WorldWideScience

Sample records for organizations nyse arca

  1. 75 FR 30095 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Amending Its...

    Science.gov (United States)

    2010-05-28

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

  2. 75 FR 48385 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-08-10

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

  3. 78 FR 68128 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Notice...

    Science.gov (United States)

    2013-11-13

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

  4. 78 FR 13103 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2013-02-26

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

  5. 77 FR 38351 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-06-27

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

  6. 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...

  7. 77 FR 31050 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-05-24

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

  8. 75 FR 5363 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Modifying...

    Science.gov (United States)

    2010-02-02

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

  9. 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...

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

    Science.gov (United States)

    2010-05-06

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

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

    Science.gov (United States)

    2013-08-19

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

  12. 77 FR 38879 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-06-29

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

  13. 76 FR 4968 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-01-27

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

  14. 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...

  15. 77 FR 42343 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-18

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

  16. 78 FR 47807 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-06

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

  17. 77 FR 34445 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-11

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

  18. 77 FR 41849 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-16

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

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

    Science.gov (United States)

    2012-10-31

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

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

    Science.gov (United States)

    2012-12-26

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

  1. 75 FR 31484 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Modify...

    Science.gov (United States)

    2010-06-03

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

  2. 76 FR 53012 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-08-24

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

  3. 76 FR 79238 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-12-21

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

  4. 78 FR 28917 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-05-16

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

  5. 77 FR 6850 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-02-09

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

  6. 76 FR 9065 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2011-02-16

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

  7. 76 FR 32005 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-06-02

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

  8. 75 FR 11221 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-03-10

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

  9. 78 FR 6161 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-01-29

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

  10. 78 FR 76669 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order...

    Science.gov (United States)

    2013-12-18

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

  11. 75 FR 80084 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-12-21

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

  12. 75 FR 2896 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to...

    Science.gov (United States)

    2010-01-19

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

  13. 75 FR 51863 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to...

    Science.gov (United States)

    2010-08-23

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

  14. 76 FR 55956 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-09-09

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

  15. 77 FR 71469 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-30

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

  16. 75 FR 37510 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc...

    Science.gov (United States)

    2010-06-29

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

  17. 75 FR 47652 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change...

    Science.gov (United States)

    2010-08-06

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

  18. 78 FR 77743 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-12-24

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

  19. 77 FR 36591 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-06-19

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

  20. 75 FR 81697 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-12-28

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

  1. 77 FR 51081 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-08-23

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

  2. 77 FR 21827 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-04-11

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

  3. 78 FR 14600 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2013-03-06

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

  4. 78 FR 34681 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-10

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

  5. 78 FR 46643 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-01

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

  6. 77 FR 74707 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2012-12-17

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

  7. 77 FR 17539 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-03-26

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

  8. 77 FR 6613 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-02-08

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

  9. 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...

  10. 78 FR 11238 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-02-15

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

  11. 77 FR 73500 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-12-10

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

  12. 77 FR 25218 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-04-27

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

  13. 75 FR 8164 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-02-23

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

  14. 77 FR 74247 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing And Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-13

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

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

    Science.gov (United States)

    2013-11-13

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

  17. 76 FR 52034 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-08-19

    ... Shares of ProShares Short VIX Short-Term Futures ETF, ProShares Short VIX Mid-Term Futures ETF, ProShares Ultra VIX Short-Term Futures ETF, ProShares Ultra VIX Mid-Term Futures ETF, ProShares UltraShort VIX Short-Term Futures ETF, and ProShares UltraShort VIX Mid-Term Futures ETF Under NYSE Arca Equities Rule...

  18. 75 FR 63233 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-10-14

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

  19. 77 FR 36307 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-06-18

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

  20. 78 FR 39352 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2013-07-01

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

  1. 78 FR 15080 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2013-03-08

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

  2. 76 FR 24954 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-05-03

    ... Equities Rule 7.16(f)(iv)(A), the Exchange may lift the short sale price test restrictions before the Short... Arca Equities Rule 7.16(f)(iv)(A) \\10\\ to provide that the Exchange may also lift the short sale price... Arca Equities Rule 7.16(f)(iii), the short sale price test restrictions of Rule 201 are triggered if a...

  3. 77 FR 7634 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-02-13

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

  4. 77 FR 27817 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2012-05-11

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

  5. 78 FR 48528 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Amend...

    Science.gov (United States)

    2013-08-08

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

  6. 78 FR 21452 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-10

    ... proposes the creation of Customer Posting Credit Tiers in Non-Penny Pilot Issues with two Tiers to receive... Customer Post Liquidity credit tiers, and the creation of the new Customer Posting Credit Tiers in Non... Arca also proposes additional language in endnote 8, to define Retail Orders. A Retail Order must...

  7. 76 FR 20396 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-04-12

    ...\\ The Exchange also proposes to replace certain premium credits in high volume issues and volume tier pricing incentives for Customers and Market Makers in Penny Pilot issues with a Customer Monthly Posting... Arca proposes a differential of $0.22.\\4\\ \\4\\ See Phlx Price List, ``Make/Take Pricing Program'' at...

  8. 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...

  9. 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...

  10. 77 FR 36599 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-19

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

  11. 75 FR 81692 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-12-28

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

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

    Science.gov (United States)

    2010-06-24

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

  13. 76 FR 65230 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-10-20

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

  14. 78 FR 18649 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-27

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

  15. 77 FR 39535 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-07-03

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

  16. 77 FR 21120 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List...

    Science.gov (United States)

    2012-04-09

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

  17. 77 FR 64153 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and...

    Science.gov (United States)

    2012-10-18

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

  18. 78 FR 34679 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-10

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

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

    Science.gov (United States)

    2012-12-17

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

  20. 77 FR 76148 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-12-26

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

  1. 75 FR 25009 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-05-06

    ... Items have been prepared by the self-regulatory organization. The Commission is publishing this notice...\\ 15 U.S.C. 78a. \\3\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of....sec.gov and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of...

  2. 75 FR 20030 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-04-16

    ... have been prepared by the self-regulatory organization. The Commission is publishing this notice to....C. 78a. \\3\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and...

  3. 75 FR 27609 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-05-17

    ... have been prepared by the self-regulatory organization. The Commission is publishing this notice to....C. 78a. \\3\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the...

  4. 78 FR 47467 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-05

    ... NMS, the Commission granted self-regulatory organizations and broker-dealers increased authority and... listings, trades, and market data itself, providing virtually limitless opportunities for entrepreneurs who...

  5. 78 FR 75406 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-12-11

    ...%); Mexican Peso (8.5%); Australian Dollar (5.5%); Swiss Franc (4.9%); Korean Won (3.6%); CNY (3.0%); and... recognized statistical rating organization (``NRSRO'') in rating similar securities and issuers. See Credit... and other obligations of financial institutions organized or having their principal place of business...

  6. 77 FR 52769 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-30

    ... Commission granted self-regulatory organizations and broker-dealers increased authority and flexibility to... virtually limitless opportunities for entrepreneurs who wish to produce and distribute their own market data...

  7. 77 FR 23303 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-04-18

    ... of information barriers when running automated surveillance patterns designed to identify... Commission's Web site at www.sec.gov . II. Self-Regulatory Organization's Statement of the Purpose of, and... ``false positives'' that are identified through automated surveillance patterns by permitting FINRA to...

  8. 78 FR 47037 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order...

    Science.gov (United States)

    2013-08-02

    ..., British Pound, Canadian Dollar, Australian Dollar, and Swiss Franc).\\13\\ The Subsidiary's exposure will... recognized statistical rating organization or, if unrated, judged by First Trust to be of comparable quality... business within seven days at approximately the value ascribed to it by the fund. See Investment Company...

  9. 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

    ...%); British Pound (9.9%); Mexican Peso (8.5%); Australian Dollar (5.5%); Swiss Franc (4.9%); Korean Won (3.6... extent possible, to that performed by a nationally recognized statistical rating organization (``NRSRO... principal place of business in the U.S. ``Non-U.S.-issued money market securities'' means money market...

  10. 77 FR 30341 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-05-22

    ... First Trust Exchange-Traded Fund IV (``Trust''),\\5\\ which is organized as a Massachusetts business trust... investment purposes) in exchange-traded equity securities of companies domiciled in the United States or... trade in foreign currencies that differ from the currency the underlying security for each ADR, EDR, or...

  11. 78 FR 79524 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval to Proposed Rule Change...

    Science.gov (United States)

    2013-12-30

    ... by other market participants, such segmentation would not be inconsistent with Section 6(b)(5) of the... proposed Program, a new class of market participants called Retail Liquidity Providers (``RLPs'') would be... market participants known as Retail Member Organizations (``RMOs'') could submit a new type of order...

  12. 77 FR 20087 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-04-03

    ... the issuer or the guarantor of such money market instrument is organized under the laws of a non-U.S... developed and/or emerging market countries (one of which may be the United States). The Fund's holdings may include bonds issued by issuers in both developed and/or emerging market countries, and the Fund is...

  13. 78 FR 62923 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-22

    ... Organization's Statement of the Terms of the Substance of the Proposed Rule Change The Exchange proposes to add... price is established by selling one Jan 20 for 2.10 and buying one Jan 25 for 1.05). The Filter will... NBBO for the same strategy is offered at 3.20 (this price is established by selling one Jan 20 for 5.30...

  14. 78 FR 48513 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Adopt...

    Science.gov (United States)

    2013-08-08

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

  15. 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...

  16. 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...

  17. 75 FR 58464 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-09-24

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

  18. 75 FR 80553 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Relating to...

    Science.gov (United States)

    2010-12-22

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

  19. 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...

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

    Science.gov (United States)

    2010-01-11

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

  1. 77 FR 23532 - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of a Proposed Rule Change...

    Science.gov (United States)

    2012-04-19

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

  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

    ... systems and would reduce the systemic and administrative burdens on market participants by avoiding the... Arca rules rather than having the Exchange enforce NYSE Arca rules. In sum, the Exchange believes that...

  3. 76 FR 65247 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-10-20

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

  4. 75 FR 33882 - Self-Regulatory Organizations; NYSE Amex LLC and NYSE Arca, Inc.; Order Granting Approval of...

    Science.gov (United States)

    2010-06-15

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

  5. 76 FR 53004 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change by NYSE...

    Science.gov (United States)

    2011-08-24

    ... asset allocation strategy pre-determines a target mix of investment types for the Fund to achieve its... desired investment types. The strategy also calls for periodic review of the Fund's holdings as markets... approximately 75.4% of the global equity market. The Index includes the largest securities in the Russell...

  6. 78 FR 51758 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Order...

    Science.gov (United States)

    2013-08-21

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

  7. 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

    ... Singapore. Each of the United Kingdom's primary financial markets regulator, the Financial Services... Singapore's primary financial markets regulator, the Monetary Authority of Singapore, are signatories to the... consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments Use...

  8. 75 FR 50013 - Self-Regulatory Organizations; NYSE Amex, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-08-16

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

  9. 75 FR 13616 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed...

    Science.gov (United States)

    2010-03-22

    ... commodities and commodity strategies. While the Fund intends to invest up to 70% or more of the value of its... or sold to other investors. \\11\\ The Fund intends to maintain the level of diversification necessary..., strategies, policies, and restrictions, risks, fees and expenses, creation and redemption procedures...

  10. 77 FR 48181 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine...

    Science.gov (United States)

    2012-08-13

    ... and trading of commodity-based trust shares. BlackRock Asset Management International Inc. is the... (3) held as strategic reserves by the governments of China and South Korea.\\33\\ \\30\\ July 18 V&F... Shanghai) or of an unacceptable brand or quality. See id. at 5-6. 2. Impact on Copper Prices According to V...

  11. 75 FR 168 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending...

    Science.gov (United States)

    2010-01-04

    ... lower the minimum component stock weight requirement from 90% to 70% of the weight of the underlying... component stock trading volumes are determined on a global basis. Finally, as an option for meeting the... minimize potential manipulation. The Commission also believes that the proposed use of minimum notional...

  12. 77 FR 43620 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings to Determine...

    Science.gov (United States)

    2012-07-25

    ... immediate delivery would make the physical copper market more susceptible to manipulation.\\25\\ \\22\\ See... physical copper stocks include copper that is subject to long-term contracts, and is generally held in the normal course by producers and consumers as buffer stocks to ensure smooth running of their logistics and...

  13. 78 FR 4919 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine...

    Science.gov (United States)

    2013-01-23

    ... instruments as part of a temporary defensive strategy to protect against potential stock market declines. The... it has sold accordingly. Secondary Investment Strategies The Fund may invest its remaining assets in... necessarily appropriate for investors who seek to avoid or minimize their exposure to stock market volatility...

  14. 75 FR 20028 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed...

    Science.gov (United States)

    2010-04-16

    ... units on the Exchange.\\4\\ USBO, a Delaware limited partnership, is a commodity pool that is managed and... Partner is a single member limited liability company that was formed in Delaware on May 10, 2005 and is...\\ and with the requirements of Rule 10A-3 under the Act \\6\\ as it applies to limited partnerships. \\4...

  15. 77 FR 60735 - Self-Regulatory Organizations; NYSE Arca, Inc.; International Securities Exchange, LLC; Notice of...

    Science.gov (United States)

    2012-10-04

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

  16. 75 FR 4124 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed...

    Science.gov (United States)

    2010-01-26

    ... sub-adviser. The Bank of New York Mellon Corporation is the administrator, Fund accountant, transfer..., portfolio holdings and policies, distributions and taxes, availability of information, trading rules and...

  17. 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...

  18. 77 FR 42345 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-18

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

  19. 78 FR 50471 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-19

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

  20. 77 FR 40671 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-10

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

  1. 76 FR 53009 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-08-24

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

  2. 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...

