitable to...

  19. 76 FR 13249 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2011-03-10

    ... selection is made by an Exchange Selection Panel (``ESP'') comprised of senior management of the Exchange...\\ in particular in that it is designed to promote just and equitable principles of trade, to foster... when conducting their DMM activities. \\5\\ 15 U.S.C. 78f(b). \\6\\ 15 U.S.C. 78a. \\7\\ 15 U.S.C. 78f(b)(5...

  20. 75 FR 1439 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Rescinding...

    Science.gov (United States)

    2010-01-11

    ..., competition, and capital formation. See 15 U.S.C. 78c(f). \\12\\ 15 U.S.C. 78f(b)(5). \\13\\ 15 U.S.C. 78k-1(a)(1... high in light of current market conditions. Recent trends in market activity have driven down both...

  1. 76 FR 57793 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-09-16

    ... Exchange Commission (the ``Commission'') the proposed rule change as described in Items I, II, and III... payment accepting firms. Fourth, the Exchange proposes to add new text to footnote 11 stating that an ATP... Maker to payment accepting firms. If an ATP Holder submits an Electronic Complex Order to the Exchange...

  2. 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...

  3. 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...

  4. 75 FR 80553 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Relating to...

    Science.gov (United States)

    2010-12-22

    ... these provisions to Stock/Complex Orders; (iii) delete Rule 963.1NY; (iv) add Rule 980NY(e) to establish... executed at a net debit or credit with another ATP Holder without giving priority to equivalent bids... specialist).\\7\\ Upon receipt of a COA-eligible order, and direction from the entering ATP Holder that an...

  5. 76 FR 58555 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-09-21

    ... and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II, and III... encourage efficient usage of systems capacity by all ATP firms.\\3\\ The Exchange believes that it is in the best interests of all ATP firms and investors who access our markets to encourage efficient usage of...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 75 FR 18556 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-04-12

    ... (the ``Commission'') the proposed rule change as described in Items I, II, and III below, which Items... designated by the ATP holder that the order was directed to. Electronically executed customer orders that are not directed to a specific ATP holder (Non-Directed orders) that result in the collection of marketing...

  11. 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...

  12. 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...

  13. 77 FR 20869 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Amending the...

    Science.gov (United States)

    2012-04-06

    ... identify all of its approved persons to the Exchange and each such approved person would continue to be... rule would have a significant effect on efficiency, competition, or capital formation. In light of the... formation and has concluded that the proposed rule is unlikely to have any significant effect.\\9\\ \\9\\ 15 U.S...

  14. 77 FR 19394 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-03-30

    ... documents of Alpha Beta Netherlands Holding N.V., a holding company organized under the laws of the... open market and a national market system. Specifically, the Exchange believes that the Proposed Rule... before April 20, 2012. For the Commission, by the Division of Trading and Markets, pursuant to delegated...

  15. 76 FR 44061 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-07-22

    ... the 2009 Release. The Exchange proposes to define each of the six Strategy Executions that qualify for... has these strategies, with the exception of the box spread, defined in its fee schedule. See ( http... defined as transactions done to achieve a dividend arbitrage involving the purchase, sale and exercise of...

  16. 75 FR 19443 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of a...

    Science.gov (United States)

    2010-04-14

    ... Professional Customers in the same manner as Broker Dealers for purposes of priority and parity. Consistent... same as the fees charged to the execution of Broker Dealer orders. Professional Customer orders that... electronic orders that trade contra to a market maker will result in the collection of marketing charges...

  17. 75 FR 59299 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Amending Its...

    Science.gov (United States)

    2010-09-27

    ... Users have the option of obtaining access to the Exchange's Liquidity Center Network (``LCN''), a local... have access. Because it operates as a local area network within the data center, the LCN provides... combination with SFTI connections and optic connections to outside access centers and within the data center...

  18. 76 FR 27118 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-05-10

    ...'s regulatory operations in the Concept Release Concerning Self- Regulation\\18\\ and the release on the Fair Administration and Governance of Self-Regulatory Organizations.\\19\\ In the Concept Release... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64400; File No. SR-NYSEAmex-2011-27] Self...

  19. 76 FR 5229 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-01-28

    ... shares in exchange for a pro rata share of the cash held by the acquisition vehicle.\\4\\ Similar... price higher than their pro rata share of the deposit account. In other cases, the withheld votes may... to tender their shares in exchange for a pro rata share of the cash held by the acquisition vehicle...

  20. 77 FR 32157 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Defining a...

    Science.gov (United States)

    2012-05-31

    ... in each class compete in the Specialist Pool on a size pro-rata basis, and do not compete at all for... pro-rata basis. \\3\\ Under the rule, the Specialist's pro-rata allocation may receive additional... would move to the next step in the allocation process--size pro rata allocation pursuant to Rule 964NY(b...

  1. 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

    ... Proposal Options on the SPY ETF (``SPY options'') are American-style, p.m.- settled options that physically..., including timely communication with the Commission and with other marketplace self- regulatory organizations... the Commission, and all written communications relating to the proposed rule change between the...

  2. 75 FR 17818 - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2010-04-07

    ... of the Nuveen Commodities Income and Growth Fund (the ``Fund''), a fund sponsored by Nuveen... law by the Internal Revenue Service, the originally expected trust reporting procedures would no... commodities markets. The Fund's secondary objective is to provide investors with monthly income and capital...

  3. 75 FR 71777 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-11-24

    ... position. These definitions would allow financial products such as ETF options, index futures, options on... pursuant to Appendix E of SEC Rule 15c3-1; (iii) a financial holding company (``FHC'') or a company treated... Expanding the Delta Hedging Exemption Available for Equity Options Position Limits and Adopting a Delta...

  4. 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... books and records of the Company will not be made available to any persons other than to those officers... relating solely to one or more of the following: Marketing, administrative matters, personnel matters...

  5. 77 FR 38117 - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change To...

    Science.gov (United States)

    2012-06-26

    ... creation/redemption mechanism is the process by which institutional investors make and redeem investments... invest 100% of the total assets of the Fund in short-term, high-quality debt securities and money market... and money market instruments may include shares of mutual funds, commercial paper, certificates of...

  6. 75 FR 9265 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2010-03-01

    ... the Fund, will only enter into OTC contracts with: (a) Members of the Federal Reserve System or foreign banks with branches regulated by the Federal Reserve Board; (b) primary dealers in U.S. government... Act and will issue shares that represent units of fractional undivided beneficial interest in and...

  7. 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...

  8. 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...

  9. 76 FR 61422 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2011-10-04

    ... the trading day begins.\\13\\ \\13\\ The Exchange and other markets will advise via Trader Update the... balance between permitting trading halts as late in the day as feasible without interrupting the closing...; At or after 2 p.m.--trading shall halt and not resume for the rest of the day. Level 3 Halt At any...

  10. 76 FR 24074 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-04-29

    ... rule or the mechanics of a 72(d) crossing transaction. 2. Statutory Basis The proposed rule change [email protected] . Please include File Number SR-NYSEAmex-2011-25 on the subject line. Paper Comments Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100...

  11. 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...

  12. 75 FR 28837 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of a Proposed Rule Change Adding...

    Science.gov (United States)

    2010-05-24

    ... (``Trigger Trade'') during the preceding second to a reference price (the ``Calculation Time''). For purposes of this calculation, the reference price shall be any transaction in that security printed to the... calculation period, the reference prices for a Trigger Trade will not be based on five minutes of trading in...

  13. 75 FR 36749 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2010-06-28

    ... flexibility to the Exchange to use different Numerical Guidelines or Reference Prices in various ``Unusual... twenty or more securities, the Exchange may use a Reference Price other than consolidated last sale in... time selected as the Reference Price. The Exchange will nullify as clearly erroneous all transactions...

  14. 77 FR 35444 - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-06-13

    ... meet the 5% average quoting requirement, and use of specified SLP mnemonics. In addition, the business... unique mnemonics specifically dedicated to SLMM activity. Use of these unique mnemonics will enable SLMMs... to the Exchange. As proposed, such mnemonics may not be used for trading in securities other than SLP...

  15. 77 FR 24236 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-04-23

    ... mnemonics. In addition, the business unit of the member organization acting as an SLP must enter proprietary..., pursuant to proposed Rule 107B(d)(3), the SLMM would be required to maintain unique mnemonics specifically dedicated to SLMM activity. Use of these unique mnemonics will enable SLMMs to meet their requirement under...

  16. 75 FR 36140 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2010-06-24

    ... dissemination of this MOC/LOC imbalance information is the electronic evolution of the market probe response... Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an e... Commission will post all comments on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml...

  17. 75 FR 6424 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-02-09

    .... Inc. 146 ERTS Electronic Arts 207 TCK Teck Resources Inc. Ltd. 121 EWJ iShares MSCI Japan 196 TEVA... Shares. 182 FRE Federal Home Loan 168 UAUA UAL Corp. Mortgage Corp. 179 GILD Gilead Sciences 154 URE Pro...

  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...-2009-111). The Exchange stated in its filing that it seeks to build on changes it made earlier this... the available interest thus making it more readily available for the DMM and that systemic tracking of...

  19. 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

    ... Positions......... 4.64 Total Metals Positions..... 17.39 Livestock Cattle Live Short 3.87 Hogs Lean Short 2... September 30, 2011. These are not the actual signals or weights of the Fund. The Index construction rules... construction rules and other information about the Index can be found on Morningstar's Web site at http...

  20. 76 FR 41539 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Amending...

    Science.gov (United States)

    2011-07-14

    ... merger, acquisition, joint venture, spinoff, dissolution, bankruptcy filing or other similar type of... of the market would provide him with an unfair advantage over off-floor market participants. However...

  1. 76 FR 30415 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2011-05-25

    ..., acquisition, joint venture, spinoff, dissolution, bankruptcy filing or other similar type of event involving... time, place, or information advantage with respect to the proposed proprietary trading activity that... time, place, or information advantage but permits them to more fully utilize booth staff and thereby...

  2. 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...

  3. 78 FR 51775 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-21

    ..., NYSE MKT Trades Digital Media and NYSE MKT Realtime Reference Prices Digital Media. See Securities... data that they believe will enable them to attract ``eyeballs'' that contribute to their advertising...

  4. 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...

  5. 78 FR 69164 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-11-18

    ... standard option contracts on the same trading day in the same option class. See NYSE Arca General Options... option contracts on the same trading day in the same option class. See NYSE Amex Options Fee Schedule... defrays brokerage costs associated with executing strategy transactions and continues to incentivize...

  6. 76 FR 30418 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-05-25

    ... NYSE Amex option, such as the announcement of a merger, acquisition, joint venture, spinoff... that an NYSE member organization would not have any type of time, place, or information advantage with... organizations no time, place, or information advantage but permits them to more fully utilize booth staff and...

  7. 77 FR 36324 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-06-18

    ... industry knowledge and expertise on the Board, such as the requirement that NYSE Euronext directors take... Board, as well as representation of the interests of a diverse range of market constituencies and local... these Regulated Subsidiaries, the conflicting language stating that a director of an affiliate of a...

  8. 78 FR 77750 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-24

    ... (iii) non- member organization and non-ATP Holder broker-dealers and vendors that request to receive co... in the definitions section of the General and Floor Rules of the NYSE MKT Equities Rules, and ATP... the Exchange unless such User or customer is a member organization, an ATP Holder, a Sponsored...

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

    Science.gov (United States)

    2012-10-15

    ... administer. Based on its experience with these products, the Exchange will consider adopting User per Source... among users and recipients of the data and is not designed to permit unfair discrimination among... available on the Exchange's Web site at www.nyse.com , at the principal office of the Exchange, and at the...

  11. 77 FR 47138 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-08-07

    ... Electronic Commerce Holdings Inc. (``Barclays''), Citadel Securities LLC (``Citadel''), Citigroup Financial.... Comments may be submitted by any of the following methods: Electronic Comments Use the Commission's...

  12. 75 FR 36136 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Amend...

    Science.gov (United States)

    2010-06-24

    ... of the Exchange retaining ultimate legal responsibility for the regulation of its permit holders \\6..., with NYSE Amex retaining ultimate legal responsibility for the regulation of its permit holders and its... retains ultimate legal responsibility for the regulation of its permit holders and its market and has full...

  13. 75 FR 26304 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc...

    Science.gov (United States)

    2010-05-11

    ... Regulatory Officer (``CRO''), and the Exchange will still retain ultimate legal responsibility for the... Responsibilities of the ROC, and the Board of Directors of the Exchange Will Retain Ultimate Legal Responsibility... * * *. Notwithstanding these regulatory contracts, NYSE [Amex] will retain ultimate legal responsibility for the...

  14. 78 FR 6155 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-01-29

    ... discount is in recognition of the effort on the part of Directed LMMs and Directed PLMMs to attract... in the Penny Pilot) and is higher than CBOE, ISE in non-select symbols, and NYSE Amex ($0.20 each..., is in recognition of the effort on the part of Directed LMMs and Directed PLMMs to attract directed...

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

    Science.gov (United States)

    2012-10-16

    ... now known as NYSE MKT LLC (``NYSE MKT'')) are not required to pay Annual Fees with respect to that... Arca are not required to pay Annual Fees with respect to that primary class of common shares or any... increased transparency and liquidity with respect to the issuer's security, thereby benefiting investors. In...

  16. 76 FR 69788 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Rule Change...

    Science.gov (United States)

    2011-11-09

    ... Proposed Rule Change The Exchange proposes a one-year pilot program that would add new Rule 107C to.... Purpose The Exchange is proposing a one-year pilot program that would add new NYSE Rule 107C to establish...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Rule Change Proposing a One-Year...

  17. 78 FR 4524 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-22

    ... Exchange LLC, an affiliate of the Exchange. The text of the proposed rule change is available on the... Holdings each own a 50% economic interest in the Company. In addition, the Exchange, through its wholly- owned subsidiary NYSE Market, Inc., owns less than 10% of the aggregate limited partnership interest in...

  18. 75 FR 80088 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-12-21

    ... wholly-owned subsidiary NYSE Market, Inc., owns less than 10% of the aggregate limited partnership... York Block Exchange LLC, an affiliate of the Exchange. There is no proposed rule text. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In...

  19. 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

    ..., Alta Wind XIV, LLC, Alta Wind XV, LLC, Alta Windpower Development, LLC, TGP Development Company, LLC... XIII, LLC, Alta Wind XIV, LLC, Alta Wind XV, LLC, Alta Windpower Development, LLC, and TGP Development...

  20. 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, QF07-257-004] 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 Wind Power, LLC v. Xcel Energy...

  1. 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

    ...; Alta Wind VII, LLC; Alta Wind VIII, LLC; Alta Windpower Development, LLC; TGP Development Company, LLC... Development, LLC, and TGP Development Company, LLC (Petitioners) filed jointly a petition for declaratory...

  2. 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

    ..., Portugal and the United Kingdom). ICE's common stock is listed on the Exchange under the symbol ``ICE... trading on the Exchange under the same symbol. \\12\\ ICE Group is currently a wholly-owned subsidiary of... Independence Policy'' in recognition of the form of organization of the Exchange. Substantially the same...

  3. 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

    ... Energy Regulatory Commission 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 Order Take notice that on September 27, 2012, Avalon Wind...

  4. 77 FR 72429 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for...

    Science.gov (United States)

    2012-12-05

    ... of the NYSE Arca U.S. Equity Synthetic Reverse Convertible Index Fund Under NYSE Arca Equities Rule 5... and trade shares (``Shares'') of the NYSE Arca U.S. Equity Synthetic Reverse Convertible Index Fund (``Fund'') under NYSE Arca Equities Rule 5.2(j)(3). On October 2, 2012, the Exchange submitted Amendment...

  5. 78 FR 32385 - Exelon Generation Company, LLC; CER Generation II, LLC; Constellation Mystic Power, LLC...

    Science.gov (United States)

    2013-05-30

    ... Generation Company, LLC; CER Generation II, LLC; Constellation Mystic Power, LLC; Constellation NewEnergy, Inc.; Constellation Power Source Generation, Inc.; Criterion Power Partners, LLC; Notice of Petition...) Rules of Practice and Procedure, 18 CFR 385.207, Exelon Generation Company, LLC, CER Generation II, LLC...

  6. 75 FR 5363 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Modifying...

    Science.gov (United States)

    2010-02-02

    ... Realtime Reference Prices Service January 22, 2010. I. Introduction On December 1, 2009, NYSE Arca, Inc... thereunder,\\2\\ a proposed rule change to add data elements to its ``NYSE Arca Realtime Reference Prices.... Description of the Proposal The Exchange proposes several changes to the NYSE Arca Realtime Reference Prices...

  7. 75 FR 4124 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed...

    Science.gov (United States)

    2010-01-26

    ..., Inc. (``NYSE Arca'' or ``Exchange''), through its wholly owned subsidiary, NYSE Arca Equities, Inc. (``NYSE Arca Equities''), filed with the Securities and Exchange Commission (``Commission''), pursuant to... Bond ETF and the Grail McDonnell Core Taxable Bond ETF (each an ``ETF'' and, collectively, the ``ETFs...

  8. 75 FR 55315 - Seminole Energy Services, LLC; Seminole Gas Company, LLC; Seminole High Plains, LLC; Lakeshore...

    Science.gov (United States)

    2010-09-10

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF ENERGY Federal Energy Regulatory Commission Seminole Energy Services, LLC; Seminole Gas Company, LLC; Seminole High Plains, LLC; Lakeshore Energy Services, LLC; Vanguard Energy Services, LLC Notice of Amended Designation...

  9. 75 FR 6738 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-02-10

    ..., to correspond to FINRA Rule 2220, Options Communications. Many elements of current NYSE Amex Rule 991... and approval process for advertisements, correspondence, and institutional sales material. The...

  10. 75 FR 6745 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-02-10

    ..., to correspond to FINRA Rule 2220, Options Communications. Many elements of current NYSE Amex Rule 991... and approval process for advertisements, correspondence, and institutional sales material. The...

  11. 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

    ... Energy Regulatory Commission Notice of 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...

  12. 77 FR 14010 - Rocky Ridge Wind Project, LLC, Blackwell Wind, LLC, CPV Cimarron Renewable Energy Company, LLC...

    Science.gov (United States)

    2012-03-08

    ..., 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... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket Nos. EG12-16-000, EG12-17-000...

  13. 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...

  14. 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

    ... Superstorm Sandy On October 29 and 30, 2012, due to the dangerous conditions that developed as a result of Superstorm Sandy, NYSE and NYSE MKT, as well as a number of their member organizations located in the tri...

  15. 77 FR 36307 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-06-18

    ... engaging in regulating, clearing, settling and processing information with respect to, and facilitating...'') and NYSE Regulation, Inc. (``NYSE Regulation'' and, together, the ``Regulated Subsidiaries'').\\3\\ In... directors of the Regulated Subsidiaries, and make certain conforming changes to the Organizational Documents...

  16. 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

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket Nos. EG12-63-000; EG12-64-000; EG12-65-000; EG12-66-000; EG12- 67-000; EG12-68-000; EG12-69-000] Topaz Solar Farms LLC; High Plains Ranch II, LLC; Bethel Wind Energy LLC; Rippey Wind Energy LLC; Pacific Wind, LLC; Colorado Highlands...

  17. 77 FR 52774 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-30

    ... proposed Customer-to- Customer Order type is defined in NYSE Arca Options Rule 6.1A(a)(4). NYSE Arca... to amend NYSE Arca Rule 6.47 to adopt a new procedure that provides for the execution of Customer-to-Customer Crosses on the Trading Floor. The proposal is based on a nearly identical customer-to-customer...

  18. 78 FR 21436 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-10

    ... Change Establishing Certain Fees for the NYSE Arca Trades and NYSE Arca Realtime Reference Prices Market... Realtime Reference Prices (``NYSE Arca RRP'') market data products. The text of the proposed rule change is... for each real-time reference price that a vendor disseminates to its customers (``per query fee...

  19. 77 FR 20087 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-04-03

    ... Inflation-Linked Bond Strategy Fund (``Fund'') under NYSE Arca Equities Rule 8.600. The proposed rule change... Listing and Trading of the PIMCO Global Advantage Inflation-Linked Bond Strategy Fund Under NYSE Arca Equities Rule 8.600 March 28, 2012. I. Introduction On January 27, 2012, NYSE Arca, Inc. (``Exchange'' or...

  20. 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...

  1. 77 FR 42714 - Eagle Creek Hydropower, LLC, Eagle Creek Land Resources, LLC, Eagle Creek Water Resources, LLC...

    Science.gov (United States)

    2012-07-20

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Project No. 9690-109] Eagle Creek Hydropower, LLC, Eagle Creek Land Resources, LLC, Eagle Creek Water Resources, LLC; Notice of Application...: Eagle Creek Hydropower, LLC; Eagle Creek Land Resources, LLC; and Eagle Creek Water Resources, LLC. e...

  2. 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

    ...; 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... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. EG10-25-000; EG10-26-000...

  3. 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

  4. 76 FR 52998 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change by NYSE...

    Science.gov (United States)

    2011-08-24

    ... Securities denominated in Australian or New Zealand dollars, and the Fund intends to focus its investments on... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65160; File No. SR-NYSEArca-2011-54] Self... Arca, Inc. (the ``Exchange'' or ``NYSE Arca'') filed with the Securities and Exchange Commission (the...

  5. 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...

  6. 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...

  7. 78 FR 63547 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation...

    Science.gov (United States)

    2013-10-24

    ... Millo, Professor of Social Studies of Finance, University of Leicester, dated August 22, 2013 (``LSE... Exchanges' Rules Governing the Ability of DMMs To Provide Market Information To Floor Brokers, and To Make... Daniel Buenza, Lecturer in Management, London School of Economics and Yuval Millo, Professor of Social...

  8. 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... Information, To Amend the Exchanges' Rules Governing the Ability of DMMs To Provide Market Information to... Professor of Finance, Georgetown University, McDonough School of Business (May 14, 2013) (``Angel Letter...

  9. 78 FR 21464 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-10

    ... Proposed Rule Change To Establish Certain Fees for the NYSE Trades and NYSE Realtime Reference Prices... and NYSE Realtime Reference Prices (``NYSE RRP'') market data products. The text of the proposed rule... reference price that a vendor disseminates to its customers (``per query fee''), which is capped at $60,000...

  10. 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...

  11. 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...

  12. 78 FR 79048 - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change Amending...

    Science.gov (United States)

    2013-12-27

    ... acts and practices, to promote just and equitable principles of trade, to remove impediments to and... to the time the rule is deleted. Thus, the proposed rule change would have no impact on ongoing... Address Wash Sales in Order To Harmonize the Exchange's Rules With the Rules of New York Stock Exchange...

  13. 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...

  14. 75 FR 59705 - SourceGas Distribution LLC; Bay Gas Storage, LLC; Enterprise Texas Pipeline LLC; Dow Intrastate...

    Science.gov (United States)

    2010-09-28

    ...; Docket No. PR10-110-000; Docket No. PR10-112-000; Docket No. PR10- 113-000 (Not Consolidated) SourceGas Distribution LLC; Bay Gas Storage, LLC; Enterprise Texas Pipeline LLC; Dow Intrastate Gas Company; ONEOK Field Services Company, L.L.C.; Corning Natural Gas Corporation; Notice of Baseline Filings September 21, 2010...

  15. 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...

  16. 75 FR 1049 - Wausau Paper Printing & Writing, LLC,

    Science.gov (United States)

    2010-01-08

    ...] Wausau Paper Printing & Writing, LLC, Wausau Paper Mills, LLC; Notice of Application for Transfer of... Paper Printing & Writing, LLC (transferor) and Wausau Paper Mills, LLC (transferee) filed an application...

  17. 75 FR 31484 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Modify...

    Science.gov (United States)

    2010-06-03

    ... exchange, including NYSE Arca. Attracting order flow is an essential part of NYSE Arca's competitive... published estimated trading percentages in NMS Stocks in its Concept Release on Equity Market Structure. See...); State Oil Co. v. Khan, 522 U.S. 3 (1997); Northern Pacific Railway Co. v. U.S., 356 U.S. 1 (1958). \\23...

  18. 76 FR 34788 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-06-14

    ... market quality associated with higher volumes. NYSE Arca believes that the overall effect of the changes... sweeps the NYSE Arca Book and routes any remaining balance to the primary listing market. All orders with... credit of $0.0025 [[Page 34790

  19. 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...

  20. 77 FR 73500 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-12-10

    ... (``REITs'') are eligible for inclusion as equity securities, with the exception of mortgage REITs... Call ETF, and Horizons S&P Energy Select Sector Covered Call ETF Under NYSE Arca Equities Rule 5.2(j)(3... Sector Covered Call ETF, and Horizons S&P Energy Select Sector Covered Call ETF under NYSE Arca Equities...

  1. 76 FR 4963 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2011-01-27

    ... NYSE Arca Equities Rule 8.200 applies to Trust Issued Receipts that invest in ``Financial Instruments... continued listing requirements applicable to Trust Issued Receipts in NYSE Arca Equities Rule 8.200 and... Holders \\16\\ acting as registered Market Makers \\17\\ in Trust Issued Receipts to facilitate surveillance...

  2. 76 FR 44969 - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-07-27

    ... Change Amending Commentary .06 to NYSE Arca Rule 6.8 To Increase Position Limits for Options on the SPDR... Commentary .06 to NYSE Arca Rule 6.8 to increase position limits for options on the SPDR[supreg] S&P 500... update the names and one trading symbol for the options reflected therein, including SPY. The text of the...

  3. 76 FR 2183 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a...

    Science.gov (United States)

    2011-01-12

    ... 980NY(e) describes the process for a Complex Order Request for Responses (``RFR'') Auction. NYSE Arca... Exchange will send an RFR message to OTP Holders with an interface connection to NYSE Arca that have elected to receive such RFR messages. This RFR message will identify the component series, the size of the...

  4. 75 FR 47652 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change...

    Science.gov (United States)

    2010-08-06

    ... August 2, 2010. I. Introduction On June 10, 2010, NYSE Arca, Inc. (``Exchange'' or ``NYSE Arca''), filed... Rule specifically requires the adoption of a code of ethics by an investment adviser to include, at a... supervised persons to report any violations of the code of ethics promptly to the chief compliance officer...

  5. 78 FR 15990 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-03-13

    ..., 2013. I. Introduction On January 4, 2013, NYSE Arca, Inc. (``Exchange'' or ``NYSE Arca'') filed with... personnel are subject to the provisions of Rule 204A-1 under the Advisers Act relating to codes of ethics. This Rule requires investment advisers to adopt a code of ethics that reflects the fiduciary nature of...

  6. 77 FR 47131 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-08-07

    .... I. Introduction On May 31, 2012, NYSE Arca, Inc. (``Exchange'' or ``NYSE Arca'') filed with the... personnel are subject to the provisions of Rule 204A-1 under the Advisers Act relating to codes of ethics. This Rule requires investment advisers to adopt a code of ethics that reflects the fiduciary nature of...

  7. 75 FR 51863 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to...

    Science.gov (United States)

    2010-08-23

    ...-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to Listing of the... generic listing standards under NYSE Arca Equities Rule 5.2(j)(3); (ii) the continued listing standards... approving the generic listing rules applicable to the listing and trading of Units.\\9\\ \\6\\ Commentary .01(a...

  8. 77 FR 61804 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-10-11

    ... Series Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 October 4, 2012. I. Introduction On August... the Funds pursuant to NYSE Arca Equities Rule 5.2(j)(3), Commentary .02, which governs the listing and... amount at maturity. The 2018 Index measures the performance of investment-grade U.S. municipal bonds...

  9. 78 FR 11245 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-02-15

    ... and potential rewards of investing in both equity funds and bond funds. Certain of the Preferred... First Trust Preferred Securities and Income ETF Under NYSE Arca Equities Rule 8.600 February 8, 2013. I...'') of the First Trust Preferred Securities and Income ETF (``Fund'') under NYSE Arca Equities Rule 8.600...

  10. 77 FR 7643 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change...

    Science.gov (United States)

    2012-02-13

    ... Bond ETF; and Russell Real Return ETF Under NYSE Arca Equities Rule 8.600 February 7, 2012. I... list and trade shares (``Shares'') of the Russell Global Opportunity ETF; Russell Bond ETF; and Russell Real Return ETF (each, a ``Fund'' and, collectively, ``Funds'') under NYSE Arca Equities Rule 8.600...