  3. 77 FR 22624 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-04-16

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

  4. 78 FR 6842 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule...

    Science.gov (United States)

    2013-01-31

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

  5. 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...

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

    Science.gov (United States)

    2012-02-23

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

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

    Science.gov (United States)

    2011-12-22

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

  8. 75 FR 77681 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing Relating to Listing and Trading...

    Science.gov (United States)

    2010-12-13

    ... market price and trading volume of the Shares is and will be continually available on a real-time basis... quality of earnings; reserve reversals or an increase in ``soft'' assets which could indicate the... with respect to the broad market. The Fund, from time to time, in the ordinary course of business, may...

  9. 78 FR 56764 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-09-13

    ...Shares QAM Equity Hedge ETF September 9, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities...Shares QAM Equity Hedge ETF (``Fund''). The Fund is currently listed and traded on the Exchange under... listing and trading on the Exchange of shares (``Shares'') of the AdvisorShares QAM Equity Hedge ETF, a...

  10. 76 FR 60957 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change...

    Science.gov (United States)

    2011-09-30

    ... Change to the Benchmark Index Applicable to the Russell Equity ETF September 26, 2011. I. Introduction On... applicable to the Russell Equity ETF (``Fund,'' formerly known as the ``One Fund''). The proposed rule change... ETF, and the name of U.S. One Trust was changed to Russell Exchange Traded Funds Trust (``Trust...

  11. 77 FR 24233 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-04-23

    ... Change Relating to the Peritus High Yield ETF April 17, 2012. Pursuant to Section 19(b)(1) of the... Change The Exchange proposes to reflect a change to the holdings of the Peritus High Yield ETF to achieve... Exchange shares (``Shares'') of the Peritus High Yield ETF (``Fund'') under [[Page 24234

  12. 77 FR 42034 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-17

    ... Change Relating to the AdvisorShares Active Bear ETF July 11, 2012. Pursuant to Section 19(b)(1) \\1\\ of... the investment objective applicable to the AdvisorShares Active Bear ETF (the ``Fund''). The text of... (``Shares'') of the AdvisorShares Active Bear ETF, a series of AdvisorShares Trust (the ``Trust''),\\4\\ under...

  13. 78 FR 62745 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend...

    Science.gov (United States)

    2013-10-22

    ... modifiers. Given the ever complex nature of equities trading, the Exchange has undertaken a comprehensive... been adopted and amended over the years, accurately describe the functionality associated with those... executed at the National Best Bid or Offer (``NBBO''). Therefore, Market Orders will not trade through the...

  14. 76 FR 20401 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-04-12

    ... Reports, and Form N-CSR, and Form N-SAR, filed twice a year. The Trust's SAI and Shareholder Reports are available free upon request from the Trust, and those documents and the Form N-CSR and Form N-SAR may be... competition among market participants, to the benefit of investors and the marketplace. The Funds primarily...

  15. 77 FR 31899 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-05-30

    ... Funds' Shareholder Reports, and the Trust's Form N-CSR and Form N-SAR, filed twice a year. The Trust's... the Form N-CSR and Form N-SAR may be viewed on-screen or downloaded from the Commission's Web site at...-managed exchange-traded products that will enhance competition among market participants, to the benefit...

  16. 77 FR 52083 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-08-28

    ...- CSR and Form N-SAR, filed twice a year. The Trust's SAI and Shareholder Reports are available free upon request from the Trust, and those documents and the Form N-CSR and Form N-SAR may be viewed on... competition among market participants, to the benefit of investors and the marketplace. As noted above, the...

  17. 76 FR 79741 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-12-22

    ... Statement of Additional Information (``SAI''), the Fund's Shareholder Reports, and its Form N- CSR and Form... from the Trust, and those documents and the Form N-CSR and Form N-SAR may be viewed on-screen or... will enhance competition among market participants, to the benefit of investors and the marketplace. As...

  18. 77 FR 9281 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-02-16

    ... Information (``SAI''), the Fund's Shareholder Reports, and its Form N- CSR and Form N-SAR, filed twice a year... documents and the Form N-CSR and Form N-SAR may be viewed on-screen or downloaded from the Commission's Web... exchange-traded product that will enhance competition among market participants, to the benefit of...

  19. 78 FR 32503 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2013-05-30

    ... Subsidiary, will attempt to capture the economic benefit derived from rising and declining trends based on... security or instrument. The Fund, through the Subsidiary, will benefit if it has a long position in a... Information (``SAI''), the Fund's Shareholder Reports, and the Trust's Form N-CSR and Form N-SAR, filed twice...

  20. 75 FR 47045 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc...

    Science.gov (United States)

    2010-08-04

    ...''), the Fund's Shareholder Reports, and its Form N- CSR and Form N-SAR, filed twice a year. The Trust's... the Form N-CSR and Form N-SAR may be viewed on-screen or downloaded from the Commission's Web site at...-traded products that will enhance competition among market participants, to the benefit of investors and...

  1. 77 FR 34102 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-06-08

    ... Information (``SAI''), the Fund's Shareholder Reports, and the Trust's Form N-CSR and Form N-SAR, filed twice..., and those documents and the Form N-CSR and Form N-SAR may be viewed on- screen or downloaded from the... the benefit of investors and the marketplace. As noted above, the Exchange has in place surveillance...

  2. 76 FR 51442 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-08-18

    ...'s Statement of Additional Information (``SAI''), the Fund's Shareholder Reports, and its Form N- CSR... request from the Trust, and those documents and the Form N-CSR and Form N-SAR may be viewed on-screen or... market participants, to the benefit of investors and the marketplace. As noted above, the Exchange has in...

  3. 77 FR 29429 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-05-17

    ... Fund's Shareholder Reports, and its Form N- CSR and Form N-SAR, filed twice a year. The Trust's SAI and Shareholder Reports are available free upon request from the Trust, and those documents and the Form N-CSR and... will enhance competition among market participants, to the benefit of investors and the marketplace. As...

  4. 76 FR 28493 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-05-17

    ... determined on the basis of generally accepted accounting principles in the United States, consistently applied under the accrual method of accounting. Each Fund's NAV is calculated at 4:15 p.m. E.T. The intra...

  5. 75 FR 73145 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-11-29

    ... generally accepted accounting principles in the United States, consistently applied under the accrual method of accounting. The closing prices and settlement prices of VIX Futures Contracts are also readily...

  6. 77 FR 69670 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a...

    Science.gov (United States)

    2012-11-20

    ... some cases its port fees are less expensive than many of its primary competitors.\\12\\ The Exchange... monitoring of the drop copy port is more substantial and because drop copy ports capture cumulative activity...

  7. 78 FR 69497 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-11-19

    ... Disciplinary Action November 13, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934... is subject to disciplinary action. The text of the proposed rule change is available on the Exchange... to the Options Price Reporting Authority (``OPRA'') is subject to disciplinary action, including...

  8. 78 FR 11932 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-02-20

    ... investment objective applicable to the WisdomTree Euro Debt Fund (the ``Fund''). The text of the proposed... exchange-traded funds of the WisdomTree Trust). The original investment objectives of the Fund were to (1...,'' to change the Fund's investment objective to seeking ``a high level of total returns consisting of...

  9. 78 FR 48920 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-12

    ... Derivative Securities Product or a Listed Structured Product Is Based on an Index or Portfolio of Securities....3(i)(1)(i) to specify the procedures to be followed if a listed Derivative Securities Product or a... Derivative Securities Product \\4\\ or a Structured Product \\5\\ based on an index or portfolio of securities is...

  10. 78 FR 69503 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, As...

    Science.gov (United States)

    2013-11-19

    ... price or formula. \\10\\ Structured notes are derivative securities for which the amount of principal... security or market. The Fund will only enter into transactions in derivative instruments with... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70871; File No. SR-NYSEArca-2013-118] Self...

  11. 77 FR 76326 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-12-27

    ... its investment objective. The Fund will not invest in derivative securities including options, swaps... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68488; File No. SR-NYSEArca-2012-14] Self... Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (``Act'' or ``Exchange Act'') \\2\\ and Rule 19b...

  12. 77 FR 71020 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-28

    ... Products with that of derivative securities products, like ETFs, that are listed on the Exchange. In this regard, the Exchange believes that derivative securities products and Structured Products share certain... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68280; File No. SR-NYSEArca-2012-127] Self...

  13. 77 FR 29419 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2012-05-17

    ... generally classified as either Derivative Securities Products or Structured Products for purposes of the..., (iv) average quoted spread, and (v) in the event the security is a derivative security, the ability to... securities of operating companies, and such issues are not present with ETPs, because they have derivative...

  14. 78 FR 72955 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2013-12-04

    ... addition, the Fund will employ leverage inherent to the derivative security to increase exposure to the... addition, the Fund will employ leverage inherent to the derivative security to increase exposure to the...

  15. 77 FR 33010 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-04

    ... Change Regarding the Extension of Unlisted Trading Privileges to New Derivative Securities Products That... the extension of unlisted trading privileges (``UTP'') to a new derivative securities product that is... rules regarding the extension of UTP to a new derivative securities product \\5\\ that is listed on...

  16. 75 FR 25892 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-05-10

    ... (Including Currencies) and Nasdaq Rule 5740 (Derivative Securities Traded Under Unlisted Trading Privileges... securities and/or any derivatives or non security components of any of the products listed and traded on the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62013; File No. SR-NYSEArca-2010-35] Self...

  17. 78 FR 21681 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and...

    Science.gov (United States)

    2013-04-11

    ... LISTING SERVICES.'' ETPs are generally classified as either Derivative Securities Products or Structured...) average quoted spread, and (v) in the event that the security is a derivative security, the ability to... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69335; File No. SR-NYSEArca-2013-34] Self...

  18. 75 FR 13194 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-03-18

    ... Fund has valued the securities.\\12\\ \\12\\ This 15% investment limitation is a non-fundamental policy of... agreements. The Fund is subject to the following investment limitations that are fundamental policies and may... an investment company registered under the Investment Company Act of 1940 (15 U.S.C. 80a) (``1940 Act...

  19. 78 FR 21475 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2013-04-10

    ... and investment policies. The Sub-Adviser will utilize various fundamental and technical research... investment company.\\7\\ The investment adviser to the Fund is AdvisorShares Investments, LLC (the ``Adviser... security that represents an interest in an investment company registered under the Investment Company Act...

  20. 77 FR 20660 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-04-05

    ... priced relative to their economic fundamentals. Both U.S. and international investments will be selected... laws of the State of Delaware and registered with the Commission as an open-end management investment company.\\5\\ The investment adviser to the Fund is AdvisorShares Investments, LLC (``Adviser''). The Fund's...

  1. 76 FR 36600 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-06-22

    ... equities. The underlying investment process for the Madrona Forward Global Bond ETF is based on fundamental... Delaware and registered with the Commission as an open-end management investment company.\\4\\ The investment advisor for the Funds is AdvisorShares Investments, LLC (``Adviser''). Madrona Funds LLC is the Funds' sub...

  2. 77 FR 30345 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-05-22

    ... economic fundamentals. Both U.S. and international investments will be selected using fundamental analysis... registered with the Commission as an open-end management investment company.\\4\\ The investment adviser to the Fund is AdvisorShares Investments, LLC (``Adviser''). The Fund's sub-advisers (``Sub-Advisers'' and...

  3. 75 FR 13181 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-03-18

    ... investment restrictions as fundamental policies with respect to the Fund. These restrictions cannot be... investment restrictions adopted as fundamental policies set forth above, the Fund will not hold illiquid... ``Trust'').\\5\\ The Fund is a ``fund of funds,'' which means that the Fund seeks to achieve its investment...

  4. 78 FR 65407 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2013-10-31

    ... selling investments for the Portfolio. Investments are selected based on fundamental and quantitative... Equity Portfolio. Investments are selected based on fundamental and quantitative analysis. MFS uses... trust and is registered with the Commission as an open-end management investment company.\\5\\ SSgA Funds...

  5. 78 FR 4960 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2013-01-23

    ... such as yield and spreads, supply and demand, investment environment, and sector fundamentals. The Sub-Adviser will select particular investments using a bottom-up, fundamental research driven analysis that... registered with the Commission as an open-end management investment company.\\6\\ \\4\\ The Commission has...

  6. 78 FR 15990 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-03-13

    ... fundamentals. The Sub-Adviser will select particular investments using a bottom-up, fundamental research... investment company.\\4\\ The investment manager to the Fund will be AdvisorShares Investments LLC (``Adviser... Trust is registered under the Investment Company Act of 1940 (``1940 Act''). On June 25, 2012, the Trust...

  7. 77 FR 313 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-01-04

    ... designated as a PNP Plus Order that remains unexecuted and would otherwise lock or cross the best protected... below (above) the Lower (Upper) Price Band, as defined in the Plan, the automatic re-pricing of PNP Plus...

  8. 78 FR 70370 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2013-11-25

    ...); the security's maturity date; liquidity features (if any); relevant cash flow(s); valuation features... Credit Banks, the Tennessee Valley Authority, the Export-Import Bank of the United States, the Commodity...

  9. 77 FR 67712 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-11-13

    ... member of the National Futures Association. Brown Brothers Harriman & Co. Inc. (``BBH & Co., Inc.'') is....3 32.6 10 Copper 4.8 60.9 10 Zinc 34.5 48.9 5 Nickel 4.3 41.6 5 Sugar 24.4 26.2 5 [[Page 67715... LME 8 p.m.-2 p.m....... LN 6 USD/Tonne 5.0 Sugar ICE US 3:30 a.m.-2 p.m.... SB 112,000 c/lb 5.0...

  10. 75 FR 20413 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a...

    Science.gov (United States)

    2010-04-19

    ... volume levels in non-Premium Tier Penny Pilot issues. This new tiered pricing structure will replace the.... The Exchange also proposes to introduce a Premium Tier for electronic transactions in certain Penny..., UNG, FAZ, DIA, GDX, and USO will qualify for the Premium Tier, and will receive an additional $.05 per...

  11. 77 FR 73716 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-11

    ..., India, Indonesia, Korea, Malaysia, Mexico, Morocco, Peru, Philippines, Poland, Russia, South Africa... and depth in the product), as well as retail traders, investors, and public customers, by providing...

  12. 78 FR 21668 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-11

    ... vendors and subscribers are subject to a fee structure that utilizes the following basic principles: \\10... economics literature confirms that there is no way to allocate common costs between joint products that... generally Mark Hirschey, Fundamentals of Managerial Economics, at 600 (2009) (``It is important to note...

  13. 76 FR 44969 - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-07-27

    ... squeezes of the underlying market. In addition such limits serve to reduce the possibility for disruption... trading activity. In addition, routine oversight inspections of the Exchange's regulatory programs by the...

  14. 77 FR 52776 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-08-30

    ... net or gross non-tax revenues derived from a specific project. Double-barreled (``DB'') GO bonds are... Statements. In addition, the Commission has issued an order granting certain exemptive relief to the Trust... income taxes and the federal alternative minimum tax (``AMT''). Each bond must have a rating of at least...

  15. 78 FR 22004 - Self-Regulatory Organizations; NYSE Arca LLC; Order Approving, on an Accelerated Basis, Proposed...

    Science.gov (United States)

    2013-04-12

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

  16. 76 FR 62873 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-10-11

    ... conflict, act of terrorism, riot or labor disruption or any similar intervening circumstance. Liquidity... agreements without limit as part of the Fund's investment strategy. Reverse repurchase agreements involve... regarding the Trust, Fund, Shares, Fund's investment strategies, risks, creation and redemption procedures...

  17. 78 FR 32487 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2013-05-30

    ...) above. Principal Investment Strategies According to the Registration Statement, the Fund's investment... investment objective by using a quantitative, rules-based strategy designed to provide returns that... man- made disaster, act of God, armed conflict, act of terrorism, riot or labor disruption or any...

  18. 78 FR 70610 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2013-11-26

    ... failure, natural or man-made disaster, act of God, armed conflict, act of terrorism, riot or labor... instruments for risk management purposes or as part of its investment strategies.\\11\\ \\11\\ The Fund will seek... the underlying asset and/or as part of a strategy designed to reduce exposure to other risks, such as...

  19. 78 FR 77761 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2013-12-24

    ... statements in describing the Fund and its investment strategies, including portfolio holdings and limitations... systems failure, natural or man-made disaster, act of God, armed conflict, act of terrorism, riot or labor... investment policies and strategies provided that the alternative is consistent with the Fund's investment...

  20. 77 FR 47131 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-08-07

    ... Sub-Adviser. The selection criteria include size, historical track record, diversification among... strategy known as Volatility Enhanced Global Appreciation (``VEGA''). Through VEGA, the Fund will invest in... strategy. The process focuses on the performance of a comprehensive portfolio of assets based on the...

  1. 78 FR 60975 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-02

    ... broker-dealers, so investors are able to readily access record date information for securities they hold... information broadly, including to market data vendors, DTCC and broker-dealers, so investors are able to... the setting of a record dates has been sufficient for the needs of investors and that this is also the...

  2. 77 FR 20079 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-04-03

    ..., rail cars, and trucks), storage, and terminalling of refined petroleum products (primarily gasoline... investment adviser to the Fund will be First Trust Advisors L.P. (``Adviser'' or ``First Trust''). Energy... securities of companies domiciled in the United States or Canada and deemed to be engaged in the energy...

  3. 78 FR 56256 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-09-12

    ..., armed conflict, act of terrorism, riot or labor disruption, or any similar intervening circumstance. The... of terrorism, riot or labor disruption, or any similar intervening circumstance. Except for ETPs that... with other applicable securities laws. Accordingly, procedures designed to prevent the communication...

  4. 77 FR 39763 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-07-05

    ... conflict, act of terrorism, riot or labor disruption, or any similar intervening circumstance. The Fund's... systems failure, natural or man-made disaster, act of God, armed conflict, act of terrorism, riot or labor... prevent the communication and misuse of non-public information by an investment adviser must be consistent...

  5. 78 FR 24276 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-04-24

    ... of terrorism, riot or labor disruption, or any similar intervening circumstance. According to the... the communication and misuse of non- public information by an investment adviser must be consistent...

  6. 78 FR 61411 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-03

    ... systems failure, natural or man- made disaster, act of God, armed conflict, act of terrorism, riot or... communications relating to the proposed rule change between the Commission and any person, other than those that...

  7. 78 FR 66409 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-11-05

    ... man-made disaster, act of God, armed conflict, act of terrorism, riot or labor disruption, or any... man-made disaster, act of God, armed conflict, act of terrorism, riot or labor disruption, or any.... Accordingly, procedures designed to prevent the communication and misuse of non- public information by an...

  8. 77 FR 74723 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-17

    ..., Options Trading Permit (``OTP'') Holders and OTP Firms use the EOC for the systematization and manual... business decisions regarding best practices because such devices capture unique order information and OTP...

  9. 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....wisdomtree.com . WisdomTree Asset Management, Inc. (``WisdomTree Asset Management'') is the investment...-dealers regarding access to information concerning the composition and/or changes to the Fund's portfolio...

  10. 78 FR 39399 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2013-07-01

    ... provider as deemed appropriate by the logistical coordinator. Costs associated with the redemption of Units... to unwind gold hedge positions; (iii) central bank purchases and sales; (iv) production and cost... provider as deemed appropriate by the logistical coordinator. If the Transfer Agent and the Manager...

  11. 75 FR 54199 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change...

    Science.gov (United States)

    2010-09-03

    ... Commission has approved other exchange-traded fund- like products linked to the performance of underlying... (each, an ``Index Commodity'' and, collectively, ``Index Commodities''): Aluminum, cocoa, coffee, copper... products; Group II includes seven Index Commodities which are highly liquid; Group III is comprised of four...

  12. 75 FR 33861 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-06-15

    ... cattle, lean hogs, feeder cattle), softs (e.g., sugar, cotton, coffee, cocoa) and energy (e.g., crude oil........ none none 8:25 a.m.-1:25 p.m. Cocoa Cocoa ICE-US 10 metric tons.... none none 4 a.m.-2 p.m. Coffee... derivative products, including Trust Issued Receipts, to monitor trading in the Units. The Exchange...

  13. 77 FR 21114 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-04-09

    ... Sugar 11. SB 03:30-14:00 2.25 ICE-US Cocoa CC 04:00-14:00 0.39 ICE-US Cotton 2. CT 21:00-14:30 1.24 CME... quotient of (i) the product of (a) the total annualized quantity traded of such Designated Contract during the relevant calculation period and (b) the sum of the products of (x) the Designated Contract...

  14. 77 FR 10005 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-02-21

    ... Commission has approved other exchange-traded fund-like products linked to the performance of underlying... 03:30-14:00 0.76 ICE-US Sugar 11.. SB 03:30-14:00 2.25 ICE-US Cocoa CC 04:00-14:00 0.39 ICE-US Cotton... respect to any Designated Contract is the quotient of (i) the product of (a) the total annualized quantity...

  15. 76 FR 80433 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-12-23

    ... products linked to the performance of underlying commodities and currencies.\\8\\ \\6\\ See Securities Exchange... Contracts are based on, but not directly proportional to, gross domestic product (``GDP''). The positions...:00 pm Cocoa 0.42 ICE 4:00 am-2:00 pm Sugar 3.58 ICE 3:30 am-2:00 pm Cotton 2.69 ICE 9:00 pm-2:30 pm...

  16. 75 FR 37502 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and...

    Science.gov (United States)

    2010-06-29

    ... the equivalent of $5 billion in local currency sovereign debt. The criteria used to evaluate whether a... securities accepted for deposits and the securities used to satisfy redemption requests are sold in... currency debt instruments. A ``local currency'' debt instrument is a bond, note or other debt obligation...

  17. 75 FR 47323 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2010-08-05

    ... investments in local currency debt instruments. Specifically, the Fund intends to invest in issuers in Asia... debt instruments denominated in a currency other than the U.S. dollar issued by emerging market... foreign currencies. In addition, the Fund may use derivative instruments as part of its investment...

  18. 77 FR 67707 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-11-13

    ... used as short-term trading vehicles. The Leveraged Funds with the word ``Bull'' in their name... (collectively, ``Euro Funds'' and, collectively with the Yen Funds and Dollar Funds, ``Currency Funds'') will... currency. As such, the Yen Funds will invest in Japanese Yen futures contracts traded on the CME (``Yen...

  19. 77 FR 7623 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change...

    Science.gov (United States)

    2012-02-13

    ... redemption securities, including that the securities accepted for deposits and the securities used to satisfy... obligations, such as government or corporate bonds, denominated in local currencies or U.S. dollars, as well as issues denominated in emerging market local currencies that are issued by ``supranational issuers...

  20. 77 FR 44702 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-07-30

    ... Process and would not necessitate any changes to order processing.\\4\\ \\4\\ The Exchange notes that when it... received from other market centers are marked as intermarket sweep orders, which by definition, are not...

  1. 77 FR 19401 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-03-30

    ... B. Error positions may result from an order processing issue at a routing destination. For instance, if a routing destination experienced a systems problem that affects its order processing, it may... orders (``error positions''). By definition, an error position would not include any position that...

  2. 77 FR 57611 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-09-18

    ... result from an order processing issue at a routing destination. For instance, if a routing destination experienced a systems problem that affects its order processing, it may transmit back a message purporting to... [[Page 57613

  3. 76 FR 75932 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-12-05

    ... the equivalent of $5 billion in local currency sovereign debt. The criteria used to evaluate whether a... Change The Exchange proposes to list and trade the shares of the following fund of the WisdomTree Trust.... Purpose The Exchange proposes to list and trade the Shares of the WisdomTree Emerging Markets Inflation...

  4. 77 FR 3532 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-01-24

    ... component currencies. The price used for the calculation of the Index is the mid-point between the Bloomberg... Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to list and trade... (``UTP'').\\3\\ The Exchange proposes to list and trade shares (``Shares'') of the following pursuant to...

  5. 77 FR 15440 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-03-15

    ... component currencies. The price used for the calculation of the Index is the mid-point between the Bloomberg... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to list... The Exchange proposes to list and trade shares (``Shares'') of the following funds (each a ``Fund...

  6. 75 FR 25005 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2010-05-06

    ... deems appropriate for options trading Exchange- Traded Fund Shares (``ETFs'' or ``Fund Shares'' or ``Units'') that are traded on a national securities exchange and are defined as an ``NMS stock'' in Rule... similar entity that holds a specified non-U.S. currency deposited with the trust or similar entity when...

  7. 76 FR 194 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-01-03

    ... exchange-traded fund. The Shares will be offered by the Trust, which was established as a Delaware... Commodity Currency Fund). \\5\\ See Post-Effective Amendment No. 41 to Registration Statement on Form N-1A for... managed exchange- traded fund (``ETF''). The Fund is designed to provide exposure to a broad range of...

  8. 75 FR 70319 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-11-17

    ...''), the most actively traded currency pairs against the U.S. dollar (based on average daily turnover in U... based on liquid and actively-traded commodities and currencies and there is also an active market for... Shares'' on the Exchange.\\5\\ [[Page 70320

  9. 77 FR 58881 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-09-24

    ...-traded fund-like products linked to the performance of underlying commodities and currencies.\\9\\ \\6\\ See... Funds to obtain exposure through cash-settled, exchange-traded options on Currency Futures Contracts, as... real-time data for foreign currency futures and options prices traded on the CME and NASDAQ OMX PHLX...

  10. 76 FR 27127 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-05-10

    ... market for local currency debt is larger and more actively traded than the global market for dollar... followed index of regularly traded, liquid, fixed-rate domestic currency government bonds. As of December...

  11. 75 FR 18554 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order...

    Science.gov (United States)

    2010-04-12

    ... sectors, and other exchange- traded products, including but not limited to exchange-traded notes (``ETNs''), exchange-traded currency trusts and closed-end funds. In addition, the Fund may use liquid futures... long and short positions in other exchange-traded funds (the ``Underlying ETFs'') that offer...

  12. 76 FR 6503 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-02-04

    ..., exchange-traded notes (``ETNs''), exchange-traded currency trusts, and closed-end funds.\\5\\ \\5\\ Underlying..., and ETPs including, but not limited to, ETNs, exchange-traded currency trusts, and closed-end funds...-traded currency trusts, and closed-end funds). The Commission finds that the proposal to list and trade...

  13. 77 FR 47482 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-08-08

    ...-traded currency and commodity trusts (collectively, with ETFs and ETNs, ``Underlying ETPs''),\\10... circumstances,\\7\\ by investing at least 60% of its portfolio in both long and short positions in exchange-traded funds (``ETFs'') \\8\\ and exchange-traded notes (``ETNs'') \\9\\ that offer diversified exposure to global...

  14. 78 FR 76867 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2013-12-19

    ... either exchange-traded currency futures or ``over-the-counter'' (``OTC'') foreign exchange forward... are generally traded in an interbank market directly between currency traders (usually large... exchange-traded currency futures or OTC foreign exchange forward contracts, as the currency in which...