  11. 76 FR 9065 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2011-02-16

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

  12. 76 FR 76205 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-12-06

    ... Shares \\3\\ (``Shares'') under NYSE Arca Equities Rule 8.600: Russell Global Opportunity ETF; Russell Bond... and Trading of the Russell Global Opportunity ETF; Russell Bond ETF; and Russell Real Return ETF Under NYSE Arca Equities Rule 8.600 December 1, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange...

  13. 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...

  14. 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...

  15. 77 FR 67851 - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Proposed Rule Change To...

    Science.gov (United States)

    2012-11-14

    ... the accounts of non-Marker Maker Options Participants from being executed prior to the execution of... American Stock Exchange (``Amex'') Post Execution Reporting System, the Amex Switching System, the Intermarket Trading System, the Multiple Dealer Trading Facility of the Cincinnati Stock Exchange, the PCX...

  16. 75 FR 70076 - Tennessee Southern Railroad Company, Patriot Rail, LLC, Patriot Rail Holdings LLC, and Patriot...

    Science.gov (United States)

    2010-11-16

    ... Control Exemption--Columbia & Cowlitz Railway, LLC, DeQueen and Eastern Railroad, LLC, Golden Triangle...), DeQueen and Eastern Railroad, LLC (DQE), Golden Triangle Railroad, LLC (GTRA), Mississippi & Skuna Valley..., and spur tracks, in Howard and Sevier Counties, Ark.; Docket No. FD 35428, Golden Triangle Railroad...

  17. 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...

  18. 77 FR 14011 - Rainbow Ranch Wind, LLC, Rainbow West Wind, LLC; Notice of Petition for Enforcement

    Science.gov (United States)

    2012-03-08

    ... Energy Regulatory Commission Rainbow Ranch Wind, LLC, Rainbow West Wind, LLC; Notice of Petition for... Policies Act of 1978 (PURPA), 16 USA 8242-3(h), Rainbow Ranch Wind, LLC (Rainbow Ranch) and Rainbow West Wind, LLC (Rainbow West) (collectively, Petitioners) filed a petition requesting the Federal Energy...

  19. 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.

  20. PDG Construction, LLC Information Sheet

    Science.gov (United States)

    PDG Construction, LLC d/b/a Princeton Design Guild (the Company) is located in Bell Meade, New Jersey. The settlement involves renovation activities conducted at property constructed prior to 1978, located in Hopewell, New Jersey.

  1. An Analysis of XBRL Adoption Towards Systemic Risk of Financial Institutions Listed in NYSE

    Directory of Open Access Journals (Sweden)

    Andreas Suwardi

    2017-12-01

    Full Text Available This research aims to test the impact of the mandatory adoption of XBRL towards the systemic risk of American financial institutions listed in New York Stock Exchange (NYSE by utilizing 45 NYSE listed financial institutions for the time period of 2007-2012. The measure of systemic risk is based on SRisk by Acharya et al. (2012 which is available in the NYU Stern V-Lab. XBRL is a dummy variable, in which 0 represents a pre XBRL adoption period (2007-2008 while 1 represents an XBRL reporting environment (2011-2012. It is further interacted with Corporate Governance, which is measured using an index developed by Brown & Caylor (2006. The result proves that XBRL do not significantly impact systemic risk of financial institutions listed in NYSE. The findings have been determined after having controlled firm size, capital ratio, leverage ratio and performance.

  2. 78 FR 48522 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2013-08-08

    ... securities on or through the systems and facilities of NYSE Arca. Events During Superstorm Sandy On October 29 and 30, 2012, due to the dangerous conditions that developed as a result of Superstorm Sandy, NYSE...

  3. 78 FR 40252 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Science.gov (United States)

    2013-07-03

    ... Bylaws require that a majority of the NYSE Regulation Board must consist of non-affiliated directors. The remaining directors are comprised of the Chief Executive Officer of NYSE Regulation and members of the board.... The NYSE Regulation Bylaws do not require any affiliated directors other than the Chief Executive...

  4. 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...

  5. 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

  6. 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...

  7. 75 FR 5780 - Green Borders Geothermal, LLC, Complainant, v. Terra-Gen Dixie Valley, LLC, Respondent; Notice of...

    Science.gov (United States)

    2010-02-04

    ... Energy Regulatory Commission Green Borders Geothermal, LLC, Complainant, v. Terra-Gen Dixie Valley, LLC... Geothermal, LLC (Green Borders) filed a formal complaint against Terra-Gen Dixie Valley, LLC (f/k/a Caithness Dixie Valley, LLC) (Terra-Gen) pursuant to section 206 of the Federal Power Act, and 18 CFR 385.206...

  8. 76 FR 49818 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-08-11

    ... entry into the NYSE Arca System). The Exchange's proposal addresses the mechanics of executing the stock... line. Paper Comments Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities...

  9. 78 FR 51796 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-21

    ... Digital Media and NYSE Arca Realtime Reference Prices Digital Media. See Securities Exchange Act Release... they believe will enable them to attract ``eyeballs'' that contribute to their advertising revenue...

  10. 78 FR 21650 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-04-11

    ... efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). II. Description NYSE Euronext intends..., competition, and capital formation. See 15 U.S.C. 78c(f). \\16\\ 15 U.S.C. 78f(b)(5). The proposal would... currently apply to the Exchange. The Exchange would continue as an indirect wholly-owned subsidiary of NYSE...

  11. 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.

  12. 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.

  13. 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...

  14. 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...

  15. 77 FR 12835 - American Land Company, LLC, Burnshire Hydroelectric, LLC; Notice of Transfer of Exemption

    Science.gov (United States)

    2012-03-02

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Project No. 3287-006] American Land Company, LLC, Burnshire Hydroelectric, LLC; Notice of Transfer of Exemption 1. By letter filed February 14... Hydroelectric, LLC. The project is located on the North Fork, Shenandoah River in Shenandoah County, Virginia...

  16. 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.

  17. 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...

  18. 77 FR 63873 - Heartland Bakery Company, LLC, a Subsidiary of Maplehurst Bakeries, LLC, Including On-Site Leased...

    Science.gov (United States)

    2012-10-17

    ... Employment and Training Administration Heartland Bakery Company, LLC, a Subsidiary of Maplehurst Bakeries... workers of Heartland Bakery Company, LLC, a subsidiary of Maplehurst Bakeries, LLC, including on-site... were employed on-site at the Du Quoin, Illinois location of Heartland Bakery Company, LLC. The...

  19. 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...

  20. 76 FR 15971 - Liberty Gas Storage, LLC and LA Storage, LLC; Notice of Joint Application for Abandonment and...

    Science.gov (United States)

    2011-03-22

    ... Federal Energy Regulatory Commission Liberty Gas Storage, LLC and LA Storage, LLC; Notice of Joint..., 2011, Liberty Gas Storage, LLC (Liberty) and LA Storage, LLC (LA Storage) filed with the Federal Energy... Commission pursuant to section 7(b) of the NGA for Liberty to abandon by transfer certain facilities to LA...

  1. 77 FR 36041 - Nevada 5, Inc. and Oakland Transportation Holdings LLC-Control Exemption-GTR Leasing LLC and US...

    Science.gov (United States)

    2012-06-15

    ... DEPARTMENT OF TRANSPORTATION Surface Transportation Board [Docket No. FD 35635] Nevada 5, Inc. and Oakland Transportation Holdings LLC--Control Exemption--GTR Leasing LLC and US Rail Holdings LLC \\1\\ \\1... carrier, through Oakland's acquisition of GTR Leasing LLC (GTR), the parent company of Rail Holdings.\\2...

  2. 76 FR 13272 - Columbia & Cowlitz Railway, LLC-Corporate Family Transaction Exemption-Patriot Woods Railroad, LLC

    Science.gov (United States)

    2011-03-10

    ... Surface Transportation Board Columbia & Cowlitz Railway, LLC--Corporate Family Transaction Exemption--Patriot Woods Railroad, LLC Columbia & Cowlitz Railway, LLC (CLC) and Patriot Woods Railroad, LLC (Woods... corporate family. CLC seeks to lease and operate all of Woods' lines of railroad consisting of approximately...

  3. 75 FR 49527 - Caps Visual Communications, LLC; Black Dot Group; Formerly Known as Caps Group Acquisition, LLC...

    Science.gov (United States)

    2010-08-13

    ... Employment and Training Administration Caps Visual Communications, LLC; Black Dot Group; Formerly Known as... Adjustment Assistance on June 24, 2010, applicable to workers of Caps Visual Communications, LLC, Black Dot..., Caps Visual Communications, LLC, Black Dot Group, formerly known as Caps Group Acquisition, LLC...

  4. 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...

  5. 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...

  6. 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...

  7. 76 FR 36532 - Iberdrola Renewables, Inc., PacifiCorp, NextEra Energy Resources, LLC, Invenergy Wind North...

    Science.gov (United States)

    2011-06-22

    ..., Invenergy Wind North America LLC, Horizon Wind Energy LLC v. Bonneville Power Administration; Notice of... Resources, LLC, Invenergy Wind North America LLC, and Horizon Wind Energy LLC (Complainants) filed a formal...

  8. 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...

  9. Dividend Policy and Financial Distress: An Empirical Investigation of Troubled NYSE Firms.

    OpenAIRE

    DeAngelo, Harry; DeAngelo, Linda

    1990-01-01

    This paper studies the dividend policy adjustments of eighty NYSE firms to protracted financial distress as evidenced by multiple losses during 1980-85. Almost all sample firms reduced dividends, and more than half apparently faced binding debt covenants in years they did so. Absent binding debt covenants, dividends are cut more often than omitted, suggesting that managerial reluctance is to the omission and not simply the reduction of dividends. Moreover, managers of firms with long dividend...

  10. 75 FR 64384 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To...

    Science.gov (United States)

    2010-10-19

    ... Vice President, Legal and Corporate Secretary, NYSE Euronext, to Elizabeth Murphy, Secretary...\\ did not find that NYSE LRPs caused or created the broad-based liquidity crisis on that day.\\19... rule change that are filed with the Commission, and all written communications relating to the proposed...

  11. 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...

  12. 78 FR 34687 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-10

    ... places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C... stocks.\\4\\ The operative date of the LRP Filing was April 8, 2013. \\4\\ See Securities Exchange Act Release No. 69294 (April 4, 2013), 78 FR 21441 (April 10, 2013) (SR-NYSEMKT-2013-33) (``LRP Filing''). The...

  13. 78 FR 62917 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-22

    .... This would hold true even if the proposed execution was within the Exchange's BBO. \\8\\ Markets for... market for a given strategy. Therefore, the Exchange proposes that in the interest of a fair and orderly..., safety and welfare on the Exchange which contributes to the Exchange's obligation to maintain a fair and...

  14. 77 FR 52767 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-30

    ... ``ArcaBook'' is used strictly for marketing purposes to describe the technology used to support the... practices, to promote just and equitable principles of trade, to foster cooperation and coordination with... data, Regulation NMS advanced the goals of the Act and the principles reflected in its legislative...

  15. 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

    ... absent a concrete recognition of the reshaped competition of the Exchange and the Floor and the array of..., significant demand remains among the most informed market participants for the technology-enabled services of... integration of human judgment, delivered through DMMs and Floor brokers, is driven by the demands of informed...

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

    Science.gov (United States)

    2013-04-09

    ...-display devices, is no longer appropriate in light of market and technology developments and does not.../or smart order routing. Applications and devices that solely facilitate display, internal... charging fees in light of the value of the data and the costs associated with consolidating and...

  18. 78 FR 28926 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-05-16

    ... referencing for the purposes of algorithmic trading and/or smart order routing. Applications and devices that..., equitable, and not unfairly discriminatory in light of these developments. The Exchange and its affiliates... devices paying more than they have previously, is fair and reasonable in light of market and technology...

  19. 78 FR 37259 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-20

    ... Proposing To Permit Traders Conducting Certain Futures and Options Trading on ICE Futures U.S. in Space... certain futures and options trading on ICE Futures U.S. (``IFUS'') \\4\\ in space rented from the Exchange..., the Exchange filed a proposed rule change to relocate trading of certain futures and options contracts...

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

    Science.gov (United States)

    2013-03-05

    ... Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New... relocate certain futures and options trading conducted on ICE Futures U.S. (``IFUS'') \\4\\ from rented space... ``Blue Room'', available to IFUS to accommodate electronic trading of certain futures and options...

  1. 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...

  2. 77 FR 68177 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-15

    ... strategies. Thus, weeklies may be attractive for retail trading strategies that could benefit from the... strategies effectively via STOS, particularly in the current fast, multi-faceted trading and investing... would clearly allow traders and investors, and in particular public (retail) investors to more...

  3. 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...

  4. 78 FR 69465 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-11-19

    ... make the treatment of QOS in ETF options consistent with the treatment of QOS in stock index options... the series of options of the same class previously opened.'' In practice, this means that the Exchange... designed to promote just and equitable principles of trade, to remove impediments to, and perfect the...

  5. 78 FR 63551 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-24

    ... adjusting trade prices if none of the parties is a Customer will help market participants better manage risk... Obvious Error or Catastrophic Error will (1) if the parties to the transaction are not Customers, be... a Customer, be adjusted if the adjustment price would be within the Customer's limit price...

  6. 78 FR 50471 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-19

    ... To Describe the Billing Practice for Co-Location Services and Expand Co-Location Services To Provide... current billing practice for co-location services received by Users that connect to more than one market... Exchange proposes to (i) describe the Exchange's current billing practice for co-location services received...

  7. 77 FR 40112 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Adopting...

    Science.gov (United States)

    2012-07-06

    ... used in calculating the net present value of a future stream of cash flows. After DORS options have... term ``DIVS'' refers to an option contract that returns to the investor a stream of periodic cash flows... to give investors exposure to a stream of cash flows representing the dividends paid by the...

  8. 77 FR 51590 - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-08-24

    ... identical strike prices), are expected to generate total returns that replicate that of a long stock... investor will continue to have the right to earn such dividend- equivalent cash payments as long as the... equal in value to the lesser of (1) the current value of the underlying security or (2) the strike price...

  9. 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...

  10. 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...

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

    Science.gov (United States)

    2013-03-25

    ... mechanisms designed to mitigate risks of ATP Holders and serve as additional safeguards that could help limit... Rule 928NY to include mini-options contracts in the Risk Limitation Mechanism. Accordingly, ATP Holders... solicited or received with respect to the proposed rule change. III. Date of Effectiveness of the Proposed...

  12. 78 FR 77523 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-23

    ... (the ``Commission'') the proposed rule change as described in Items I, II, and III below, which Items... year and continue to facilitate ATP Holders ability to close positions in worthless or not actively... to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for...

  13. 77 FR 37945 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-25

    ...'' proposed rule change pursuant to Section 19 (b)(3)(A)(iii) \\4\\ of the Act and Rule 19b-4(f)(6) thereunder...)(A)(iii). \\5\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement of the Terms of... will continue to educate its ATP Holders regarding the requirements that are unique to the Exchange...

  14. 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...

  15. 77 FR 50734 - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving a Proposed Rule Change Amending the...

    Science.gov (United States)

    2012-08-22

    ... Rule 900.2NY(77); and (iii) non-ATP Holder broker-dealers and vendors that request to receive co...-2010-101). \\5\\ For purposes of its co-location services, the term ``User'' includes (i) ``ATP Holders... cabinet space, in which the power is not utilized, of $360 per month. III. Discussion and Commission's...

  16. 78 FR 34689 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-10

    ... continue to facilitate ATP Holders ability to close positions in worthless or not actively traded series. C.... III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The Exchange has filed the proposed rule change pursuant to Section 19(b)(3)(A)(iii) of the Act \\8\\ and Rule 19b-4...

  17. 78 FR 69499 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-11-19

    ... (``OPRA'') is subject to disciplinary action, including fines. Current Rule 957NY requires an ATP Holder... ATP Holder who is responsible for late reporting of an option transaction, without reasonable... Minor Rule Plan Fine Schedule provided in Rule 476A, Supplementary Material Part 1C.(iii)(i)(27). The...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 78 FR 48922 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-12

    ... described in Items I, II, and III below, which Items have been prepared by the self-regulatory organization.... Under the current fee, which was first adopted in 2011,\\4\\ an ATP Firm pays $0.01 per 1,000 messages in excess of one billion messages in a calendar month if the ATP Firm does not execute at least one contract...

  3. 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...

  4. 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...

  5. 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...

  6. 78 FR 60362 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-01

    ... Commission (``Commission'') the proposed rule change as described in Items I, II, and III below, which Items... the Exchange on each ATP Holder for all options transactions, including mini-options, executed or cleared by the ATP Holder that are cleared by The Options Clearing Corporation (``OCC'') in the customer...

  7. 78 FR 75642 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-12

    ... ``Commission'') the proposed rule change as described in Items I, II, and III below, which Items have been... ATP Holders to engage in both additional FLEX Option transactions and strategy executions on the... to address any other issues, and the Exchange is not aware of any problems that ATP Holders would...

  8. 78 FR 33866 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-05

    ... the Exchange by ATP Holders. Exchange Rule 980NY provides that Electronic Complex Orders that are.../Complex Orders in open outcry trading on the Exchange Floor remains available to ATP Holders and is not... to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for...

  9. 78 FR 73223 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-05

    ... seminars or lecture courses, writing newspaper or magazine articles, or making radio/TV appearances. Member..., pursuant to the FINRA Rule 9600 Series, to grant an exemption from the principal approval requirements of...)--Equities would allow FINRA to exempt, pursuant to the FINRA Rule 9600 Series, a member organization from...

  10. 77 FR 67720 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-13

    ... would not permit Designated Market Makers (``DMMs'') and Floor brokers to use personal portable phone... brokers and Designated Market Makers (``DMMs'') to use personal portable phone devices on the Trading... intermittent cell phone service, many Exchange authorized and provided portable phones continue to not be...

  11. 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...

  12. 78 FR 15067 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2013-03-08

    ... Straddle States. While the Exchange recognizes the importance of continued trading in options overlying NMS... alternatives described above--(i) the moral hazard associated with granting a second look to trades that went...

  13. 77 FR 42535 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-19

    ... possible, and equally reasonable, pricing strategies as the means of recovering total costs. For example... Exchange believes that establishing a different pricing scheme for television broadcasters is justified. The Exchange also believes that its pricing is reasonable in light of other similar products. By way...

  14. 78 FR 21469 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-10

    ... reasonable, pricing strategies as the means of recovering total costs. For example, some platforms may choose... differential pricing for it. In establishing the Digital Media Enterprise Fees, the Exchange recognizes that... strict pricing discipline for the proprietary products themselves. Numerous exchanges compete with each...

  15. 77 FR 41859 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-16

    ... enact these telemarketing rules in accordance with the Telemarketing Consumer Fraud and Abuse Prevention... organization making the call, and will not apply to affiliated entities unless the consumer reasonably would... also FINRA Rule 3230(g). \\35\\ See 47 CFR 64.1601(e). Unencrypted Consumer Account Numbers Proposed Rule...

  16. 77 FR 41824 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-16

    ... Telemarketing Consumer Fraud and Abuse Prevention Act of 1994 (``Prevention Act'').\\5\\ The Prevention Act... organization making the call, and will not apply to affiliated entities unless the consumer reasonably would...). \\32\\ See 47 CFR 64.1601(e). Unencrypted Consumer Account Numbers Proposed Rule 429(h) prohibits a...

  17. 77 FR 71846 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-04

    ...); Currency Trust Shares (Rule 1200B-AEMI); and Trading of Partnership Units (Rule 1500-AEMI). The Exchange... that relate to trading systems that have since been decommissioned by the Exchange and rules that were... proposed rule changes relate to Exchange rules that previously governed equity trading at the Exchange...

  18. 77 FR 70871 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-27

    ... comments it received on the proposed rule change. The text of those statements may be examined at the... of Hurricane Sandy and during the period that phone service was not fully functional.\\5\\ Pursuant to... internet service, many Exchange authorized and provided portable phones continue to not be functional and...

  19. 77 FR 69536 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-19

    ... to the downtown Manhattan vicinity, other services were not yet fully operational. Among other things... broker member organizations must maintain in their books and records all cell phone records that show...: Electronic Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or...

  20. 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...

  1. 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

    ... person, either alone or together with its related persons, from having voting control over ICE Group... person, either alone or together with its related persons, from being entitled to vote or cause the... regulatory authorities in the definitions of ``Euronext College of Regulators'' and ``European Regulator...

  2. 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

    ... & Commercial Law Program, University of Denver Sturm College of Law, dated October 30, 3012 (``Brown Letter... independence assessment of compensation advisers required of compensation committees does not need to be... accompanying text; and (d) added commentary to state that the independence assessment of compensation advisers...

  3. 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...

  4. 77 FR 63900 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-10-17

    ..., increased transparency and an increased opportunity to trade on the Exchange. Additionally, the Exchange... (``CBOE'') has a Volume Incentive Program that pays order flow providers on CBOE a tiered rebate, from $0... (``PHLX'') has a Customer Rebate Program that pays tiered rebates that range from $0.00 to $0.12 per...

  5. 78 FR 41168 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2013-07-09

    ...\\ 15 U.S.C. 78a. \\3\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of... the NDX 100 Index is established and traders and customers can determine the exact implied... been ``tied'' to the combination or ``tied to the combo.'' \\6\\ Implied volatility is defined as the...

  6. 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... temporary suspension of those aspects of Rules 36.20 and 36.21 because of ongoing telephone and internet...

  7. 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... aspects of Rules 36.20 and 36.21 because of ongoing telephone and Internet issues. \\5\\ See Securities...

  8. 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...--Equities and 36.21--Equities because of ongoing telephone and internet issues. \\6\\ See Securities Exchange...

  9. 78 FR 19777 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-02

    ... Exchange in a position of trying to strike the right balance of fees applicable to Minis--too low and the... which the transaction occurs. The Exchange is proposing to charge the same rate for transactions in Mini... rate as the standard option contract. The Exchange is proposing a non-substantive change to remove...

  10. 77 FR 42345 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-18

    ... electronic executions that would be charged a lower per contract rate. Specifically, the Exchange proposes to...\\ At this time, the Exchange is leaving in place current rate of $.20 per contract for Firms because... low monthly cost are able to send orders in all issues traded on the Exchange.\\13\\ For Broker-Dealers...

  11. 78 FR 22011 - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving, on an Accelerated Basis, Proposed...

    Science.gov (United States)

    2013-04-12

    ... Exchange's recognition of the potential for unreliable NBBOs in the options markets during Limit States and...: Stock symbol, option symbol, time at the start of the Limit State or Straddle State and an indicator for...

  12. 78 FR 22004 - Self-Regulatory Organizations; NYSE Arca LLC; Order Approving, on an Accelerated Basis, Proposed...

    Science.gov (United States)

    2013-04-12

    ... recognition of the potential for unreliable NBBOs in the options markets during Limit States and Straddle... include, among other information: stock symbol, option symbol, time at the start of the Limit State or...

  13. 78 FR 40237 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-07-03

    ... for responses (``RFR'') message to all ATP Holders who subscribe to RFR messages. RFR messages... they would be willing to participate in the execution of the COA-eligible order (an ``RFR Response... CBOE, because same-side responses to an RFR would not trade with the COA-eligible order, the Exchange...

  14. 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...

  15. 78 FR 16544 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-15

    ... implementation date will be no later than 90 days following publication of the Trader Update ] announcing..., limit orders accepted prior to the opening or during the trading day with valid STP modifiers could be...-STP opposite-side interest, Exchange systems would cancel the remaining balance of the incoming STPN...

  16. 78 FR 23963 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-23

    ... Member's contribution to the volume of the Exchange relative to such Class B Member's Individual Target... achieved or exceeded its Individual Target, the Issuance of Annual Incentive Shares did not result in any... Rule Change does not affect the availability or pricing of any goods or services, the Proposed Rule...

  17. 77 FR 67419 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a...

    Science.gov (United States)

    2012-11-09

    ... 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 strike price, but with a different expiration from the... qualifying Strategy Execution executed as a Qualified Contingent Cross order is ineligible for the fee caps...

  18. 77 FR 68191 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Deleting...

    Science.gov (United States)

    2012-11-15

    ... executed them. Floor brokers in 1994, in other words, could stand at the point of sale and trade more... Rule 95(c), as these are markings that were required to be included on manual order tickets that were...

  19. 78 FR 70992 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change to...

    Science.gov (United States)

    2013-11-27

    ... the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is hereby... segmentation of Institutional Interest and the Program's incorporation of price-size-time priority, have the... order handling practices, and much of it is through client segmentation whereby non-exchange venues are...

  20. 77 FR 73705 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-11

    ... growth companies'' (``EGCs'') by improving the information flow about EGCs to investors. To that end... companies for the purpose of soliciting investment banking business. The FAQs interpret the JOBS Act to now... consider in his or her analysis of a company, and ask follow-up questions to better understand a factual...

  1. 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...

  2. 77 FR 55254 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-09-07

    ... better align the Fee Schedule with the level of activity on the Exchange while properly incenting Market... permits 11 to 20, and $2,500 for permits 21 and higher. The discounted permit rates of $4,000 and $2,500... designed to better align the Fee Schedule with the level of activity on the Exchange. The Exchange further...

  3. 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

    ... fluctuations of securities prices generally, or a substantial threat thereof, that threaten fair and orderly... personnel from getting to work. As a result, it was agreed, after consulting with other exchanges, market participants, and Commission staff, and in light of concerns over the physical safety of personnel and the...

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

    Science.gov (United States)

    2012-07-10

    ...-to-day basis. Given the evolution of the equities markets away from manual executions and manual... Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an email to rule-comments... on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml ). Copies of the...

  5. 77 FR 62576 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2012-10-15

    ... adviser; and (vi) Any business or personal relationship of the compensation consultant, legal counsel... factors should explicitly include consideration of the personal and business relationships between... rule; a discussion of the exchange's consideration of factors relevant to compensation committee...

  6. 78 FR 16905 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-19

    ...-options contracts''). The text of the proposed rule change is available on the Exchange's Web site at www... contracts overlying 10 shares of a security (``mini-options contracts'') and implement rule text necessary... amendments to Rule 904, position limits applicable to a regular-sized option contract would also apply to the...

  7. 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... NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-NYSEMKT-2012-71. This... printing in the Commission's Public Reference Room, 100 F Street NE., Washington, DC 20549, on official...

  8. 78 FR 21441 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-10

    ... present distinctions may tend to disappear in a national market system, but it is not the intention of the... to revisit the merits of discontinuing the LRP functionality after the initial Plan pilot period has...

  9. 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...

  10. MC Contracting, Paint, & Roofing, LLC Information Sheet

    Science.gov (United States)

    MC Contracting, Paint, & Roofing, LLC, d/b/a M.C. Painting & Contractor and M.C. Painting Group (the Company) is located in Philadelphia, Pennsylvania. The settlement involves renovation activities conducted at property constructed prior to 1978.

  11. Pike International, LLC et al. Information Sheet

    Science.gov (United States)

    Pike International LLC, et al. (the Company) is located in New Haven, Connecticut. The Complaint involves the lease of, and renovation activities conducted at, property constructed prior to 1978, located in New Haven, Connecticut.

  12. 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.

  13. 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...

  14. 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...

  15. 75 FR 34170 - Plastic Omnium Automotive Exteriors, LLC, Anderson, SC; Plastic Omnium Automotive Exteriors, LLC...

    Science.gov (United States)

    2010-06-16

    ... Employment and Training Administration Plastic Omnium Automotive Exteriors, LLC, Anderson, SC; Plastic Omnium... Assistance on March 18, 2010, applicable to workers of Plastic Omnium Automotive Exteriors, LLC, Anderson... have occurred involving workers in support of the Anderson, South Carolina location of Plastic Omnium...

  16. 75 FR 45108 - Enterprise Alabama Intrastate, LLC Yankee Gas Services Company Kinder Morgan Tejas Pipeline LLC...

    Science.gov (United States)

    2010-08-02

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. PR10-63-000; Docket No. PR10-64-000; Docket No. PR10-66- 000] Enterprise Alabama Intrastate, LLC Yankee Gas Services Company Kinder Morgan Tejas Pipeline LLC (Not Consolidated); Notice of Baseline Filings July 26, 2010. Take...

  17. 75 FR 76726 - Transmission Technology Solutions, LLC; Western Grid Development, LLC (Complainants) v...