  15. 78 FR 79042 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-27

    ... time period of the Pilot Program,\\4\\ which is currently scheduled to expire on December 31, 2013... that it is designed to prevent fraudulent and manipulative acts and practices, to promote just and... to buy and sell options. The proposal to extend the Pilot Program is designed to promote just and...

  16. 78 FR 16552 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-15

    ... to extend the time period of the Pilot Program,\\4\\ which is currently scheduled to expire on March 31... 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...

  17. 78 FR 73899 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-09

    ... Commentary .06 to Rule 6.8 to extend the time period of the SPY Pilot Program,\\4\\ which is currently... Exchange believes it is appropriate to extend the SPY Pilot Program to provide time for other SROs to adopt... practices, to promote just and equitable principles of trade, to remove impediments to and perfect the...

  18. 75 FR 11214 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-03-10

    ... Hub to route orders to markets at the NBBO. The Exchange was aware that such dependence might occur...: Electronic Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or... method. The Commission will post all comments on the Commission's Internet Web site ( http://www.sec.gov...

  19. 75 FR 14644 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2010-03-26

    ... (including cable installation, equipment racking and ``remote-hands'' maintenance). The fees assessed for the... $200 per hour. (including cable installation services, equipment racking services, and ongoing remote... provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission's Public...

  20. 78 FR 1894 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-01-09

    ... not have annual financial statements with an audit opinion that is currently withdrawn. As of November...., Oracle Inc., and Amazon.com , Inc.); Regarding component available shares, (a) the most available shares...'') are calculated based on a volume- weighted average of prices reported in the first five minutes of...

  1. 77 FR 39554 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-07-03

    ... later date at a fixed price. The Fund may not (i) with respect to 75% of its total assets, purchase... security. The Fund will not purchase illiquid securities, including Rule 144A securities and loan... 204A-1 under the Advisers Act relating to codes of ethics. This Rule requires investment advisers to...

  2. 78 FR 66396 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2013-11-05

    ... relating to codes of ethics. This Rule requires investment advisers to adopt a code of ethics that reflects.... Forwards on securities are contracts to purchase or sell securities for a fixed price at a future date beyond normal settlement time. Forwards on Fixed Income Instruments are contracts to purchase or sell...

  3. 78 FR 12110 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2013-02-21

    ... 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 the relationship to clients as well as compliance... quantitative model to identify which securities the Fund might purchase and sell and opportune times for...

  4. 77 FR 36314 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-06-18

    ... relating to codes of ethics. This Rule requires investment advisers to adopt a code of ethics that reflects... writer of the option is obligated to purchase the requisite amount of the asset underlying the option to... amount of cash or cash equivalents sufficient to cover the purchase price of the asset underlying the...

  5. 77 FR 65732 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and...

    Science.gov (United States)

    2012-10-30

    ... electrical sector, the glass manufacturing sector, the medical, biomedical and dental sectors, and other...-treatment systems. Industrial manufacturing includes demand primarily from the electronics, dental, and...''), and a calculation of the premium or discount of such price against such NAV; and (b) data in chart...

  6. 76 FR 33795 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-06-09

    ... Holder'' refers to a sole proprietorship, partnership, corporation, limited liability company or other...). The term ``OTP Firm'' refers to a sole proprietorship, partnership, corporation, limited liability...

  7. 78 FR 79046 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-27

    ... internal monitoring and procedures related to risk management. The Exchange does not guarantee that the... designed to be the sole means of risk control. Moreover, the use of the Exchange's risk management tools... Change To Offer Risk Management Tools Designed To Allow ETP Holders To Monitor and Address Exposure to...

  8. 75 FR 71760 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2010-11-24

    ... portfolio, Peritus will perform its own independent investment analysis of each issuer to determine its... in a portfolio of securities selected by its investment advisor consistent with its investment... with respect to access to information concerning the composition and/or changes to the portfolio). \\7...

  9. 77 FR 9288 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-02-16

    ... electronic executions and to delete references to Royalty Fees for foreign currency options, which the... posted electronic executions and to delete references to Royalty Fees for foreign currency options, which....... -0.36 Threshold 3 More than 1,200,000.. -0.42 Threshold 4 More than 3,500,000.. -0.43 Royalty Fees...

  10. 75 FR 71158 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-11-22

    ...://www.cfe.cboe.com ), automated quotation systems, published or other public sources, or on-line [[Page... and last-sale information regarding the Shares will be disseminated through the facilities of the... Optimized Portfolio Value (``IOPV'') will be calculated. The IOPV is an indicator of the value of the VIX...

  11. 77 FR 7219 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change...

    Science.gov (United States)

    2012-02-10

    ... market and a national market system, and, in general, to protect investors and the public interest. The... in, securities. Quotation and last- sale information for the Shares will be available via the... subscription basis.\\21\\ In addition, for each Fund, the Indicative Optimized Portfolio Value (``IOPV'') will be...

  12. 78 FR 67427 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-11-12

    ... use to obtain the Fund's investment objectives (the ``Proposed Amendments'').\\8\\ Under the Proposed... change to the Fund's investment objective.\\14\\ The Fund will continue to comply with all initial and... investment objective. The Fund will continue to comply with all initial and continued listing requirements...

  13. 78 FR 45003 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2013-07-25

    ... securities. Corporate debt securities are fixed-income securities issued by businesses to finance their... fundamental factors such as sales, earnings and cash flow growth; valuation factors such as price/earnings... fundamentals, valuation and technical factors, the security's relative valuation and other qualitative factors...

  14. 78 FR 54700 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-09-05

    ... eliminated. The securities will then be evaluated by fundamental factors such as sales, earnings, and cash... be selected by the Adviser based on the security's fundamentals, valuation and technical factors, the... participations from third parties. These loans are made by or issued to corporations primarily to finance...

  15. 78 FR 10233 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2013-02-13

    ... fundamental credit analysis in an effort to attempt to minimize the loss of the Portfolio's capital.\\11\\ The..., insurance companies or finance companies (or their affiliates). Such companies may be especially susceptible... generally repaid before unsecured bank loans, corporate bonds, subordinated debt, trade creditors, and...

  16. 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

    ... to finance purchases of homes, commercial buildings and other real estate. The individual mortgage... Statement, generally, trading in corporate bonds, U.S. government securities and money market instruments is...: fundamental analysis (earnings multiple, etc.), matrix pricing, discounts from market prices of similar...

  17. 78 FR 19766 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-04-02

    ... investment grade quality and will rely on fundamental credit analysis in an effort to attempt to minimize the..., they can also include thrift institutions, insurance companies, or finance companies (or their... Senior Loans are generally repaid before unsecured bank loans, corporate bonds, subordinated debt, trade...

  18. 76 FR 64406 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-10-18

    ... surveillance,\\8\\ which is in furtherance of the Exchange's outsourcing of its surveillance and other regulatory... impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). \\23\\ See supra note 15...

  19. 77 FR 41854 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-16

    ... any entity assisting in its compliance, in procedures established pursuant to the national do-not-call... outbound telephone calls to wireless telephone numbers.\\28\\ \\28\\ See also FINRA Rule 3230(e). Outsourcing... telemarketing services on its behalf, the ETP Holder remains responsible for ensuring compliance with all...

  20. 77 FR 2331 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-01-17

    ... possible, and equally reasonable, pricing strategies as the means of recovering total costs. For example... for the inputs necessary to the creation of proprietary data and strict pricing discipline for the.... Id. at 3598. Competitive markets for order flow, executions, and transaction reports provide pricing...

  1. 78 FR 19784 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-02

    ... trying to strike the right balance of fees applicable to Minis--too low and the costs of processing Mini... right balance of fees applicable to Minis--too low and the costs of processing Mini quotes and orders... may or may not pass along the $1,000 per month permit fee cost. Consequently, when all fees are taken...

  2. 78 FR 55312 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change...

    Science.gov (United States)

    2013-09-10

    ... provides significant efficiencies in the most active names, but provides a great deal of unnecessary quote... ten business days into the month, rather than the second day of the month as is done under the Pilot...

  3. 77 FR 76139 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-12-26

    ...) pursuant to Rule 6.77, a Trading Official determines that the execution of such trade was done in violation... provisions related to trading halts and the nullification of trades. Paragraphs (B)-(C) of the PHLX rule deal...). Additionally, paragraph (D) of the PHLX rule deals with Treasury securities. The Exchange does not trade...

  4. 77 FR 7647 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-02-13

    ... provide current income, capital preservation, and the avoidance of excessive portfolio volatility. The... interest by the U.S. government, its agencies or instrumentalities. \\15\\ VRDOs are short-term tax exempt... and redemption procedures, fees, portfolio holdings disclosure policies, distributions and taxes is...

  5. 76 FR 1477 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-01-10

    ... relating to distribution, compliance of sales and marketing materials, and certain regulatory compliance... Futures Contracts targeting a long notional exposure equivalent to approximately +200% of a Fund's... Leveraged Fund will sell a sufficient number of Short Index Futures Contracts targeting a short notional...

  6. 77 FR 52098 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-28

    ... Exchange would announce via Regulatory Bulletin the applicable time period(s) for the Risk Limitation... Exchange would specify via Regulatory Bulletin the applicable time period(s) for the Risk Limitation... Risk Limitation Mechanisms, as well as any applicable time period(s) and order types, via Regulatory...

  7. 78 FR 20162 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as...

    Science.gov (United States)

    2013-04-03

    ... of dividends to shareholders and their return of capital to shareholders in other forms, such as... a quantitative model to identify which securities the Fund might purchase and sell and opportune...''),\\14\\ and a calculation of the premium and discount of the Bid/Ask Price against the NAV, and (2) data...

  8. 78 FR 13726 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendments No. 1 and No. 2...

    Science.gov (United States)

    2013-02-28

    ....201. BlackRock Asset Management International Inc. is the sponsor of the Trust (``Sponsor''). The... Trust, including warehouse locations, warehouse identification numbers, lot numbers, weights, and brands... well as other governmental bodies that stockpile metal for strategic purposes. 1. OTC Copper Market...

  9. 76 FR 76457 - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-12-07

    ... attractiveness. The Sub-Adviser then will endeavor to invest in Underlying ETPs that individually or in... financial institution in the issuer's home country. The depositary bank may not have physical custody of the... factor scores for each country in the model to assign each country a relative attractiveness score. This...

  10. 77 FR 4079 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-01-26

    ... basis using its proprietary country ranking model in order to determine their relative attractiveness... institution in the issuer's home country. The depositary bank may not have physical custody of the underlying... attractiveness score. This monthly score will be used to rank countries from most attractive to least attractive...

  11. 76 FR 76464 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-12-07

    ..., government and corporate bonds, commodities and REITs. Master Feeder Structure of the Funds The Funds are... equity securities, government and corporate bonds, inflation protected securities, commodities and real... across all market capitalizations, investment grade and high yield government and corporate bonds...

  12. 75 FR 14237 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-03-24

    ... intent of USBO to be operated in a fashion such that its NAV will equal, in dollar terms, the spot price... and CFTC reports on behalf of USBO. Marketing Agent. USBO also plans to employ ALPS Distributors, Inc. as the marketing agent. USBO, through its marketing agent, will continuously offer Creation Baskets...

  13. 75 FR 43606 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2010-07-26

    ... a broker-dealer, they will be required to implement a fire wall with respect to such broker-dealer... (``ICE''), Chicago Board of Trade (``CBOT''), Chicago Mercantile Exchange (``CME''), London Metal...

  14. 77 FR 67412 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-11-09

    ... implemented a fire wall with respect to its broker-dealer affiliate regarding access to information concerning... will implement a fire wall with respect to such broker-dealer regarding access to information... 500 Futures that are listed on the Chicago Mercantile Exchange (``CME'').\\8\\ \\8\\ The Fund will be...

  15. 78 FR 29411 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2013-05-20

    ... and clarified that UBS Securities has implemented a fire wall with respect to its personnel regarding...'' means the Chicago Mercantile Exchange (``CME'') or one of the CME Group Inc.'s other designated contract... Futures (as defined herein). The designated contract markets of the CME Group Inc. are the CME, Chicago...

  16. 76 FR 66339 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2011-10-26

    ... becomes affiliated with a broker-dealer, it will implement a fire wall with respect to such broker-dealer... commodities in the Agriculture Index that are currently traded on the ICE Futures (``ICE Futures''), Chicago Board of Trade (``CBOT''), Chicago Mercantile Exchange (``CME''), Kansas City Board of Trade (``KCBT...

  17. 78 FR 41138 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-07-09

    ... a fire wall with respect to its personnel regarding access to information concerning, among other...\\ As used herein, ``Futures Exchange'' means the Chicago Mercantile Exchange (``CME'') or one of the... of the CME Group Inc. are the CME, Chicago Board of Trade (``CBOT''), New York Mercantile Exchange...

  18. 78 FR 51769 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-08-21

    ... Managing Owner is affiliated with a broker-dealer and has implemented a ``fire wall'' with respect to such... on which the Index Commodity Contracts are traded and include the following: the Chicago Mercantile Exchange, Inc. (``CME''), Chicago Board of Trade (``CBOT'', a division of CME), NYMEX (a division of CME...

  19. 75 FR 39292 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List...

    Science.gov (United States)

    2010-07-08

    ... trading in the European time zones overlaps with trading in the United States, which is when OTC market... trading privileges (``UTP'') ``Commodity-Based Trust Shares.'' \\3\\ The Commission has previously approved... trading of the streetTRACKS Gold Trust and iShares Silver Trust on the Exchange pursuant to UTP.\\10\\ The...

  20. 77 FR 18875 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend...

    Science.gov (United States)

    2012-03-28

    ... floor trades executed by Floor Market Makers [sic] a designated Trading Zone, not just those to which... Makers are not appointed to a designated Trading Zone, they are subject to certain Market Maker... effected on the Trading Floor to count toward the Market Maker's appointment trading requirement and to...