    Science.gov (United States)

    2010-12-09

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF ENERGY Federal Energy Regulatory Commission Transmission Technology Solutions, LLC; Western Grid Development, LLC... Procedure, 18 CFR 385.206 and section 206 of the Federal Power Act (FPA), Transmission Technology Solutions...

  18. 76 FR 51105 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-08-17

    ... broken by the Exchange if they exceed the applicable percentage from the Reference Price, as noted in the table found under NYSE Arca Equities Rule 7.10(c)(1).\\9\\ The Reference Price, for purposes of Rule 7.10...), during the Core Trading Session a security with a Reference Price of greater than zero and up to and...

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

    Science.gov (United States)

    2013-01-29

    ... of the ``generic'' listing requirements of Commentary .01(a)(A) to NYSE Arca Equities Rule 5.2(j)(3..., the NASDAQ Global Select Market, the NASDAQ Select Market, and the NASDAQ Capital Market. Business... a covered call strategy. It consists of long positions in companies in the Reference Index and out...

  20. 77 FR 52776 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-08-30

    ... funds). In addition, the Commission has approved NYSE Arca generic listing rules for Units based on a... Strategy Fund and PIMCO Intermediate Municipal Bond Strategy Fund, among others). The Commission has... a market value weighted index and is rebalanced after the close on the last business day of each...

  1. 77 FR 50189 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-20

    ..., there may be a buy and sell MPL Order resting on the NYSE Arca Book at the same price that cannot... marketable MPL-ALO Order. By providing Users with the choice for an MPL Order to interact with an incoming...

  2. 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...

  3. 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

    ... would be listed in only five issues, specifically SPDR S&P 500 (SPY), Apple, Inc. (AAPL), SPDR Gold... S&P 500 (SPY), Apple, Inc. (AAPL), SPDR Gold Trust (GLD), Google Inc. (GOOG), and Amazon.com Inc...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Option...

  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 47467 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-05

    ...- administer data distribution model that takes into account the expanded variety of media and communication... alternative trading systems, including dark pools and electronic communication networks), in a vigorously... Change Modifying the Content of the NYSE Arca Trades Digital Media Data Feed July 30, 2013. Pursuant to...

  6. 77 FR 63362 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-10-16

    ... on its experience with these products, the Exchange will consider adopting User per Source reporting... among users and recipients of the data and is not designed to permit unfair discrimination among... available on the Exchange's Web site at www.nyse.com , at the principal office of the Exchange, and at the...

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

    Science.gov (United States)

    2013-08-12

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

  8. 77 FR 41849 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-16

    ... with the Telemarketing Consumer Fraud and Abuse Prevention Act of 1994 (``Prevention Act'').\\5\\ The... will not apply to affiliated entities unless the consumer reasonably would expect them to be included...(e). Unencrypted Consumer Account Numbers Proposed NYSE Arca Rule 9.20(b)(8) prohibits an OTP Firm...

  9. 77 FR 59995 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-10-01

    ... Rule 1.1(q). \\6\\ OTP Firm means a sole proprietorship, partnership, corporation, limited liability... Incorporation and Sections 3.02, 4.01, and 4.02 of the NYSE Arca Equities Bylaws. \\22\\ ETP Holder means a sole proprietorship, partnership, corporation, limited liability company or other organization in good standing that...

  10. 76 FR 45885 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-08-01

    ... participants in the soybean industry and other industries seeking to hedge the risk of losses in their soybean... of the Teucrium Wheat Fund, the Teucrium Soybean Fund and the Teucrium Sugar Fund Under NYSE Arca... proposes to list and trade shares of the Teucrium Wheat Fund, the Teucrium Soybean Fund and the Teucrium...

  11. 77 FR 12631 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-03-01

    ... Arca Equities Rule 8.200, Commentary .02, which permits the trading of Trust Issued Receipts either by... applies to Trust Issued Receipts that invest in ``Financial Instruments.'' The term ``Financial... Trust Issued Receipts in NYSE Arca Equities Rule 8.200 and Commentary .02 thereto. The Exchange further...

  12. 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...

  13. 78 FR 21452 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-10

    ... providing higher Post Liquidity credits in non- Penny Pilot issues. First, the Exchange proposes to no... fee for Taking Liquidity in Penny Pilot issues. The Exchange proposes to raise the Take Liquidity rate... to $0.82. The Exchange proposes to modify the Post Liquidity rate for NYSE Arca Market Makers in non...

  14. 75 FR 82106 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2010-12-29

    ..., risks, fees and expenses, creation and redemption procedures, portfolio holdings and policies... addition, an estimated value, defined in NYSE Arca Equities Rule 8.600 as the ``Portfolio Indicative Value,'' that reflects an estimated intra-day value of the Fund's portfolio, will be disseminated. The Portfolio...

  15. 75 FR 47323 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2010-08-05

    ... redemptions of the Shares, investment risks, NAV calculation, the dissemination of key values and availability... assets. In addition, an estimated value that reflects an estimated intraday value of the Fund's portfolio, defined in NYSE Arca Equities Rule 8.600 as the ``Portfolio Indicative Value,'' will also be disseminated...

  16. 78 FR 56256 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-09-12

    ... falls. Fixed rate bonds generally are also subject to inflation risk, which is the risk that the value... indicative optimized portfolio value, which is the Portfolio Indicative Value as defined in NYSE Arca... widely disseminate or make widely available Portfolio Indicative Values taken from CTA or other data...

  17. 76 FR 36608 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-06-22

    ... at low risk of losing value or presents opportunity for growth and appreciation. The Fund will...) on which they are listed. In addition, the Portfolio Indicative Value (``PIV''), as defined in NYSE...''). American Wealth Management is the Fund's sub-adviser (``Sub-Adviser'') and provides day-to-day portfolio...

  18. 76 FR 62112 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-10-06

    ... risk by maintaining an aggregate portfolio duration of between two and eight years under normal market... Portfolio Indicative Value, as defined in NYSE Arca Equities Rule 8.600(c)(3), will be updated and widely... Fixed Income Securities in the Fund's portfolio are closed, the Portfolio Indicative Value will be...

  19. 76 FR 8388 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2011-02-14

    ... investment strategies, risks, creation and redemption procedures, fees, portfolio holdings and disclosure..., defined in NYSE Arca Equities Rule 8.600 as the Portfolio Indicative Value (``PIV'') that reflects an estimated intraday value of the ETF's portfolio, will be updated and disseminated by [[Page 8389

  20. 77 FR 62303 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-10-12

    ... Change Amending Commentary .06 to NYSE Arca Rule 6.8 Adopting a Pilot Program Eliminating Position Limits... Arca Rule 6.8 to adopt a pilot program eliminating position limits for options on the SPDR[supreg] S&P 500[supreg] exchange-traded fund (``SPY ETF''),\\4\\ which list and trade under the symbol SPY. The text...

  1. 77 FR 67417 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a...

    Science.gov (United States)

    2012-11-09

    ... discriminatory because it would apply equally to all market participants and because the remaining Strategy... Change To Amend the NYSE Arca 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...

  2. 78 FR 76867 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2013-12-19

    ... Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant parts of... Statement''). The description of the operation of the Trust and the Funds herein is based, in part, on the... Rule 8.200); Commodity-Based Trust Shares (as described in NYSE Arca Equities Rule 8.201); Currency...

  3. 78 FR 62751 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2013-10-22

    .... \\10\\ Data for the global currencies is derived, in part, from the Bank for International Settlements..., and the WisdomTree Commodity Currency Bearish Fund Under NYSE Arca Equities Rule 8.600 October 8, 2013... Currency Bearish Fund (``CC Bear Fund,'' and collectively with the DI Funds, ``Funds''). The shares of the...

  4. 78 FR 40232 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-07-03

    ... responses (``RFR'') message to all OTP Holders who subscribe to RFR messages. RFR messages identify the... willing to participate in the execution of the COA-eligible order (an ``RFR Response''). NYSE Arca... entered into COA when broadcasting an automated RFR to OTP Holders. This proposed rule change is similar...

  5. 78 FR 56970 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2013-09-16

    .... government, its agencies, or instrumentalities. The Fund currently targets an estimated average portfolio... accrued and dividends on the ex-dividend date. The Fund will generally utilize two independent pricing... NYSE. The Fund will rely on third-party pricing vendors to monitor for events materially affecting the...

  6. 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...

  7. 78 FR 4955 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-01-23

    ... Equities Rule 5.2(j)(3) January 16, 2013. I. Introduction On September 27, 2012, NYSE Arca, Inc... personnel are subject to the provisions of Rule 204A-1 under the Advisers Act relating to codes of ethics. This Rule requires investment advisers to adopt a code of ethics that reflects the fiduciary nature of...

  8. 75 FR 77689 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc...

    Science.gov (United States)

    2010-12-13

    ... Change The Exchange proposes to amend its rules regarding the listing of $1 strike prices. The text of...-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending Its Rules Regarding the Listing of Option Series With $1 Strike Prices December 8, 2010. Pursuant to Section 19(b)(1...

  9. 78 FR 11261 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-02-15

    ... related to the value to the Exchange's market quality associated with higher volumes in Customer order... Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Introduce a New Electronic Customer... Options Fee Schedule (the ``Fee Schedule'') to introduce a new electronic Customer rate for certain...

  10. 77 FR 30574 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-05-23

    ... place at a price that is below $1 per option contract until May 31, 2013. The text of the proposed rule...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Option Contract Until May 31, 2013 May 17, 2012. Pursuant to Section 19(b)(1) \\1\\ of the Securities...

  11. 78 FR 77536 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-23

    ...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Option Contract Until January 5, 2015 December 17, 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 hereby given that...

  12. 78 FR 34679 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-10

    ...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Option Contract Until January 5, 2014 June 4, 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 hereby given that, on May 24...

  13. 75 FR 14217 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-03-24

    ... price that is below $1 per option contract. The text of the proposed rule change is attached as Exhibit... option contract. The purpose of this rule change is to temporarily amend the procedures through July 1...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...

  14. 75 FR 55840 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change...

    Science.gov (United States)

    2010-09-14

    ... Listing and Trading of Shares of the PIMCO Build America Bond Strategy Fund September 7, 2010. I... (``Shares'') of the PIMCO Build America Bond Strategy Fund (the ``Fund'') of the PIMCO ETF Trust (the ``Trust'') under NYSE Arca Equities Rule 8.600 (Managed Fund Shares). The proposed rule change was...

  15. 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...

  16. 76 FR 1477 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-01-10

    ... 30-Year U.S. Treasury Bond Futures (``Treasury Index Futures Contract''). The Equity Index Futures... Bonds. The Equity Index Futures Contract provides an exposure to the S&P 500[supreg] Index. The Equity... Exchange proposes to list and trade shares of the following pursuant to NYSE Arca Equities Rule 8.200...

  17. 75 FR 81697 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-12-28

    ... investment types (equities, bonds, etc.), global regions, countries, styles (market capitalization, value... diversified exposure to various investment types (equities, bonds, etc.), global regions, countries, styles... and trade the following Managed Fund Shares under NYSE Arca Equities Rule 8.600: SiM Dynamic...

  18. 75 FR 13181 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-03-18

    ... wall'' provisions contained in Commentary .07 to NYSE Arca Equities Rule 8.600. PNC Global Investment... Investment Advisers Act Rule 204A-1. This Rule specifically requires the adoption of a code of ethics by an investment advisor to include, at a minimum: (i) Standards of business conduct that reflect the firm's...

  19. 78 FR 77618 - Airworthiness Directives; M7 Aerospace LLC Airplanes

    Science.gov (United States)

    2013-12-24

    ... Federal Aviation Administration 14 CFR Part 39 RIN 2120-AA64 Airworthiness Directives; M7 Aerospace LLC...). SUMMARY: We propose to adopt a new airworthiness directive (AD) for all M7 Aerospace LLC Models SA226-AT... bulkhead. This proposed AD also requires reporting certain inspection results to M7 Aerospace LLC. We are...

  20. 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.

  1. 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...

  2. 78 FR 5798 - Grouse Creek Wind Park, LLC, Grouse Creek Wind Park II, LLC; Notice of Petition for Enforcement

    Science.gov (United States)

    2013-01-28

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF ENERGY Federal Energy Regulatory Commission Grouse Creek Wind Park, LLC, Grouse Creek Wind Park II, LLC; Notice of... Utility Regulatory Policies Act of 1978 (PURPA), Grouse Creek Wind Park, LLC and Grouse Creek Wind Park II...

  3. 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...

  4. 75 FR 11916 - Chrysler Group LLC, Formerly Known as Chrysler LLC, Conner Avenue Assembly Plant, Including On...

    Science.gov (United States)

    2010-03-12

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF LABOR Employment and Training Administration Chrysler Group LLC, Formerly Known as Chrysler LLC, Conner Avenue Assembly Plant, Including On-Site Leased Workers From Aerotek, CDI, Syncreon and Caravan Knight Facilities Management LLC; Detriot, MI; Amended...

  5. 75 FR 11916 - Chrysler Transportation LLC, a Subsidiary of Chrysler LLC, Including On-Site Leased Workers from...

    Science.gov (United States)

    2010-03-12

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF LABOR Employment and Training Administration Chrysler Transportation LLC, a Subsidiary of Chrysler LLC, Including On-Site Leased Workers from Caravan Knight Facilities Management LLC; Detroit, MI: Amended Certification Regarding Eligibility To Apply for Worker...

  6. 75 FR 40818 - Green Energy Express LLC; 21st Century Transmission Holdings, LLC; Notice of Petition for...

    Science.gov (United States)

    2010-07-14

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF ENERGY Federal Energy Regulatory Commission Green Energy Express LLC; 21st Century Transmission Holdings, LLC; Notice of Petition for Declaratory Order July 8, 2010. Take notice that on July 2, 2010, Green Energy Express LLC and...

  7. 75 FR 41258 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule...

    Science.gov (United States)

    2010-07-15

    ... Halt Cross as set forth in subsection (b)(2)-(4) above. (4) No change. * * * * * II. Self-Regulatory... is set forth in Sections A, B, and C below. A. Self-Regulatory Organization's Statement of the... from volatility to companies that list with it [sic]. \\12\\ NYSE Rule 1000(a)(iv). \\13\\ NYSE's LRP...

  8. 75 FR 31488 - Self-Regulatory Organizations; New York Stock Exchange, LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2010-06-03

    .... Attracting order flow is an essential part of NYSE's competitive success. If NYSE cannot attract order flow... in NMS Stocks in its Concept Release on Equity Market Structure. See Securities Exchange Act Release.... 574 (1986); State Oil Co. v. Khan, 522 U.S. 3 (1997); Northern Pacific Railway Co. v. U.S., 356 U.S. 1...

  9. 77 FR 66904 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-11-07

    ... Price 125 125 Bid/Offer 3.20 3.20 Premium Multiplier $100 $10 Total Value of Deliverable....... $12,500... effect on the exercise limits. Also, of note, NYSE Arca, Inc. (``NYSE Arca'') lists and trades option... likelihood of any investor confusion. First, the premium multiplier for the proposed Mini Options will be 10...

  10. 76 FR 39951 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-07-07

    ... rulebook consolidation process, see FINRA Information Notice, March 12, 2008. NYSE Rule 409(f) and FINRA Rule 2232 In connection with the rule consolidation efforts between the Exchange and FINRA, the... marked as ``Reserved'' until such time as NYSE Rule 409 is fully harmonized with FINRA rules. The...

  11. 78 FR 51781 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-21

    ... last sale market data products for distribution to non-professional users, NYSE Trades Digital Media and NYSE Realtime Reference Prices Digital Media. See Securities Exchange Act Release No. 69298 (Apr... data that they believe will enable them to attract ``eyeballs'' that contribute to their advertising...

  12. 76 FR 60955 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change...

    Science.gov (United States)

    2011-09-30

    ... (January 28, 2009) (SR-NYSE-2008-120) (order approving a joint venture between NYSE and BIDS Holdings L.P... ownership interest in, or engaging in a business venture with, an Exchange member or an affiliate of an... cannot use any information advantage it may have because of its affiliation with the Exchange.\\23\\ \\23...

  13. Modeling NYSE Composite US 100 Index with a Hybrid SOM and MLP-BP Neural Model

    Directory of Open Access Journals (Sweden)

    Adriano Beluco

    2017-02-01

    Full Text Available Neural networks are well suited to predict future results of time series for various data types. This paper proposes a hybrid neural network model to describe the results of the database of the New York Stock Exchange (NYSE. This hybrid model brings together a self organizing map (SOM with a multilayer perceptron with back propagation algorithm (MLP-BP. The SOM aims to segment the database into different clusters, where the differences between them are highlighted. The MLP-BP is used to construct a descriptive mathematical model that describes the relationship between the indicators and the closing value of each cluster. The model was developed from a database consisting of the NYSE Composite US 100 Index over the period of 2 April 2004 to 31 December 2015. As input variables for neural networks, ten technical financial indicators were used. The model results were fairly accurate, with a mean absolute percentage error varying between 0.16% and 0.38%.

  14. 78 FR 69910 - Joint Industry Plan; BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2...

    Science.gov (United States)

    2013-11-21

    ... International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC... Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock...

  15. 78 FR 9687 - Prineville Energy Storage, LLC; Notice of Preliminary Permit Application Accepted for Filing and...

    Science.gov (United States)

    2013-02-11

    ... Energy Regulatory Commission Prineville Energy Storage, LLC; Notice of Preliminary Permit Application..., 2012, Prineville Energy Storage, LLC, filed an application for a preliminary permit, pursuant to...-hours. Applicant Contact: Mr. Matthew Shapiro, Chief Executive Officer, Prineville Energy Storage, LLC...

  16. 75 FR 61463 - The Narragansett Electric Company; Arcadia Gas Storage, LLC; Salt Plains Storage, LLC; Jefferson...

    Science.gov (United States)

    2010-10-05

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. PR10-114-000; Docket No. PR10-117-000; Docket No. PR10-118- 000; Docket No. PR10-119-000; Docket No. PR10-120-000; Docket No. PR10- 121-000; Docket No. PR10-122-000 (Not Consolidated)] The Narragansett Electric Company; Arcadia Gas Storage, LLC; Salt Plains Storage, LLC;...

  17. 78 FR 58533 - FirstEnergy Generation, LLC, Allegheny Energy Supply Company, LLC, and Green Valley Hydro, LLC...

    Science.gov (United States)

    2013-09-24

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Project Nos. 2280-017, 2343-084, 2459-245, 2516-057, 2517-036, 3494- 091, 3671-086, 2391-046, 2425-052, and 2509-046] FirstEnergy Generation, LLC, Allegheny Energy Supply...

  18. 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.

  19. Statistical arbitrage and FX exposure with South American ADRs listed on the NYSE

    Directory of Open Access Journals (Sweden)

    Shadie Broumandi

    2012-05-01

    Full Text Available An American Depositary Receipt (ADR represents ownership in the shares of a foreign company trading in US financial markets. We test a pair trading rule based on the mean reversion assumption for six South American stocks and their ADR counterparts on the NYSE. In our opinion, such a strategy should separate the spread risk from the currency risk. This paper aims to challenge the positive results found in similar settings. The main achievement is to show that isolating FX exposure turns such strategies that were presented as profitable to unprofitable and abnormal returns are just due to an appreciation in the home currencies versus the USD. Hence the results in some of literature should be revised.

  20. 75 FR 68396 - Mississippi & Skuna Valley Railroad, LLC-Acquisition and Operation Exemption-Mississippi & Skuna...

    Science.gov (United States)

    2010-11-05

    ... Railway, LLC, Dequeen and Eastern Railroad, LLC, Golden Triangle Railroad, LLC, Mississippi & Skuna Valley... and Operation Exemption--DeQueen and Eastern Railroad Company; (3) Docket No. FD 35428, Golden Triangle Railroad, LLC--Acquisition and Operation Exemption--Golden Triangle Railroad Company; (4) Docket...

  1. 75 FR 68400 - Columbia & Cowlitz Railway, LLC-Acquisition and Operation Exemption-Columbia & Cowlitz Railway...

    Science.gov (United States)

    2010-11-05

    ... Eastern Railroad, LLC, Golden Triangle Railroad, LLC, Mississippi & Skuna Valley Railroad, LLC, Patriot... Railroad Company; (2) Docket No. FD 35428, Golden Triangle Railroad, LLC--Acquisition and Operation Exemption--Golden Triangle Railroad Company; (3) Docket No. FD 35429, Mississippi & Skuna Valley Railroad...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 77 FR 20442 - Sunwest Rollover Member LLC; Notice of Application

    Science.gov (United States)

    2012-04-04

    ... or, for lawyers, a certificate of service. Hearing requests should state the nature of the writer's... (``TIC Investors'') and limited liability company interests (``LLC Investors'') in properties owned by... of Title 11 of the United States Code. \\4\\ The TIC Investors and the LLC Investors are referred to...

  7. 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...

  8. 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...

  9. 76 FR 48841 - Liberty Gas Storage, LLC; Notice of Filing

    Science.gov (United States)

    2011-08-09

    ... Energy Regulatory Commission Liberty Gas Storage, LLC; Notice of Filing Take notice that on July 25, 2011, Liberty Gas Storage, LLC (Liberty) submitted a request for confirmation that it is not required to file... Liberty exceed 200,000 Dth for three consecutive calendar years. Liberty argues that given the low levels...

  10. 75 FR 45610 - Liberty Gas Storage LLC; Notice of Amendment

    Science.gov (United States)

    2010-08-03

    ... Energy Regulatory Commission Liberty Gas Storage LLC; Notice of Amendment Take notice that on July 26, Liberty Gas Storage LLC (``Liberty''), 101 Ash Street, San Diego, CA 92101, filed in the above referenced... directed to William Rapp, Liberty Gas Storage, 101 Ash Street, San Diego, CA 92101, phone (619) 699-5050...

  11. 75 FR 67352 - Liberty Natural Gas, LLC; Notice of Application

    Science.gov (United States)

    2010-11-02

    ... Energy Regulatory Commission Liberty Natural Gas, LLC; Notice of Application October 26, 2010. On October 14, 2010, Liberty Natural Gas, LLC (Liberty) filed with the Federal Energy Regulatory Commission... Onshore Pipeline is a part of the Liberty Natural Gas Project, which will include a deepwater port (Port...

  12. 75 FR 74703 - Leader One Energy, LLC; Notice of Application

    Science.gov (United States)

    2010-12-01

    ... FEDERAL ENERGY REGULATORY COMMISSION [Docket Nos. CP11-33-000; PF10-15-000] Leader One Energy, LLC; Notice of Application November 23, 2010 Take notice that on November 15, 2010, Leader One Energy, LLC (Leader One), 4643 South Ulster Street, Suite 1100, Denver, Colorado 80237, filed in Docket No. CP11-33...

  13. 78 FR 938 - Burton Creek Hydro Inc., Sollos Energy, LLC'

    Science.gov (United States)

    2013-01-07

    ... Licensing of a Small Hydroelectric Project of 5 Megawatts or Less. 2. Sollos Energy, LLC, Mr. Samuel Perry... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Project No. 7577-012] Burton Creek Hydro Inc., Sollos Energy, LLC' Notice of Transfer of Exemption 1. By letter filed December 19, 2012...

  14. 77 FR 54787 - Airworthiness Directives; M7 Aerospace LLC Airplanes

    Science.gov (United States)

    2012-09-06

    ...-17177; AD 2012-18-01] RIN 2120-AA64 Airworthiness Directives; M7 Aerospace LLC Airplanes AGENCY: Federal... new airworthiness directive (AD) for all M7 Aerospace LLC Models SA226-AT, SA226-T, SA226-T(B), SA226... information identified in this AD, contact M7 Aerospace LP, 10823 NE Entrance Road, San Antonio, Texas 78216...

  15. 76 FR 46786 - Millennium Pipeline Company, LLC; Notice of Application

    Science.gov (United States)

    2011-08-03

    ... Energy Regulatory Commission Millennium Pipeline Company, LLC; Notice of Application Take notice that on July 14, 2011, Millennium Pipeline Company, LLC (Millennium), One Blue Hill Plaza, Seventh Floor, P.O.... These facilities will enable Millennium to increase firm deliveries to its interconnection with...

  16. 75 FR 24747 - SCI, LLC/Zener-Rectifier Operations Division A Wholly Owned Subsidiary of SCI, LLC/ON...

    Science.gov (United States)

    2010-05-05

    ... Operations Division A Wholly Owned Subsidiary of SCI, LLC/ON Semiconductor Including On-Site Leased Workers... Division, a wholly owned subsidiary of SCI, LLC/ON Semiconductor, Phoenix, Arizona. The notice was... in the production of semiconductor devices. The company reports that workers leased from Superior...

  17. 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...

  18. 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

  19. 76 FR 40945 - Entergy Nuclear Indian Point 2, LLC, Entergy Nuclear Indian Point 3, LLC, Entergy Nuclear...

    Science.gov (United States)

    2011-07-12

    ... From the Federal Register Online via the Government Publishing Office NUCLEAR REGULATORY...] Entergy Nuclear Indian Point 2, LLC, Entergy Nuclear Indian Point 3, LLC, Entergy Nuclear Operations, Inc.... Schneiderman, Attorney General for the State of New York, the petitioner, has asked the U.S. Nuclear Regulatory...

  20. 75 FR 16091 - Glen Falls Hydro, LLC; Essex Energy Partners, LLC; Notice of Application for Transfer of License...

    Science.gov (United States)

    2010-03-31

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF ENERGY Federal Energy Regulatory Commission Glen Falls Hydro, LLC; Essex Energy Partners, LLC; Notice of Application for Transfer of License, and Soliciting Comments and Motions To Intervene March 24, 2010. On March 8, 2010...

  1. 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...

  2. 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...

  3. 75 FR 36380 - Green County Operating Services, LLC; El Cajon Energy, LLC; Notice of Effectiveness of Exempt...

    Science.gov (United States)

    2010-06-25

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF ENERGY Federal Energy Regulatory Commission Green County Operating Services, LLC; El Cajon Energy, LLC; Notice of Effectiveness of Exempt Wholesale Generator Status June 18, 2010. Take notice that during the month of April/May...

  4. 75 FR 4600 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2010-01-28

    ... exchanges, ECNs and the market for delayed data and would better reflect the perceived value of the NYSE... they determine that the perceived benefits outweigh the cost. The Exchange believes that the levels of...

  5. 76 FR 14699 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 3...

    Science.gov (United States)

    2011-03-17

    ... price-setting mechanism, to the detriment of issuers and investors.\\18\\ \\16\\ See BATS Letter at 2..., the Volatility Guard is similar in purpose to the LRP rules that currently exist on the NYSE. A few...

  6. 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...

  7. 76 FR 24078 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-04-29

    ... effect a 72(d) crossing transaction, but does not alter the meaning of the current rule or the mechanics... Number SR-NYSE-2011-18 on the subject line. Paper Comments Send paper comments in triplicate to Elizabeth...

  8. 75 FR 4889 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-01-29

    ... Exchange for NYSE-listed securities that was established by means of a joint venture between the Exchange... interest and unfair competitive advantage. * * * These conditions appear reasonably designed to promote...

  9. 75 FR 60138 - Chrysler Financial Services Americas, LLC, a Subsidiary of Finco Intermediate Holding Co., LLC...

    Science.gov (United States)

    2010-09-29

    ... Employment and Training Administration Chrysler Financial Services Americas, LLC, a Subsidiary of Finco... directly competitive with the financial services supplied by the subject firm, and there has not been a... request for reconsideration states that ``the workers at Chrysler Financial Services, Troy, Michigan were...

  10. Consumption-based Equity Valuation

    DEFF Research Database (Denmark)

    Bach, Christian; Christensen, Peter O.

    2016-01-01

    Using a CCAPM-based risk-adjustment model, we perform yearly valuations of a large sample of stocks listed on NYSE, AMEX, and NASDAQ over a 30-year period. The model differs from standard valuation models in the sense that it adjusts forecasted residual income for risk in the numerator rather tha...

  11. 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...

  12. 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...

  13. 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...

  14. 75 FR 47655 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2010-08-06

    ... USA LLC is the sponsor of the Trust (``Sponsor''), The Bank of New York Mellon is the trustee of the... Trust, based on the closing price for the Shares, was less than $350 million (as adjusted for inflation...

  15. 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

  16. 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.

  17. 76 FR 2713 - Croscill Acquisition, LLC, Currently Known as Croscill Home, LLC, Plant No. 8, Oxford, NC...