  1. 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..., which governs the listing and trading of Managed Fund Shares. The Shares will be offered by the Trust.\\4...% in the case of Recovery Zone Economic Development Bonds) of the interest paid. The federal interest...

  2. 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

    ... generally occurs at the time of day when trading in the European time zones overlaps with trading in the... trading privileges (``UTP'') ``Commodity-Based Trust Shares.'' \\3\\ The Commission has previously approved... trading of the streetTRACKS Gold Trust and iShares Silver Trust on the Exchange pursuant to UTP.\\10\\ The...

  3. 75 FR 69494 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2010-11-12

    ... in the gold market generally occurs at the time of day when trading in the European time zones..., the Exchange may propose to list and/or trade pursuant to unlisted trading privileges (``UTP... Commission has approved trading of the streetTRACKS Gold Trust and iShares Silver Trust and on the Exchange...

  4. 77 FR 58889 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-09-24

    ... on the S&P 500 Index. The VIX Index measures the premium paid by investors for certain options linked...) member banks of the Federal Reserve System having total assets in excess of $500 million and (ii... Fund must meet three tests each year. First, at least 90% of the Fund's gross income for each taxable...

  5. 77 FR 12631 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-03-01

    ... income from the Treasury Securities and/or cash equivalents that it purchases and on the cash it holds... the closing settlement prices for certain Futures Contracts for the commodity specified in the... an Underlying Fund's Specified Commodity are reached, each Underlying Fund's intention is to invest...

  6. 77 FR 63380 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-10-16

    ... generally reduce changes in the market price of securities from their original purchase price because, upon... commitment. The Fund will only make commitments to purchase such securities with the intention of actually... purchase fixed income securities issued by U.S. or foreign corporations \\6\\ or financial institutions...

  7. 77 FR 24750 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-04-25

    ... Instructions Are Applicable to an MPL Order April 19, 2012. Pursuant to Section 19(b)(1) of the Securities... (``IOC'') time-in-force instructions are applicable to an MPL Order. The text of the proposed rule change... specify how the IOC time-in-force instructions are applicable to an MPL Order. Background An MPL Order is...

  8. 76 FR 30417 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-05-25

    ... order entry size of a Mid-Point Passive Liquidity Order (``MPL Order'') from 100 shares to one share... minimum order entry size of an MPL Order from 100 shares to one share. MPL Orders were initially designed... implementing MPL Orders to permit Users to enter MPL Orders for smaller sized order flow, including orders of...

  9. 77 FR 38362 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of Proposed Rule Change To...

    Science.gov (United States)

    2012-06-27

    ... Christopher Nagy, Managing Director Order Routing & Market Data Strategy, TD Ameritrade, dated April 30, 2012...; Joan C. Conley, Senior Vice President & Corporate Secretary, The NASDAQ OMX Group, Inc., dated April 30...

  10. 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...

  11. 77 FR 13168 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-03-05

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

  12. 77 FR 37942 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-25

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

  13. 76 FR 36608 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-06-22

    ... on market trends. This is a long-only tactical strategy that seeks to minimize portfolio losses by... the Underlying ETPs believed to be participating in long- term ``durable trends'' within the market..., styles (market capitalization, value, growth, etc.) or sectors, and other exchange- traded products...

  14. 75 FR 63874 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change...

    Science.gov (United States)

    2010-10-18

    ... future market trends or direction; rather, the Fund seeks to capture profits in these trends when and where they develop. The strategy is diversified across markets and timeframes with strict risk control..., commodity and currency markets, independent of market direction, by producing absolute returns with reduced...

  15. 76 FR 24936 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-05-03

    ...% fixed income-based assets or cash and cash equivalents depending on market trends. This is a long-only... markets. Risk management is an integral part of the Sub-Adviser's investment strategy. The Fund will not... trends'' within the market. This model enables the Sub- Adviser to evaluate, rank, and select the...

  16. 75 FR 54676 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc...

    Science.gov (United States)

    2010-09-08

    ... trend-following approach to actively manage a diversified portfolio of world asset classes. The strategy... future market trends or direction; rather, the Fund intends to capture profits in these trends when and..., commodity and currency markets, independent of market direction. The Fund seeks to preserve and grow capital...

  17. 77 FR 32161 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-05-31

    ..., forward contracts, swap contracts, the purchase of securities on a when-issued or delayed delivery basis... be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable... provisions of Rule 204A-1 under the Advisers Act relating to codes of ethics. This Rule requires investment...

  18. 77 FR 75239 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as...

    Science.gov (United States)

    2012-12-19

    ... number of ounces of physical platinum bullion held by the Trust as of the close of business on the... number of ounces of physical palladium bullion held by the Trust as of the close of business on the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68430; File No. SR-NYSEArca-2012-111] Self...

  19. 76 FR 199 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-01-03

    ... p.m. Eastern Time and at the close of trading on each Business Day \\12\\ by Bloomberg L.P. and... information services such as Bloomberg or Reuters. The specific contract specifications for the component... and market news free of charge on its Web site. In addition, the Funds will provide Web site...

  20. 75 FR 22663 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-04-29

    ... information services such as Bloomberg or Reuters. The Benchmark will be disseminated by one or more major... news publications publish futures prices and data. The Exchange represents that quotation and last sale... vendors worldwide, including Bloomberg and Reuters. In addition, the Exchange further represents that...

  1. 78 FR 785 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-01-04

    ... sources, or on- line information services such as Bloomberg or Reuters. Complete real- time data for the Futures Contracts is available by subscription from Reuters and Bloomberg. The relevant Futures Exchanges also provide delayed futures information on current and past trading sessions and market news free of...

  2. 75 FR 78290 - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2010-12-15

    .... In addition, various data vendors and news publications publish futures prices and data. The Exchange... disseminated through a variety of major market data vendors worldwide, including Bloomberg and Reuters. In... Contracts is available by subscription from Reuters and Bloomberg. The NYMEX and ICE also provide delayed...

  3. 76 FR 1489 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-01-10

    ... consolidated tape, Reuters and/or Bloomberg. The Index Sponsor will also publish the daily closing level of the... public sources, and on- line information services such as Bloomberg or Reuters.\\16\\ The specific contract... and market news free of charge on its Web site. The NAV for the Fund will be calculated by the...

  4. 77 FR 1526 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-01-10

    ... other public sources, or on-line information services such as Bloomberg or Reuters. Each Benchmark and..., on the Web site of ICE Futures ( www.theice.com ). In addition, various data vendors and news... major market data vendors worldwide, including Bloomberg and Reuters. In addition, the Exchange further...

  5. 76 FR 807 - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-01-06

    ... systems, published or other public sources, or on-line information services such as Bloomberg or Reuters... below), and NAV. In addition, various data vendors and news publications publish futures prices and data... widely disseminated through a variety of major market data vendors worldwide, including Bloomberg and...

  6. 75 FR 63530 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2010-10-15

    ... services such as Bloomberg or Reuters. The relevant futures exchanges also provide delayed futures information on current and past trading sessions and market news free of charge on their respective Web sites...

  7. 75 FR 56156 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2010-09-15

    ... Bloomberg. Reuters and Bloomberg provide at no charge on their websites delayed information regarding the spot price of Bullion and last sale prices of Bullion futures, as well as information about news and developments in the Bullion market. Reuters and Bloomberg also offer a professional service to subscribers for...

  8. 75 FR 77926 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed...

    Science.gov (United States)

    2010-12-14

    ... Bloomberg. Reuters and Bloomberg provide at no charge on their Web sites delayed information regarding the spot price of gold and last sale prices of gold futures, as well as information about news and developments in the gold market. Reuters and Bloomberg also offer a professional service to subscribers for a...

  9. 75 FR 50789 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2010-08-17

    ... news and developments in the Bullion market. Reuters and Bloomberg also offer a professional service to... Reuters and Bloomberg. Reuters and Bloomberg provide at no charge on their Web sites delayed information...

  10. 76 FR 58549 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2011-09-21

    ... vendors worldwide, including Bloomberg and Reuters. In addition, the Exchange further represents that complete real-time data for such contracts is available by subscription from Reuters and Bloomberg. CBOT... market news free of charge on their websites. The specific contract specifications for such contracts are...

  11. 75 FR 62615 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated...

    Science.gov (United States)

    2010-10-12

    ... about news and developments in the silver market. Reuters and Bloomberg also offer a professional..., such as Reuters and Bloomberg. Reuters and Bloomberg provide at no charge on their Web sites delayed... traded on the COMEX are available by subscription from Reuters and Bloomberg. The NYMEX also provides...

  12. 75 FR 170 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change for the...

    Science.gov (United States)

    2010-01-04

    ... Bloomberg. Reuters and Bloomberg provide at no charge on their Web sites delayed information regarding the spot price of gold and last sale prices of gold futures, as well as information about news and developments in the gold market. Reuters and Bloomberg also offer a professional service to subscribers for a...

  13. 78 FR 51239 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2013-08-20

    .... \\20\\ See id. \\21\\ The data is available by subscription from Reuters and Bloomberg. The New York... and market news free of charge on its Web site. EBS Market provides an electronic trading platform to...

  14. 78 FR 17972 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-25

    ... Contingent Cross Orders in mini- options. \\4\\ See Securities Exchange Act Release Nos. 67948 (September 28... options on the same underlying security. With regard to the impact of this proposal on system capacity... necessary systems capacity to handle the potential additional traffic associated with this proposal. The...

  15. 77 FR 57630 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Amending...

    Science.gov (United States)

    2012-09-18

    ... change was published for comment in the Federal Register on July 30, 2012.\\3\\ The Commission received no comment letters regarding the proposed rule change. This order approves the proposed rule change. \\1\\ 15 U...

  16. 76 FR 41844 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-07-15

    ... best bid or national best offer, as defined in Rule 600(b)(42) of Regulation NMS. As the Exchange...., limit orders that in essence act like market orders because they are priced so far away from the...

  17. 75 FR 41252 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc...

    Science.gov (United States)

    2010-07-15

    ... stocks are sufficiently liquid to deter potential manipulation. As of June 9, 2010, the average market... included 201 non-NMS stocks out of a total of approximately 1,564 components in the Index. Thus, non-NMS stocks comprised approximately 12.8% of the number of stocks in the Index. Stocks comprising 97.3% of the...

  18. 78 FR 23601 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-04-19

    ... greatly restricts gains from the manipulation of any one underlying stock.\\44\\ The commenter provides... volatile U.S. stocks that also have market capitalization of at least $5 billion. In seeking to replicate... securities (i.e., those which convert into the underlying stock), the down-and-in put options written by the...

  19. 78 FR 4508 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2, and Order...

    Science.gov (United States)

    2013-01-22

    ... firm and who participates in the firm's audit, assurance or tax compliance (but not tax planning... company's audit within that time; (C) A director or a director who has an immediate family member who is...

  20. 77 FR 62587 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-10-15

    ... such a firm and who participates in the firm's audit, assurance or tax compliance (but not tax planning... company's audit within that time; (C) A director or a director who has an immediate family member who is...

  1. 78 FR 29804 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-05-21

    ... Action Because the proposed rule change does not (i) significantly affect the protection of investors or... and a national market system, and, in general, to protect investors and the public interest. \\5\\ 15 U... wider variety of component securities that may meet the investment objectives of investors. Offering...

  2. 77 FR 56692 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-09-13

    ...) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on... general, to protect investors and the public interest. The Exchange is proposing to replace references to... time as the Commission may designate, if consistent with the protection of investors and the public...

  3. 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...

  4. 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...

  5. 78 FR 30372 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-05-22

    ... accounting agent for the Fund. According to the Exchange, the Adviser is not affiliated with a broker-dealer...-Adviser will utilize various fundamental and technical research techniques in security selection. In... regular fundamental and technical risk management review. The equity securities in which the Fund may...

  6. 77 FR 9277 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-02-16

    ... and the Tracking Order Tier 1 Credit for ETP Holders and Market Makers February 10, 2012. Pursuant to... credit for ETP Holders and Market Makers. The text of the proposed rule change is available at the... credit \\3\\ and the Tracking Order \\4\\ Tier 1 credit for ETP Holders and Market Makers. The credits are...

  7. 76 FR 34788 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-06-14

    ... Increase the Credit That Lead Market Makers Receive for Execution of Orders That Provide Undisplayed... requirements (ii) add a new volume tier and (iii) increase the credit that Lead Market Makers (``LMMs... to amend the Schedule to modify the structure of the transaction credits that it provides Lead Market...

  8. 78 FR 63261 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-23

    ...'') to conform references to certain Market Maker and Lead Market Maker (``LMM'') transaction credits to... Schedule to conform references to certain Market Maker and LMM transaction credits to the transaction.... The Exchange recently amended the Fee Schedule to reduce the credit for the base Market Maker monthly...

  9. 78 FR 60358 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-01

    ... Schedule (``Fee Schedule'') to include an additional Market Maker monthly posting credit tier. The Exchange... Exchange proposes to amend the Fee Schedule to include an additional Market Maker monthly posting credit... currently offers two Market Maker monthly posting credit tiers applicable to posted electronic Market Maker...

  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

    ... variety of U.S. and non-U.S. markets. The Adviser's allocation strategy will establish a target allocation... allocation strategy will establish a target asset allocation for the Fund and the Adviser then will implement... multiple asset classes in a variety of domestic and foreign markets. The Adviser's allocation strategy will...

  11. 76 FR 76205 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-12-06

    .... markets. The Adviser's allocation strategy will establish a target allocation for the Fund and the Adviser... in a variety of domestic and foreign markets. The Adviser's asset allocation strategy will establish a target asset allocation for the Fund and the Adviser then will implement the strategy by selecting...