    Science.gov (United States)

    2011-01-14

    ..., LLC had their wages reported under a separate unemployment insurance (UI) tax account under the name... distribution services from China, Turkey and India. The amended notice applicable to TA-W-70,044 is hereby...

  18. 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

    ... Consulting, Crown Security, Eastern Automation, EDS (HP), TekSystems, URS Corporation, B More Industrial... Automation, EDS (HP), TekSystems, URS Corporation, B More Industrial Services LLC, and Recycling & Treatment...

  19. 77 FR 38884 - Professional Transportation, Inc.-Asset Acquisition-CUSA ES, LLC and CUSA CSS, LLC

    Science.gov (United States)

    2012-06-29

    ... CSS, LLC AGENCY: Surface Transportation Board. ACTION: Notice of Finance Application. SUMMARY... quality of the human environment or the conservation of energy resources. It is ordered: 1. Comments must...

  20. 78 FR 25130 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-29

    ... Error rules of the NASDAQ Stock Market LLC (``NOM''), NASDAQ OMX PHLX LLC (``PHLX''), Chicago Board... transaction was the result of an ``obvious error'' pursuant to objective standards. When a market marker...

  1. 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

  2. 75 FR 53688 - Constellation Mystic Power, LLC; Supplemental Notice That Initial Market-Based Rate Filing...

    Science.gov (United States)

    2010-09-01

    ...-000] Constellation Mystic Power, LLC; Supplemental Notice That Initial Market-Based Rate Filing... the above-referenced proceeding of Constellation Mystic Power, LLC's application for market-based rate...

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

    Science.gov (United States)

    2010-06-10

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

  4. 77 FR 48148 - Energy Alternatives Wholesale, LLC; Supplemental Notice That Initial Market-Based Rate Filing...

    Science.gov (United States)

    2012-08-13

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF ENERGY Federal Energy Regulatory Commission Energy Alternatives Wholesale, LLC; Supplemental Notice That Initial Market... in the above-referenced proceeding, of Energy Alternatives Wholesale, LLC's application for market...

  5. 75 FR 38802 - DCP Raptor Pipeline, LLC; Notice of Baseline Filing

    Science.gov (United States)

    2010-07-06

    ...] DCP Raptor Pipeline, LLC; Notice of Baseline Filing June 28, 2010. Take notice that on June 22, 2010, DCP Raptor Pipeline, LLC submitted a baseline filing of its Statement of Operating Conditions for...

  6. 75 FR 18828 - Wisconsin Electric Power Company, Wisconsin Gas LLC, Wisconsin Public Service Corporation...

    Science.gov (United States)

    2010-04-13

    ... Energy Regulatory Commission Wisconsin Electric Power Company, Wisconsin Gas LLC, Wisconsin Public Service Corporation: Complainants; ANR Pipeline Company: Respondent; Notice of Complaint April 6, 2010....206 (2009), Wisconsin Electric Power Company, Wisconsin Gas LLC, and Wisconsin Public Service...

  7. 75 FR 38809 - Southern Turner Cimarron I, LLC; Notice of Filing

    Science.gov (United States)

    2010-07-06

    ...] Southern Turner Cimarron I, LLC; Notice of Filing June 25, 2010. Take notice that on June 24, 2010, Southern Turner Cimarron I, LLC filed a supplement confirming passive ownership structure for informational...

  8. 78 FR 32510 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To...

    Science.gov (United States)

    2013-05-30

    ... to send shareholders what is called a ``Notice of Internet Availability of Proxy Materials'' in lieu.... \\95\\ Id. E. Enhanced Brokers' Internet Platform Fee In the Proxy Concept Release, the Commission... Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and...

  9. 76 FR 11533 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of...

    Science.gov (United States)

    2011-03-02

    ..., Secretary, Commission, dated August 9, 2010 (``NYSE Letter 2''); Thomas Wittman, President, NASDAQ OMX PHLX.... 51808 (June 9, 2005), 70 FR 37496 (June 29, 2005). \\7\\ See 17 CFR 242.611. An ``NMS stock'' means any..., Secretary, Commission, dated December 2, 2009 (``Bluefin Statement''); John C. Nagel, Managing Director and...

  10. 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...

  11. 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...

  12. 77 FR 76013 - Sempra LNG Marketing, LLC; Application for Blanket Authorization To Export Previously Imported...

    Science.gov (United States)

    2012-12-26

    ... Cameron LNG Terminal (Cameron Terminal) owned by Sempra LNG Marketing's affiliate Cameron LNG, LLC, in... DEPARTMENT OF ENERGY [FE Docket No. 12-155-LNG] Sempra LNG Marketing, LLC; Application for Blanket..., by Sempra LNG Marketing, LLC (Sempra LNG Marketing), requesting blanket authorization to export...

  13. 78 FR 47433 - GENCAP Strategies LLC, et al.; Notice of Application

    Science.gov (United States)

    2013-08-05

    ... Strategies LLC, et al.; Notice of Application July 30, 2013. AGENCY: Securities and Exchange Commission (the...)(A) and (B) of the Act. Applicants: GENCAP Strategies LLC (formerly, Active Relief, LLC) (the...) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay...

  14. 76 FR 78620 - Notice of Intent To Grant an Exclusive License; Voltage Networking, LLC; Correction

    Science.gov (United States)

    2011-12-19

    ...; Voltage Networking, LLC; Correction AGENCY: National Security Agency, Department of Defense (DoD). ACTION... Notice of Intent to Grant an Exclusive License; Voltage Networking, LLC. In the SUMMARY section, in the... Networking, LLC. Subsequent to the publication of that notice, DoD discovered that the word ``non-assignable...

  15. 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...

  16. 76 FR 19069 - Application to Export Electric Energy; Cargill Power Markets, LLC

    Science.gov (United States)

    2011-04-06

    ... Application to Export Electric Energy; Cargill Power Markets, LLC AGENCY: Office of Electricity Delivery and Energy Reliability, DOE. ACTION: Notice of application. SUMMARY: Cargill Power Markets, LLC (CPM) has... directly with Eugene J. Becker, Vice President, Cargill Power Markets, LLC, 9350 Excelsior Blvd., MS 150...

  17. 76 FR 4724 - Catawba Sox, LLC Formerly Known as Catawba Sox, Inc. Including Workers Whose Unemployment...

    Science.gov (United States)

    2011-01-26

    ... Whose Unemployment Insurance UI) Wages Are Paid Through Ellis Hosiery Mill, LLC, Newton, NC; Amended... unemployment insurance (UI) tax account under the name Ellis Hosiery Mill, LLC, formerly known as Catawba Sox... workers whose unemployment insurance (UI) wages are paid through Ellis Hosiery Mill, LLC, Newton, North...

  18. 77 FR 25210 - Advisors Series Trust and Orinda Asset Management, LLC; Notice of Application

    Science.gov (United States)

    2012-04-27

    ... Series Trust and Orinda Asset Management, LLC; Notice of Application April 23, 2012. AGENCY: Securities.... APPLICANTS: Advisors Series Trust (the ``Trust'') and Orinda Asset Management, LLC (the ``Advisor''). FILING... Street, Milwaukee, WI 53202 and Orinda Asset Management, LLC, 4 Orinda Way, Suite 100B, Orinda, CA 94563...

  19. 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...

  20. 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...

  1. 77 FR 73651 - Cascade Energy Storage, LLC; Notice of Preliminary Permit Application Accepted for Filing and...

    Science.gov (United States)

    2012-12-11

    ... No. 14464-000] Cascade Energy Storage, LLC; Notice of Preliminary Permit Application Accepted for..., Cascade Energy Storage, LLC, filed an application for a preliminary permit, pursuant to section 4(f) of... Executive Officer, Cascade Energy Storage, LLC, 1210 W. Franklin Street, Ste. 2, Boise, Idaho 83702; phone...

  2. 77 FR 38622 - Whitewater Green Energy, LLC; Notice of Preliminary Permit Application Accepted for Filing and...

    Science.gov (United States)

    2012-06-28

    ... Energy Regulatory Commission Whitewater Green Energy, LLC; Notice of Preliminary Permit Application..., 2012, Whitewater Green Energy, LLC, filed an application for a preliminary permit, pursuant to section... gigawatt-hours. Applicant Contact: Mr. David Harmon, Whitewater Green Energy, LLC, 601 7th Avenue, P.O. Box...

  3. 76 FR 7832 - Evans Solutions, LLC; Notice of Declaration of Intention and Soliciting Comments, Protests, and...

    Science.gov (United States)

    2011-02-11

    ... Energy Regulatory Commission Evans Solutions, LLC; Notice of Declaration of Intention and Soliciting... Intention. b. Docket No: DI10-20-000. c. Date Filed: September 21, 2010. d. Applicant: Evans Solutions, LLC...). h. Applicant Contact: Reginald Evans, Evans Solutions, LLC, P.O. Box 1303, Sumter, SC 29150...

  4. 77 FR 13593 - AMENICO Green Solutions, LLC; Notice of Preliminary Permit Application Accepted for Filing and...

    Science.gov (United States)

    2012-03-07

    ... Federal Energy Regulatory Commission AMENICO Green Solutions, LLC; Notice of Preliminary Permit... Green Solutions, LLC filed an application for a preliminary permit, pursuant to section 4(f) of the..., Manager, AMENICO Green Solutions, LLC, 5 Main Street, Pittsfield, NH 03263; phone: (603) 228- 3611. FERC...

  5. 75 FR 4759 - Polychlorinated Biphenyls: Manufacturing (Import) Exemption for Veolia ES Technical Solutions, LLC

    Science.gov (United States)

    2010-01-29

    ... Veolia ES Technical Solutions, LLC AGENCY: Environmental Protection Agency (EPA). ACTION: Withdrawal of proposed rule. SUMMARY: On November 14, 2006, Veolia ES Technical Solutions, LLC, (Veolia) submitted a... Veolia ES Technical Solutions, LLC. ] Since that time, Veolia submitted a request to withdraw its...

  6. 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...

  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. 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...

  9. 78 FR 30295 - Constellation Energy Commoditiesgroup, Inc., ENI USA Gas Marketing LLC, Sequent Energy Canada...

    Science.gov (United States)

    2013-05-22

    ... Marketing & authority to import/export Trading USA, natural gas from/to Canada/ Inc. Mexico and to import....) Inc. Nextera Energy Power Marketing, LLC, Trunkline LNG Export, LLC, Gasfin Development USA LLC, Louis... Granting Authority To Import and Export Natural Gas, To Import Liquefied Natural Gas, To Export Liquefied...

  10. 78 FR 2392 - Startrans IO, LLC; Notice of Initiation of Proceeding and Refund Effective Date

    Science.gov (United States)

    2013-01-11

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. EL13-26-000] Startrans IO, LLC; Notice of Initiation of Proceeding and Refund Effective Date On December 31, 2012, the Commission... proposed transmission revenue requirement rates by Startrans IO, LLC. Startrans IO, LLC, 141 FERC ] 61,271...

  11. 78 FR 32464 - Amantea Nonwovens, LLC, Including On-Site Leased Workers From Express Employment Professionals...

    Science.gov (United States)

    2013-05-30

    ... DEPARTMENT OF LABOR Employment and Training Administration [TA-W-82,471] Amantea Nonwovens, LLC..., 2013, applicable to workers of Amantea Nonwovens, L.L.C. including on-site leased workers from Express... Staffmark were employed on-site at the Cincinnati, Ohio location of Amantea Nonwovens, L.L.C. The Department...

  12. 75 FR 68397 - DeQueen and Eastern Railroad, LLC-Acquisition and Operation Exemption-DeQueen and Eastern...

    Science.gov (United States)

    2010-11-05

    ..., DeQueen and Eastern Railroad, LLC, Golden Triangle Railroad, LLC, Mississippi & Skuna Valley Railroad, LLC... & Cowlitz Railway Company; (2) Docket No. FD 35428, Golden Triangle Railroad, LLC--Acquisition and Operation Exemption--Golden Triangle Railroad Company; (3) Docket No. FD 35429, Mississippi & Skuna Valley Railroad...

  13. 76 FR 24069 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change, as...

    Science.gov (United States)

    2011-04-29

    ... No. 1, Relating to Amendments to NASDAQ OMX PHLX LLC's Limited Liability Company Agreement, By-Laws... Limited Liability Company Agreement (``LLC Agreement'') and By-Laws to substantially conform them to The NASDAQ Stock Market LLC's (``NASDAQ'') Second Amended Limited Liability Company Agreement (``NASDAQ LLC...

  14. 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

  15. 77 FR 68757 - Clean River Power MR-1, LLC; Clean River Power MR-2, LLC; Clean River Power MR-3, LLC; Clean...

    Science.gov (United States)

    2012-11-16

    ... environmental analysis at this time. n. The proposed Beverly Lock and Dam Water Power Project would be located... operate all seven projects in a run-of- river mode, such that the water surface elevations within each..., P-13406-002, P-13407-002, P- 13408-002, P-13411-002, and P-13412-002] Clean River Power MR-1, LLC...

  16. ENDING A NYSE TRADITION: THE 1975 UNRAVELING OF BROKERS’ FIXED COMMISSIONS AND ITS LONG TERM IMPACT ON FINANCIAL ADVERTISING

    Directory of Open Access Journals (Sweden)

    Janice M. Traflet

    2007-01-01

    Full Text Available On May 1, 1975 (“Mayday”, the New York Stock Exchange jettisoned its 183 year old tradition of fixed rate broker commissions in favor of competitive, negotiated rates. While many events, institutions, and individuals helped inspire this controversial policy change, this paper focuses on the pivotal role played by one Exchange insider, NYSE President Robert Haack. Despite his original stalwart defense of fixed rates, Haack came to support rate deregulation. Haack’s rationale for endorsing negotiated rates is evaluated as well as how the new commission fee structure led to surprising changes in the advertising landscape on Wall Street. This paper argues that Mayday transformed the securities industry in more ways than anyone had envisioned at the time.

  17. 76 FR 53515 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2011-08-26

    ... Options 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... permanent the pilot program that permits the Exchange to accept inbound orders routed by Archipelago...

  18. 76 FR 53509 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2011-08-26

    ... Equities 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... permanent the pilot program that permits the Exchange to accept inbound orders routed by Archipelago...

  19. 77 FR 10005 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-02-21

    ... countries. The Index Commodities are weighted, on a production basis, to reflect the relative significance...; securities; options on securities and indices; futures contracts; options on futures contracts; forward... previously approved the listing and trading of other issues of TIRs on the American Stock Exchange LLC...

  20. 78 FR 64257 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for...

    Science.gov (United States)

    2013-10-28

    ... received 8 comment letters on this proposal.\\4\\ \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ See... Michael J. Simon, Secretary, International Securities Exchange, LLC (``ISE''), dated September 19, 2013... General Counsel, D.E. Shaw & Co., L.P., dated September 30, 2013; Michael J. Simon, Secretary, ISE, dated...

  1. 77 FR 73711 - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing...

    Science.gov (United States)

    2012-12-11

    ... Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, the New York Stock Exchange LLC, NYSE MKT LLC... Options-Related Sales Practice Matters December 5, 2012. Notice is hereby given that the Securities and...

  2. C&S Enterprise, L.L.C.

    Science.gov (United States)

    The EPA is providing notice of a proposed Administrative Penalty Assessment against C & S Enterprise, L.L.C. (“Respondent”), a business located at 2454 480th Ave, Deep River, IA 52222, for alleged violations of the Clean Water Act at property owned by Resp

  3. 77 FR 77070 - Black Bear Hydro Partners, LLC;

    Science.gov (United States)

    2012-12-31

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Project No. 2727-086] Black Bear Hydro...: October 24, 2012. d. Submitted By: Black Bear Hydro Partners, LLC (Black Bear Hydro). e. Name of Project... designating Black Bear Hydro as the Commission's non-federal representative for carrying out informal...

  4. 78 FR 69405 - Enable Gas Transmission, LLC; Notice of Application

    Science.gov (United States)

    2013-11-19

    ... October 28, 2013, Enable Gas Transmission, LLC (Enable), 1111 Louisiana Street, Houston, Texas 77002... Commission staff will either complete its environmental assessment (EA) and place it into the Commission's... complete all federal authorizations within 90 days of the date of issuance of the Commission staff's FEIS...

  5. Majestic C Team, LLC - Clean Water Act Public Notice

    Science.gov (United States)

    The EPA is providing notice of a proposed Administrative Penalty Assessment against Majestic C Team, LLC., which owns a residential construction site located at 168th St and State St in Omaha, NE for alleged violations of its NPDES permit (permit No. NER11

  6. Procyon LLC: From Music Recommendations to Preference Mapping

    Science.gov (United States)

    Chinn, Susan J.

    2011-01-01

    Procyon LLC had re-launched and renamed their music discovery site, Electra, to Capella, in 2008. Its core strength had originated from Electra's proprietary technology, which used music libraries from real people, its members, to generating "automated word-of-mouth" recommendations, targeted advertising and editorial content. With the re-launch,…

  7. Analysis and implementation of LLC-T series parallel resonant ...

    African Journals Online (AJOL)

    A prototype 300 W, 100 kHz converter is designed and built to experimentally demonstrate, dynamic and steady state performance for the LLC-T series parallel resonant converter. A comparative study is performed between experimental results and the simulation studies. The analysis shows that the output of converter is ...

  8. 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... under 49 CFR 1150.31 to operate as a common carrier over an approximately 12-mile line of railroad in...

  9. 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... aspects of the terms and conditions of the 311 firm storage service offered by Hattiesburg. Petal agrees...

  10. 77 FR 41475 - El Expreso Group, LLC-Asset Acquisition-CUSA EE, LLC D/B/A El Expreso

    Science.gov (United States)

    2012-07-13

    ... the assets of CUSA EE, LLC d/b/a El Expreso (CUSA EE) (MC-463171), an interstate motor passenger... Expreso Group's application identified Tornado Bus Company, Inc. (Tornado), an affiliate, as a second... passenger carrier, are owned and controlled by Jan Vazquez, an individual. In addition to interstate common...

  11. 75 FR 34170 - Chrysler Group LLC, Formally Known as Chrysler LLC, Kenosha Engine Plant, Including On-Site...

    Science.gov (United States)

    2010-06-16

    ... certification for workers of the subject firm. The workers are engaged in activities in production of V-6 automobile engines. The company reports that workers leased from Caravan Knight Facilities Management, LLC... under the control of the subject firm to be considered leased workers. Based on these findings, the...

  12. 76 FR 19473 - Chrysler Financial Services Americas, LLC, a Subsidiary of FinCo Intermediate Holding Co., LLC...

    Science.gov (United States)

    2011-04-07

    ... Employment and Training Administration Chrysler Financial Services Americas, LLC, a Subsidiary of FinCo... Application for Reconsideration for the workers and former workers of Chrysler Financial Services Americas... financial services to dealers and consumers, including retail and wholesale financing, remarketing, and...

  13. 78 FR 12750 - FirstEnergy Solutions Corp., Allegheny Energy Supply Company, LLC v. PJM Interconnection, L.L.C...

    Science.gov (United States)

    2013-02-25

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF ENERGY Federal Energy Regulatory Commission FirstEnergy Solutions Corp., Allegheny Energy Supply Company, LLC v. PJM... sections 206 and 306 of the Federal Power Act, 16 U.S.C. 824(e) and 825(e), FirstEnergy Solutions Corp. and...

  14. 77 FR 790 - FirstEnergy Solutions Corp., Allegheny Energy Supply Company, LLC v. PJM Interconnection, L.L.C...

    Science.gov (United States)

    2012-01-06

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF ENERGY Federal Energy Regulatory Commission FirstEnergy Solutions Corp., Allegheny Energy Supply Company, LLC v. PJM...) Rules of Practice and Procedures, 18 CFR 385.206, FirstEnergy Solutions Corp., Allegheny Energy Supply...

  15. 77 FR 20019 - FirstEnergy Solutions Corp., Allegheny Energy Supply Company, LLC v. PJM Interconnection, L.L.C...

    Science.gov (United States)

    2012-04-03

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF ENERGY Federal Energy Regulatory Commission FirstEnergy Solutions Corp., Allegheny Energy Supply Company, LLC v. PJM... Practice and Procedure, 18 CFR 385.206 and 206(h), FirstEnergy Solutions Corp. (FirstEnergy Solutions) and...

  16. 77 FR 25155 - Atlantic Power Energy Services (US) LLC; White Eagle Trading, LLC; Morgan Stanley Capital Group...

    Science.gov (United States)

    2012-04-27

    ... Eagle Trading, Order granting blanket LLC.. authority to export natural gas to Mexico. 03/14/12 12-20... export natural gas to Mexico. 03/14/12 12-23-NG National Fuel Order granting blanket Resources, Inc... Orders Granting Authority To Import and Export Natural Gas and Liquefied Natural Gas During March 2012...

  17. 76 FR 40413 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-07-08

    ... trade or when the lock or cross is cleared.\\4\\ \\4\\ See NYSE Rule 60(d)(i)(C). LRPs are calculated by... triggering of LRPs than is typical on the Exchange, thus unnecessarily limiting automatic execution of orders... continuous automatic executions of securities before hitting an LRP. While the purpose of the LRP is to...

  18. 77 FR 71658 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-12-03

    ... best offer (bid), but instead would peg to the next available best-priced interest that would not lock... scenario when Market Pegging Interest could lock or cross the Exchange best bid or offer could be if a liquidity replenishment point (``LRP'') is reached pursuant to NYSE Rule 1000, and automatic executions on...

  19. 77 FR 36321 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2012-06-18

    ... industry knowledge and expertise on the Board, such as the requirement that NYSE Euronext directors take... Board, as well as representation of the interests of a diverse range of market constituencies and local... language stating that a director of an affiliate of a ``Member Organization'' shall not per se fail to be...

  20. 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

    ... interest, and by public investors as limited partners holding common units purchased on the NYSE. Dome... company and merged into KM Cochin, which is now the legal name of the former Dome Pipeline Corporation... comment. The Department of State has the responsibility to determine whether issuance of a new...

  1. 77 FR 2585 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-01-18

    ..., the Exchange proposes to delete references to round and odd lot transactions in the Price List, which... Proposed Rule Change Amending the NYSE Price List To Revise Its Schedule of Rebates Paid to Designated Market Makers for Providing Liquidity on the Exchange and To Delete References to Round and Odd Lot...

  2. 76 FR 52028 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-19

    ... from the Reference Price, as noted in the table found under NYSE Rule 128(c)(1).\\9\\ The Reference Price... regular trading hours a security with a Reference Price of greater than zero and up to an including $25 is subject to a 10% threshold; a security with a Reference Price of greater than $25 and up to and including...

  3. 76 FR 8386 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-02-14

    ... required pursuant to the proxy rules to be given by NYSE member organizations to clients where the member... Exchange is concerned that many shareholders receiving proxy materials from their brokers for meetings... Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an e-mail to [email protected

  4. 75 FR 81701 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-12-28

    ... believe that it is an equitable allocation of fees for users of the NYSE bond platform. As such, the... general and Section 6(b)(4) of the Act \\7\\ in particular, in that it is designed to provide for the... public in accordance with the provisions of 5 U.S.C. 552, will be available for website viewing and...

  5. 78 FR 15394 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2013-03-11

    ... inbound and outbound routing of certain orders. See NYSE Rule 17(c). The Exchange also has a joint venture... required unless the Respondent establishes that the failure to make the Document available was not harmless... Directors, would determine whether the failure to make the document available was not harmless error...

  6. 78 FR 5213 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2013-01-24

    ... or the Act, making a material misstatement, or engaging in manipulation. NYSE Rule 476(b) describes... respondent to inspect and copy documents or records in the possession of the Exchange that are material to... material and that there was reasonable ground [sic] for failure to adduce it before the Hearing Panel or...

  7. 75 FR 5822 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-02-04

    ... with several rules that represented a consolidation of the old NASD and NYSE rules concerning financial... Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Its Financial Responsibility Rules.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The...

  8. 76 FR 53015 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-24

    ... institutional account exceptions, a no-knowledge exception, a riskless principal exception, an intermarket sweep... below. Proposed NYSE Rule 5320 also provides the same guidance as FINRA Rule 5320 on minimum price... ahead of, or along with, customer orders that are executable at the same price as the proprietary order...

  9. 78 FR 69907 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    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... change so that Users may experience the benefits of such proposed change as soon as possible. The... Web site at www.nyse.com , at the principal office of the Exchange, and at the Commission's Public...

  10. 77 FR 41868 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-07-16

    ... the Exchange to enact these telemarketing rules in accordance with the Telemarketing Consumer Fraud... unless the consumer reasonably would expect them to be included given the identification of the call and...). \\34\\ See 47 CFR 64.1601(e). Unencrypted Consumer Account Numbers Proposed NYSE Rule 3230(h) prohibits...

  11. 76 FR 12161 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-03-04

    ... proposed rule amendment would establish the protocols for the handling of short sale orders by the Exchange... for the execution, routing to the NYSE Display Book (``DBK'') or routing to other automated trading... Facility's procedures regarding the execution, routing to the DBK and routing to other automated trading...

  12. 78 FR 56962 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-09-16

    ... routing of orders for securities priced at $1 or more under Rule 7018(a). NASDAQ will begin assessing the... $500 per month for each port pair used to connect to NASDAQ using protocols other than Multicast ITCH... in any way. Amended Fees for Execution and Routing of Securities Listed on NYSE NASDAQ is proposing...

  13. 78 FR 39407 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2013-07-01

    ... ownership restrictions that will restrict any person, either alone or together with its related persons... Euronext (the ``NYSE Euronext Certificate'') currently restricts any person, either alone or together with... College of Regulators'' and ``European Regulator'' and the technical descriptions of regulated markets and...

  14. 78 FR 51788 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of and Order Granting...

    Science.gov (United States)

    2013-08-21

    ... company's financial position; and (xvii) information relating to the financial statements of the company... in the Manual certain financial requirements that NYSE states it currently requires of companies... require companies to provide copies of any adjusted financial data used in connection with the financial...

  15. 75 FR 500 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Science.gov (United States)

    2010-01-05

    .... 61043 (November 20, 2009), 74 FR 62612. On January 22, 2009, the Commission approved the formation of... wholly-owned subsidiary, NYSE Market, Inc., owns less than 9% of the aggregate limited partnership... proposed rule's impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). \\12\\ 15 U.S...

  16. 78 FR 49785 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-15

    ... (December 19, 2012), 77 FR 76116 (December 26, 2012) (SR-NYSE-2012-68). Emerging Growth Companies and... Securities Act of 1933 (the ``Securities Act''),\\7\\ an ``emerging growth company'' (as defined in Section 2(a... an emerging growth company or pursuant to a nonpublic submission policy of the Commission's Division...

  17. 78 FR 29801 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change to...

    Science.gov (United States)

    2013-05-21

    ... the Exchange offers other means by which a member organization may achieve comparable or better rates... rate reduction for routable orders in securities listed on exchanges other than NASDAQ and NYSE, are... organizations that do more to support the Exchange through higher volumes and/or contributions to market quality...

  18. 77 FR 3539 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change...

    Science.gov (United States)

    2012-01-24

    ...) (order approving a joint venture between NYSE and BIDS Holdings L.P.). The Exchange has proposed four... venture with, an Exchange member or an affiliate of an Exchange member in the absence of an effective... with respect to NES, and has demonstrated that NES cannot use any information advantage it may have...

  19. 76 FR 16462 - Self-Regulatory Organizations; NASDAQ OMX BX LLC; Order Approving a Proposed Rule Change Relating...

    Science.gov (United States)

    2011-03-23

    ... a joint venture between NYSE and BIDS Holdings L.P.). The Exchange has proposed four ongoing... responsibility with respect to NES, and has demonstrated that NES cannot use any information advantage it may... members raises potential conflicts of interest, and the potential for unfair competitive advantage.\\26...

  20. Motivações para recompra de ações : uma análise com as empresas da BM&FBovespa e da NYSE

    OpenAIRE

    Garcia, Inajá Allane Santos

    2016-01-01

    Este trabalho analisou os motivos determinantes para a recompra de ações realizadas pelas empresas listadas na BM&FBovespa e na NYSE. De acordo com Ikenberry, Lakonishok e Vermaelen (2000) e Gabrielli e Saito (2004), os motivos mais citados pela literatura são: (a) fluxo de caixa livre; (b) sinalização de que as ações estão subavaliadas; (c) distribuição de dividendos; e (d) interesse das empresas em ajustar a estrutura de capital por meio da alavancagem. Devido a isso, optou-se por investiga...