  12. 78 FR 51796 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-21

    ... appropriate level of data and fees for the professional and non- professional users they are servicing. The... the order book, trade execution, core market data, and non-core market data are joint products of a... discussions and the arguments therein. The Exchange also notes that the economics literature confirms that...

  13. 76 FR 49818 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-08-11

    ... Exchange's Consolidated Book. \\5\\ See Securities Exchange Act Release No. 64688 (June 16, 2011), 76 FR... equal to the NBBO and if there are no Customer Orders in the Exchange's Consolidated Book at the same... of participants in mergers or with intentions to merge that have been announced or cancelled; and (f...

  14. 78 FR 61433 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-03

    ... will issue a Trader Notice to make clear that the ``substantially all'' language is meant to permit the... Cross-Asset Tier if the Exchange determines, in its sole discretion, that the ETP Holder has failed to...

  15. 76 FR 52037 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2011-08-19

    ... inverse multiple of the daily performance of the Dow Jones-UBS Natural Gas Sub-Index, the benchmark index for each of the Funds (``Benchmark'' or ``Index''). The Index, which is comprised of New York... indices; futures contracts; options on futures contracts; forward contracts; equity caps, collars and...

  16. 76 FR 61463 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2011-10-04

    ... recommended that the markets consider replacing the Dow Jones Industrial Average (``DJIA'') with the S&P 500[reg] Index (``S&P 500''), revising the 10%, 20%, and 30% decline percentages, reducing the length of..., as noted by the Committee, using an index that correlates closely with derivative products, such as...

  17. 76 FR 28483 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-05-17

    ... performance of the benchmark index for each of the Funds (the ``Benchmark'' or ``Index''), the Dow Jones-UBS... Dow Jones & Company, Inc. (``Dow Jones'' or ``Index Provider'') and CME Group Inc. (``CME Group... index-related services to CME Indexes. Dow Jones also maintains a Code of Conduct applicable to all...

  18. 78 FR 33869 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-06-05

    ... a stock leg. The text of the proposed rule change is available on the Exchange's Web site at www... consistent with the rules of the stock execution venue, and sets out the priority ranking used by Exchange...-to-one (3.00) and for the purpose of executing a particular investment strategy. Exchange Options...

  19. 77 FR 44291 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-07-27

    ... Equities Rule 5.2(j)(3), the Exchange's listing standards for Investment Company Units (``Units''). The... assets (plus the amount of any borrowings for investment purposes) in common stocks included in the Index...) under the Exchange Act, shall be NMS Stocks as defined in Rule 600 of Regulation NMS under the Exchange...

  20. 78 FR 35340 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change...

    Science.gov (United States)

    2013-06-12

    ... with Inventory, 86 J. FIN. ECON. 513, 513 (2007); and Narayan Y. Naik & Pradeep K. Yadav, Trading Costs... Liquidity, Asset Prices, and Welfare, 95 J. FIN. ECON. 107, 109 (2010); Wen Mao & Michael S. Pagano..., that the rules of a national securities exchange be designed to promote just and equitable principles...

  1. 77 FR 19397 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-03-30

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

  2. 76 FR 42759 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-07-19

    ... ``Act''),\\7\\ in general, and Section 6(b)(5) of the Act,\\8\\ in particular, in that it is designed to... Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet website ( http://www.sec.gov/rules/sro.shtml ). Copies...

  3. 75 FR 65539 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-10-25

    ... the assets of a trust, partnership, limited liability company, corporation or other similar entity... and/or securities rather than solely in the assets of a trust, partnership, limited liability company... liability company, corporation or other similar entity constituted as a commodity pool that holds...

  4. 77 FR 59995 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-10-01

    ... employee of an OTP Firm limited liability company who is a manager or a principal executive officer of such limited liability company, or (4) a general partner in an OTP Firm partnership; each of these persons must... person who is a partner, officer, director, member of a limited liability company, trustee of a business...

  5. 76 FR 24548 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-05-02

    ... securities at fair value as determined in good faith using methods approved by the Funds' Board of Trustees... Corporation, the Federal Financing Bank, the Student Loan Marketing Association, the National Credit Union... change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic...

  6. 75 FR 39076 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc...

    Science.gov (United States)

    2010-07-07

    ... experienced volatility on May 6, 2010, including ETFs, should be included in the pilot. The Exchange agrees... existing 10% price movement applicable before invoking a trading pause would be appropriate for the Russell 1000 securities. Because the Exchange does not propose to modify the 10% price movement at this time...

  7. 77 FR 1969 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-01-12

    ... reasons. The Exchange believes that it is a more straightforward way to communicate floating volume tiers... Rates'' at http://www.nasdaqtrader.com/Trader.aspx?id=PriceListTrading2#rebates , and EDGX Exchange Fee... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66115; File No. SR-NYSEArca-2011-101] Self...

  8. 78 FR 11261 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-02-15

    ... to amend the Exchange's Fee Schedule to introduce a new electronic Customer rate of $0.67 per... class is not currently dependent on the account type of the counterparty. The Exchange proposes to... (5). The Exchange believes that the proposed change is reasonable because the proposed rate, which...

  9. 77 FR 42052 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; NYSE Arca, Inc.; Order Instituting...

    Science.gov (United States)

    2012-07-17

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

  10. 75 FR 71773 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-11-24

    ... financial holding company (``FHC'') or a company treated as an FHC under the Bank Holding Company Act of... Change Expanding the Delta Hedging Exemption Available for Equity Options Position Limits and Adopting a Delta Hedging Exemption From Certain Index Options Position Limits November 18, 2010. Pursuant to...

  11. 78 FR 39810 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2013-07-02

    ... from being able to effectively use the Fund as a way to indirectly invest in the global commodity.... Agricultural. Energy: Crude Oil WTI/Global Spot. NYMEX Flat 9.88 Flat 9.72 Crude Oil Brent/Global ICE-UK Long........ NYMEX Flat 6.81 Flat 6.70 Heating Oil 2/ NYMEX Long 6.91 Long 6.79 Fuel Oil. Gasoline Blendstock...

  12. 78 FR 44609 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2013-07-24

    ... interest, each Fund's investment returns should be the same as those of the corresponding Portfolio... with the Commission as an open-end management investment company.\\5\\ SSgA Funds Management, Inc. (the ``Adviser'' or ``SSgA FM'') will serve as the investment adviser to the Funds. State Street Global Markets...

  13. 76 FR 9843 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-02-22

    ... the return on a risk free component. Because each Fund will seek to achieve its daily investment... certain functions and duties relating to distribution, compliance of sales and marketing materials, and... return, positive or negative, between the corresponding sub- indexes constructed from futures contracts...

  14. 78 FR 20164 - Self-Regulatory Organizations; NYSE Arca, Inc.; Response to Comments Submitted After the Issuance...

    Science.gov (United States)

    2013-04-03

    ... the economy; and (3) promote ``speculative swings of a commodity price not related to supply/ demand... Rule Change as Modified by Amendment No. 1 To List and Trade Shares of the JPM XF Physical Copper Trust...\\ a proposed rule change to list and trade shares (``Shares'') of the JPM XF Physical Copper Trust...

  15. 77 FR 61803 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-10-11

    ... daily volume (``CADV''): Company name Symbol Cisco Systems, Inc CSCO Dell Inc DELL Facebook, Inc FB... Room, 100 F Street NE., Washington, DC 20549, on official business days between the hours of 10 a.m...

  16. 78 FR 9985 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-02-12

    ... Symbol Cisco Systems, Inc CSCO Dell Inc DELL Facebook, Inc FB Intel Corporation INTC Microsoft... Reference Room, 100 F Street NE., Washington, DC 20549, on official business days between the hours of 10:00...

  17. 78 FR 31623 - Self-Regulatory Organizations; NYSE Arca Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-05-24

    ... Complex Order in the Complex Order Book, and one of the legs qualifies for Obvious Error treatment under... Complex Order trades with another Complex Order in the Complex Order Book where one leg qualifies for the... its current practice for handling situations in which a Complex Order trades with individual orders or...

  18. 78 FR 54715 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-09-05

    ...), (ii) based on a price quotation or other equivalent indication of value supplied by an exchange, a pricing service, or a major market maker (or dealer) or (iii) based on amortized cost.\\11\\ The Adviser may... based on such pricing service's valuation matrix may be considered a market valuation. Valuations with...

  19. 77 FR 42533 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-07-19

    ... corporate governance documents.\\8\\ \\7\\ See Section 3(a)(27) of the Act, 15 U.S.C. 78c(a)(27). \\8\\ See... Bylaws, along with other corporate documents, are rules of the Exchange \\7\\ and must be filed with the... Corporate Structure and Deletion of Duplicative or Obsolete Text The proposed rule changes reflect the...

  20. 75 FR 14217 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-03-24

    ... of series being out-of-the-money. For example, a market participant might have a long position in a... multiplier). Because the instant rule change would allow trading below $0.01 per share (or $1.00 per option contract with a 100 share multiplier), the procedures would be made available for all classes, including...

  1. 78 FR 77536 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-23

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

  2. 75 FR 77930 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-12-14

    ... recent market conditions which had resulted in a significant number of series being out-of-the-money. For....01 per share (or $1.00 per option contract with a 100 share multiplier). Because the instant rule... multiplier), the procedures would be made available for all classes, including those classes participating in...

  3. 77 FR 30574 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-05-23

    ...-money. For example, a market participant might have a long position in a call series with a strike price... increment as low as $0.01 per share (or $1.00 per option contract with a 100 share multiplier). Because the... multiplier), the procedures are available for all classes, including those classes participating in the Penny...

  4. 76 FR 27122 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-05-10

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

  5. 76 FR 10073 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-02-23

    ..., primarily China, Hong Kong, India, Indonesia, South Korea, Malaysia, the Philippines, Singapore, Taiwan, and... par value traded to be considered as an eligible investment. Economic and other conditions in Asia may... will change from time to time in response to economic events and changes to the credit ratings of the...

  6. 76 FR 23849 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-04-28

    ... indexes.\\4\\ \\4\\ For example, CBOE calculates the CBOE Gold ETF Volatility Index (``GVZ''), which is based on the VIX methodology applied to options on the SPDR Gold Trust (``GLD''). The current filing would... less), as well as for other exchange-traded fund (``ETF'') options. See Rule 6.4, Commentary .05...

  7. 77 FR 75468 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order...

    Science.gov (United States)

    2012-12-20

    ... attempted manipulation of the price of any commodity in interstate commerce and to adopt rules to prevent... attempts; CFTC Rule 180.2 addresses the elements of price-based manipulation and attempted manipulation... Tape trading volume, closing prices, and NAV for the Shares from the previous day.\\41\\ In addition...

  8. 78 FR 78426 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt...

    Science.gov (United States)

    2013-12-26

    ... manipulation.\\44\\ The Exchange anticipates monitoring the secondary market price for shares of an ETP during...); and (C) was quoting an offer (bid) of at least 100 shares at a price at or within 1.2% of the CP's... certain maximum width and minimum depth thresholds based on daily share volume and share price, as set...

  9. 77 FR 67417 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a...

    Science.gov (United States)

    2012-11-09

    ... fee cap would eliminate the incentive for market participants to effect such executions on the... discriminatory because it would apply equally to all market participants and because the remaining Strategy... elimination of the $750 fee cap would eliminate the incentive for market participants to effect such...

  10. 77 FR 68163 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-15

    ... Marketing Charge of $0.65 currently applies to LMM and Market Maker transactions against Customers. The... applicable to manual transactions in non-Penny Pilot issues, except that, as proposed, Marketing Charges..., Broker Dealer and Customer electronic executions would become ``N/A'' with respect to standard executions...

  11. 77 FR 9278 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-02-16

    ...-Cancel orders, which are liquidity removing in nature. Maintain a ratio of executed liquidity adding... and promote liquidity on the Exchange. The Exchange does not propose to make any changes to the... share for executed orders that provide liquidity to the Book for Tape A, Tape B and Tape C securities...

  12. 78 FR 41154 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-07-09

    ...., maintaining a ratio of executed Routable Order provide liquidity to total executed orders of 75% or more... Credits for Certain Mid-Point Passive Liquidity Orders, Add Two New Tiers Applicable to Transactions in...-Point Passive Liquidity (``MPL'') Orders, (ii) add two new tiers applicable to transactions in Tape B...

  13. 77 FR 28411 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-05-14

    ... over their Baseline Month providing liquidity. Additionally, if a firm's ratio of Tape C Baseline ADV... liquidity from the Book to pay a reduced fee of $0.0029 per share if they directly execute providing volume... Holders' and Market Makers' total providing liquidity in Tape A, Tape B, and Tape C Securities increasing...

  14. 77 FR 47905 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-10

    ...-or-Cancel orders, and (3) maintain a ratio of executed liquidity adding volume-to-total volume of... of CADV, ratio of cancelled orders to total orders and ratio of executed liquidity adding volume-to... ratio of executed liquidity adding volume to total volume of greater than 80%, which is the same ratio...

  15. 77 FR 15819 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-03-16

    ... to the Book that (1) provide liquidity of 0.60% or more of the US CADV, (2) maintain a ratio of... ratio of executed liquidity adding volume to total volume of greater than 50%. In addition, the Exchange... Schedule (``Fee Schedule'') to (i) Increase the fee for Mid-Point Passive Liquidity (``MPL'') orders...

  16. 78 FR 77765 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-24

    ... kilowatts (``kWs'') of power.\\7\\ Consistent with existing pricing for dedicated cabinets, the Exchange would... power or limited cabinet space, as compared to pricing for a dedicated cabinet, whereas a dedicated...,500 per eight-rack unit. The monthly recurring fee would be $1,500 for one kW of allocated power and...

  17. 76 FR 69311 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-11-08

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

  18. 77 FR 42529 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-19

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

  19. 78 FR 20986 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-08

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

  20. 77 FR 58433 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposes...

    Science.gov (United States)

    2012-09-20

    ... for market participants risk management needs in a stock. In these situations, the Exchange [[Page... unable to add additional series to tailor the risk management needs of market participants in the stock... term strikes to effectively manage their risk in the underlying stock, CROX. Because of the current...

  1. 77 FR 50743 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Amending...

    Science.gov (United States)

    2012-08-22

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

  2. 75 FR 6740 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-02-10

    ... ProShares UltraShort QQQ. 200 CAL Continental Airlines Inc. 149 SHLD Sears Holdings Corp. 211 CF CF... XTO Energy Inc. 213 JWN Nordstrom Inc. 130 YRCW YRC Worldwide Inc. 137 KFT Kraft Foods Inc. 2...

  3. 78 FR 10222 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-02-13

    ... in money market instruments (including other funds that invest exclusively in money market instruments). These investments in money market instruments may be as part of a temporary defensive strategy... instrument investments, the Fund may, without limitation, seek to obtain market exposure to the securities in...

  4. 76 FR 34112 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-06-10

    ... market conditions. The Fund may also invest in short-term Money Market Securities (as defined below... Market Securities. The Fund intends to invest in Money Market Securities in order to help manage cash... instruments. For these purposes, Money Market Securities include: short-term, high-quality obligations issued...

  5. 76 FR 35062 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-06-15

    ... derivative instruments. All Money Market Securities acquired by the Fund will be rated investment grade. The Fund does not intend to invest in any unrated Money Market Securities. \\11\\ For these purposes, Money... 65% of the weight of the Fund. The Fund intends to invest in Money Market Securities \\11\\ in order to...

  6. 77 FR 64160 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2012-10-18

    .... Secondary Investment Strategies The Fund may invest its remaining assets in money market instruments,\\12\\ including repurchase agreements \\13\\ or other funds which invest exclusively in money market instruments... managing cash flows.\\17\\ \\12\\ The Fund may invest a portion of its assets in high-quality money market...

  7. 76 FR 44966 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2011-07-27

    ... Income Securities, Money Market Securities, and derivative instruments held by the Fund. The Fund's Web... invest in Money Market Securities and derivative and other instruments, as described below. \\12\\ The term... shorter depending upon market conditions. The Fund may also invest in short-term Money Market Securities...

  8. 78 FR 4955 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-01-23

    ... agreements \\15\\ or other funds which invest exclusively in money market instruments, convertible securities... Fund may invest a portion of its assets in high-quality money market instruments on an ongoing basis to... international transactions. The Fund will not invest in money market instruments as part of a temporary...

  9. 77 FR 43408 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-07-24

    ... fees and credits, Tiered or Basic Rates would apply based on a firm's qualifying levels. The Exchange... receive a higher credit for such executions. In contrast, the Exchange proposes permitting Investor Tier 3... an overall credit rate that is higher than that which is available under Investor Tiers 1 or 2. \\5...

  10. 77 FR 46539 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-08-03

    ... would already receive a higher credit for Retail Orders that provide liquidity on the Exchange. An ETP... additional Retail Orders to the Exchange for execution in order to qualify for an incrementally higher credit..., promoting market transparency and improving investor protection. The Exchange believes that the rate...

  11. 78 FR 75423 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2013-12-11

    ... substantially the same as a direct investment in a foreign currency- denominated instrument. For hedging... Securities.\\19\\ Foreign government securities may include direct obligations, as well as obligations... such investments (to the extent used to cover the Fund's net exposure under the forward foreign...

  12. 77 FR 61453 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-10-09

    ... market country. Foreign debt securities include direct investments in non-U.S. dollar-denominated debt... for economic growth and increased capital market participation by foreign investors. The Investment... sufficiently liquid at the time of investment.\\13\\ Foreign government obligations may include debt obligations...

  13. 77 FR 23772 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-04-20

    ... been inconsistent suppliers of copper since the mid-1970s due to political and social instability...) financial stability, (3) consumer protection, and (4) reduction of financial crime. The LME is approved as a...

  14. 77 FR 14048 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-03-08

    ... taxation, adverse changes in investment or exchange control regulations, political instability, which could... principal stability than is typically available in a portfolio of lower-rated longer-term, fixed income...

  15. 75 FR 66815 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-10-29

    ... Change Relating to the Listing of the iShares[supreg] Taxable Municipal Bond Fund October 25, 2010... Equities Rule 5.2(j)(3), Commentary .02, the following series of the iShares[supreg] Trust: iShares[supreg] Taxable Municipal Bond Fund. The text of the proposed rule change is available at the Exchange, the...

  16. 75 FR 11216 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2010-03-10

    ..., 2009) (SR-NYSEArca-2009-83) (order approving listing of Grail American Beacon International Equity ETF... appreciation above international benchmarks, such as the BNY Mellon Classic ADR Index and the MSCI EAFE Index... process include demographics, global commerce, outsourcing, the growing global middle class and the...

  17. 75 FR 37498 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2010-06-29

    ..., 2009) (SR-NYSEArca-2009-83) (order approving listing of Grail American Beacon International Equity ETF... international benchmarks such as the BNY Mellon Classic ADR Index, the Fund's primary benchmark, and the MSCI... incorporated in the Portfolio Managers' investment process include demographics, global commerce, outsourcing...

  18. 75 FR 38576 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. To...

    Science.gov (United States)

    2010-07-02

    ... were to be made available on the proxy card) must immediately tender his or her resignation from the.... Under the proposed amendment to the Bylaws, the proxy card would change for an uncontested election, and... director's election (with ``abstentions'' not counted as a vote cast either ``for'' or ``against'' such...

  19. 78 FR 41145 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-07-09

    ... remaining assets in U.S. government securities, money market instruments (including repurchase agreements...-term, high quality U.S. Treasury Securities, money market instruments, cash, and cash equivalent... circumstances, may invest no more than 20% of its net assets in other investments such as money market...

  20. 77 FR 69677 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Changes...

    Science.gov (United States)

    2012-11-20

    ... executive officer of such limited liability company, or (4) a general partner in an OTP Firm partnership...). \\7\\ ``OTP Firm'' means a sole proprietorship, partnership, corporation, limited liability company, or... Firms. \\13\\ An ``ETP Holder'' is a sole proprietorship, partnership, corporation, limited liability...

  1. 77 FR 34117 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-08

    ... market funds, bank deposits, bank money market accounts, certain variable rate-demand notes, and...- income or similar securities (including shares of money market funds, bank deposits, bank money market...\\ Currently, it is the Exchange's understanding that several major market data vendors display and/or make...

  2. 77 FR 1761 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-01-11

    ... securities and money market instruments include shares of other mutual funds, commercial paper, certificates... such as Bloomberg or Reuters. \\18\\ The Exchange states that it understands that several major market... intent of profiting from the least promising sectors of U.S. large capitalization broad market securities...

  3. 76 FR 72474 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-11-23

    ..., macroeconomic and technical factors influencing stock returns. The SectorSAM process creates a basket of factors... every 15 seconds during the Core Trading Session.\\20\\ \\20\\ Currently, it is the Exchange's understanding...

  4. 78 FR 21436 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-10

    ... month per device, which may be counted, at the election of the vendor based on the number of... decision of the United States Court of Appeals for the District of Columbia Circuit in NetCoalition v. SEC...Exchange Inc. had been abandoned, Assistant Attorney General Christine Varney stated that exchanges...

  5. 78 FR 11245 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-02-15

    ... Statement, corporate debt securities are fixed-income securities issued by businesses to finance their....P. (``Distributor'') will be the principal underwriter and distributor of the Fund's Shares. Brown... domestic debt instruments, including corporate bonds, high yield bonds, convertible securities, and...

  6. 77 FR 50746 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Amending...

    Science.gov (United States)

    2012-08-22

    ....\\14\\ Additionally, the Exchange represents that there is no differentiation among Users regarding the fees charged for a particular product, service or piece of equipment. In light of the Exchange's...

  7. 78 FR 60361 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-10-01

    ... intended to address any other issues, and the Exchange is not aware of any problems that OTP Holders or OTP... competitors are free to modify their own fees and credits in response, and because market participants may...

  8. 75 FR 70048 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-11-16

    ... Exchange's trading and execution systems.\\5\\ The Exchange plans to offer these co-location services... cabinet space. Specifically, Users may reserve cabinet space of up to 30% of the cabinet space under...% measurement results in a fractional cabinet, the cabinet count is adjusted up to the next increment.) If...

  9. 77 FR 35089 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-12

    ... credits for electronic executions of posted Customer liquidity in Penny Pilot issues and to amend the fees... in Penny Pilot issues: Tier Qualification basis (average electronic executions per day) ** Credit... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67143; File No. SR-NYSEArca-2012-52] Self...

  10. 78 FR 7828 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-02-04

    ... credits for electronic executions in Penny Pilot issues. See Securities Exchange Act Release No. 68405... Posting Credits January 29, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934... qualification thresholds for tiered Customer \\4\\ posting credits for electronic executions in Penny Pilot issues...

  11. 75 FR 62905 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change...

    Science.gov (United States)

    2010-10-13

    ... of high yield debt securities, which include senior and subordinated corporate debt obligations (such... banks, corporations and other entities to finance short- term credit needs. These securities generally..., rather than just traditional credit analysis. Through fundamental and valuation analysis, the Sub-Advisor...

  12. 77 FR 62303 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-10-12

    ... attendant therewith, may dissuade investors from using SPY options when they can instead use an SPX option... own account or for the account of a customer, must report information, in a manner and form prescribed... surrounding the use of options. The Exchange understands that the Commission, when considering the appropriate...

  13. 78 FR 76367 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2013-12-17

    ... barriers between itself and its broker dealer affiliate; (ii) the use of unallocated gold accounts by other... facilities of the Consolidated Tape Association (``CTA''). Investors may obtain gold pricing information.... Investors may obtain on a 24-hour basis gold pricing information based on the spot price for a Fine Ounce of...

  14. 75 FR 26304 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc...

    Science.gov (United States)

    2010-05-11

    ... Euronext Audit Committee. To make the practices of the Exchange consistent with the company- wide corporate... Exchange consistent with the company- wide corporate practices of the Company, the Exchange is now... resource and compensation committee, and a nominating and governance committee, each consisting solely of...

  15. 78 FR 21650 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-04-11

    ... corporate governance documents.\\8\\ \\7\\ See Section 3(a)(27) of the Act, 15 U.S.C. 78c(a)(27). \\8\\ The..., along with other corporate documents, are rules of the Exchange \\7\\ and must be filed with the... designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable...

  16. 76 FR 8388 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List...

    Science.gov (United States)

    2011-02-14

    .... The Bank of New York Mellon Corporation is the administrator, Fund accountant, transfer agent and... policies, distributions and taxes, availability of information, trading rules and halts, and surveillance...

  17. 78 FR 66973 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2013-11-07

    ... the administrator, accountant, custodian and transfer agent for the Fund (``Administrator,'' ``Accountant,'' ``Custodian'' and ``Transfer Agent,'' respectively). \\4\\ A Managed Fund Share is a security... expenses, dividends, distributions, taxes, risks, and reports to be distributed to beneficial owners of the...

  18. 77 FR 35097 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-06-12

    ... redemption procedures, fees, portfolio holdings, disclosure policies, distributions, and taxes can be found... calculated by the Trust's fund accountant and determined as of the close of the regular trading session on...

  19. 78 FR 71016 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-11-27

    ... Method of Billing When More Than One Pricing Tier Could Be Applicable November 21, 2013. Pursuant to... specify the method of billing when more than one pricing tier could be applicable. The Exchange proposes... 1. Purpose The Exchange proposes to specify the method of billing when more than one pricing tier...

  20. 75 FR 82106 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2010-12-29

    .... Treasury futures markets. The Benchmark consists of U.S. listed futures contracts on sixteen tangible..., coffee, cocoa, cotton, and sugar. The eight financial futures contracts are on: the Australian dollar... contracts included in the Benchmark. In addition, the Fund may invest in money market instruments with...

  1. 78 FR 40786 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-07-08

    ..., and the backup datacenter has not yet been utilized for disaster recovery. The Exchange notes that the..., including costs based on gateway software and hardware enhancements and resources dedicated to gateway... efficiently, please use only one method. The Commission will post all comments on the Commission's Internet...

  2. 76 FR 27114 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-05-10

    ... and discount brokerage firms. These firms have few registered representatives and thus pay very little in RR Fees compared to full service brokerage firms that have many registered representatives... (``ORF'') of $0.004 per contract.\\5\\ As described below, this fee would be assessed by the Exchange on...

  3. 77 FR 38877 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-06-29

    ... activity (measured in terms of contract volume per quarter) in classes within its appointment. Commentary... options in which they do not hold an appointment in other than a floor brokerage capacity, they must... contracts outside of their appointment, market makers should not engage in transactions for an account in...

  4. 76 FR 75926 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-12-05

    ... Fund so as to provide investors with a higher degree of principal stability than is typically available... instability which could affect U.S. investments in foreign countries, and potential restrictions of the flow... disaster, an economic event like a bankruptcy filing, a trading halt in a security, an unscheduled early...

  5. 77 FR 63362 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-10-16

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

  6. 77 FR 61804 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-10-11

    ... must maintain a minimum par amount greater than or equal to $2 million as of each rebalancing date. All... account for at least 75% of the weight of the index or portfolio each shall have a minimum original... rebalancing date. All bonds in the 2019 Index will mature between June 1 and August 31 of 2019. When a bond...

  7. 78 FR 69493 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-11-19

    ... the cap would remedy this issue. Currently, the Exchange lists quarterly expiration options on six... paragraph (iv) during the financial crisis in 2008. The amendment was in response to requests for lower..., and all written communications relating to the proposed rule change between the [[Page 69496...

  8. 78 FR 74208 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-10

    ... systemically enforced narrow-width bid-ask differential applicable to the auction process. Since the time of... narrow-width NBBO is received from OPRA. This is a systemic solution which renders the rules-based narrow...

  9. 76 FR 33383 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-06-08

    ... orderly market. Rule 501 generally deals with the process of applying for approval as a specialist that... Arca, Inc. (``NYSE Arca''). Only electronic options trading is done on other exchanges, such as the... would deal predominantly with the Remote Specialist application process and Rule 1020 would deal with...

  10. 77 FR 36324 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-06-18

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

  11. 78 FR 47465 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-05

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

  12. 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...

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

    Science.gov (United States)

    2013-12-04

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

  15. 75 FR 31500 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving Proposed Rule Change To Establish...

    Science.gov (United States)

    2010-06-03

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

  16. 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...

  17. 78 FR 21469 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-04-10

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

  18. 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...

  19. 76 FR 24945 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-05-03

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

  20. 76 FR 18276 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-04-01

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

  1. 78 FR 28926 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-05-16

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

  2. 77 FR 47138 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-08-07

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

  3. 77 FR 7637 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-02-13

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

  4. 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...

  5. 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...

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

    Science.gov (United States)

    2012-04-18

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

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

    Science.gov (United States)

    2010-12-22

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

  8. 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...

  9. 75 FR 41264 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Amendment Nos. 2 and 3, and...

    Science.gov (United States)

    2010-07-15

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

  10. 75 FR 20401 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change, and...

    Science.gov (United States)

    2010-04-19

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

  11. 76 FR 65272 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Relating...

    Science.gov (United States)

    2011-10-20

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

  12. 75 FR 479 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving the Proposed Rule Change, as...

    Science.gov (United States)

    2010-01-05

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

  13. 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...

  14. 78 FR 18660 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-27

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

  15. 77 FR 68191 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Deleting...

    Science.gov (United States)

    2012-11-15

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

  16. 77 FR 40673 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Granting...

    Science.gov (United States)

    2012-07-10

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

  17. 77 FR 37945 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-25

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

  18. 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...

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

    Science.gov (United States)

    2011-03-22

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

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

    Science.gov (United States)

    2012-02-16

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

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

    Science.gov (United States)

    2011-12-19

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

  2. 78 FR 16905 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-03-19

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

  3. 78 FR 39369 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Relating to...

    Science.gov (United States)

    2013-07-01

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

  4. 76 FR 71405 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change To Codify...

    Science.gov (United States)

    2011-11-17

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

  5. 76 FR 27118 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-05-10

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

  6. 77 FR 67419 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a...

    Science.gov (United States)

    2012-11-09

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

  7. 75 FR 54671 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-09-08

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

  8. 77 FR 66902 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-11-07

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

  9. 75 FR 31494 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-06-03

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

  10. 77 FR 29721 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-05-18

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

  11. 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...

  12. Analysis of the ArcA regulon in anaerobically grown Salmonella enterica sv. Typhimurium

    Directory of Open Access Journals (Sweden)

    Porwollik Steffen

    2011-03-01

    Full Text Available Abstract Background Salmonella enterica serovar Typhimurium (S. Typhimurium is a Gram-negative pathogen that must successfully adapt to the broad fluctuations in the concentration of dissolved dioxygen encountered in the host. In Escherichia coli, ArcA (Aerobic Respiratory Control helps the cells to sense and respond to the presence of dioxygen. The global role of ArcA in E. coli is well characterized; however, little is known about its role in anaerobically grown S. Typhimurium. Results We compared the transcriptional profiles of the virulent wild-type (WT strain (ATCC 14028s and its isogenic arcA mutant grown under anaerobic conditions. We found that ArcA directly or indirectly regulates 392 genes (8.5% of the genome; of these, 138 genes are poorly characterized. Regulation by ArcA in S. Typhimurium is similar, but distinct from that in E. coli. Thus, genes/operons involved in core metabolic pathways (e.g., succinyl-CoA, fatty acid degradation, cytochrome oxidase complexes, flagellar biosynthesis, motility, and chemotaxis were regulated similarly in the two organisms. However, genes/operons present in both organisms, but regulated differently by ArcA in S. Typhimurium included those coding for ethanolamine utilization, lactate transport and metabolism, and succinate dehydrogenases. Salmonella-specific genes/operons regulated by ArcA included those required for propanediol utilization, flagellar genes (mcpAC, cheV, Gifsy-1 prophage genes, and three SPI-3 genes (mgtBC, slsA, STM3784. In agreement with our microarray data, the arcA mutant was non-motile, lacked flagella, and was as virulent in mice as the WT. Additionally, we identified a set of 120 genes whose regulation was shared with the anaerobic redox regulator, Fnr. Conclusion(s We have identified the ArcA regulon in anaerobically grown S. Typhimurium. Our results demonstrated that in S. Typhimurium, ArcA serves as a transcriptional regulator coordinating cellular metabolism, flagella

  13. 77 FR 59030 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule...

    Science.gov (United States)

    2012-09-25

    ... (collectively, ``Derivative Securities Products'') \\5\\ when applying the quantitative generic listing criteria... or other Derivative Securities Products. \\4\\ The Exchange notes that NYSE Arca uses the term...\\ Rule 14.11 includes criteria for derivative securities that may be listed or traded on the Exchange...

  14. 75 FR 25887 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-05-10

    ... Generally Accepted Accounting Principles (GAAP). The Exchange also proposes to require firms that fail to... by Amendment No. 1, by NYSE Arca, Inc. Amending Rule 4, Capital Requirements, Financial Reports... Change The Exchange proposes to amend certain financial rules contained in Rule 4. A copy of this filing...

  15. 77 FR 7225 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-10

    ... particular venue to be excessive. The proposed rule change reflects a competitive pricing structure designed... BATS + NYSE Arca destination specific routing option to continue to offer a ``one under'' pricing model... exchange that is routed to plus or minus a certain differential. EDGA's pricing is consistent with this...

  16. 75 FR 34490 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change To...

    Science.gov (United States)

    2010-06-17

    ..., there are a variety of alternative sources of information that impose significant competitive pressures..., imposed significant competitive pressure on BX to act equitably, fairly, and reasonably in setting the.... As in the Commission's NYSE Arca Order analysis, at least two broad types of significant competitive...

  17. 75 FR 31830 - Self-Regulatory Organizations; Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc...

    Science.gov (United States)

    2010-06-04

    ..., impose significant competitive pressure on Phlx to act equitably, fairly, and reasonably in setting the... NYSE Arca Order, the Commission also stated that, ``when possible, reliance on competitive forces is....'' \\36\\ If an exchange ``was subject to significant competitive forces in setting the terms of a proposal...

  18. 76 FR 79748 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2011-12-22

    ... designed to provide a vehicle for investors to own interests in silver. The purpose of the SLV Trust is to... expenses. The ETFs underlying SLV and USO options, which are listed on NYSE Arca, are not affected or... counter-productive and more costly, for ETF option traders and investors that are trying to achieve...

  19. Assesment of trace elements and organic pollutants from a marine oil complex into the coral reef system of Cayo Arcas, Mexico.

    Science.gov (United States)

    Cram, Silke; Ponce De León, Claudia A; Fernández, Pilar; Sommer, Irene; Rivas, Hilda; Morales, Luis Miguel

    2006-10-01

    Possible contaminants produced by the Petroleos Mexicanos (PEMEX) marine oil complex in the vicinity of the Cayo Arcas (Mexico) coral reef ecosystem were evaluated by analyzing sediments and sea water for hydrocarbons and metal elements. We found that the concentrations of aliphatic hydrocarbons in the sea water were generally low, with the highest values detected near the oil station; the concentration of polycyclic aromatic hydrocarbons (PAHs) was generally below the detection limit. The hydrocarbons found in the sediments seem to have a pyrogenic origin, and were probably produced by marine traffic in the study area. The total PAH concentration did not exceed the NOAA criteria, although levels of some individual PAHs did. The only metal detected in the sea water at high concentrations was nickel. The Ni/V ratio in the sediments indicates the contribution of crude oil to the system. The high content of Ni and Zn was attributed to the ballast waters from the oil tankers that load at the station's monobuoys. The presence of fine sediments that commonly originate from terrestrial ecosystems supported this assumption.

  20. 77 FR 34442 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-11

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

  1. 75 FR 18556 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-04-12

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

  2. 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...

  3. 78 FR 47450 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-05

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

  4. 76 FR 41539 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Amending...

    Science.gov (United States)

    2011-07-14

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

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

    Science.gov (United States)

    2012-07-16

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

  6. 78 FR 73223 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-05

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

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

    Science.gov (United States)

    2013-02-21

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

  8. 78 FR 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...

  9. 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...

  10. 76 FR 44061 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-07-22

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

  11. 75 FR 71777 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2010-11-24

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

  12. 78 FR 42807 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-07-17

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

  13. The emergence of the Activity Reduces Conflict Associated Strain (ARCAS) model: a test of a conditional mediation model of workplace conflict and employee strain

    NARCIS (Netherlands)

    Dijkstra, M.T.M.; Beersma, B.; Cornelissen, R.A.W.M.

    2012-01-01

    To test and extend the emerging Activity Reduces Conflict-Associated Strain (ARCAS) model, we predicted that the relationship between task conflict and employee strain would be weakened to the extent that people experience high organization-based self-esteem (OBSE). A survey among Dutch employees

  14. The emergence of the activity reduces conflict related strain (ARCAS) model: A test of a conditional mediation model of workplace conflict and employee strain

    NARCIS (Netherlands)

    Dijkstra, M.T.M.; Beersma, B.; Cornelissen, R. A. W. M.

    2012-01-01

    To test and extend the emerging Activity Reduces Conflict-Associated Strain (ARCAS) model, we predicted that the relationship between task conflict and employee strain would be weakened to the extent that people experience high organization-based self-esteem (OBSE). A survey among Dutch employees

  15. Automated Real-Time Clearance Analyzer (ARCA), Phase I

    Data.gov (United States)

    National Aeronautics and Space Administration — The Automated Real-Time Clearance Analyzer (ARCA) addresses the future safety need for Real-Time System-Wide Safety Assurance (RSSA) in aviation and progressively...

  16. The emergence of the Activity Reduces Conflict Associated Strain (ARCAS) model: a test of a conditional mediation model of workplace conflict and employee strain.

    Science.gov (United States)

    Dijkstra, Maria T M; Beersma, Bianca; Cornelissen, Roosmarijn A W M

    2012-07-01

    To test and extend the emerging Activity Reduces Conflict-Associated Strain (ARCAS) model, we predicted that the relationship between task conflict and employee strain would be weakened to the extent that people experience high organization-based self-esteem (OBSE). A survey among Dutch employees demonstrated that, consistent with the model, the conflict-employee strain relationship was weaker the higher employees' OBSE and the more they engaged in active problem-solving conflict management. Our data also revealed that higher levels of OBSE were related to more problem-solving conflict management. Moreover, consistent with the ARCAS model, we could confirm a conditional mediation model in which organization-based self-esteem through its relationship with problem-solving conflict management weakened the relationship between task conflict and employee strain. Potential applications of the results are discussed.

  17. 77 FR 35455 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed...

    Science.gov (United States)

    2012-06-13

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

  18. 76 FR 53015 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-24

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

  19. ARCA II - a new apparatus for fast, repetitive HPLC separations

    International Nuclear Information System (INIS)

    Schaedel, M.; Bruechle, W.; Jaeger, E.; Schimpf, E.; Kratz, J.V.; Scherer, U.W.; Zimmermann, H.P.

    1989-04-01

    The microcomputer controlled Automated Rapid Chemistry Apparatus, ARCA, is described in its newly designed version for the study of chemical properties of element 105 in aqueous solutions. This improved version, ARCA II, is adapted to the needs of fast and repetitive separations to be carried out in a chemically inert automated micro high performance liquid chromatography system. As an example, the separation of several group IIIB, IVB, and VB elements in the system triisooctylamine/hydrochloric acid within 30 s is demonstrated. Furthermore, a new method for the fast preparation of samples for α-particle spectroscopy by evaporation of the aqueous effluent with an intense light source is presented. (orig.)

  20. Plan de intervención para disminuir el estrés por sobrecarga laboral, en el área de capital humano de la Empresa Arca Continental, en el periodo de marzo – agosto 2016.

    OpenAIRE

    Tufiño Romo, Gissela Carolina

    2017-01-01

    The fundamental objective of this investigation is analyze the evaluation of the conduct of psychosocial risk stress generated by work overload, in the area of human capital of ARCA Continental S.A. company; in this way we propose measures that will enable us to control and minimize the presence of stress at work, therefore we can be able to preserve an environment or pleasant working climate within the organization. In this investigation we analyze the presence of the ps...

  1. The bacterial response regulator ArcA uses a diverse binding site architecture to regulate carbon oxidation globally.

    Directory of Open Access Journals (Sweden)

    Dan M Park

    Full Text Available Despite the importance of maintaining redox homeostasis for cellular viability, how cells control redox balance globally is poorly understood. Here we provide new mechanistic insight into how the balance between reduced and oxidized electron carriers is regulated at the level of gene expression by mapping the regulon of the response regulator ArcA from Escherichia coli, which responds to the quinone/quinol redox couple via its membrane-bound sensor kinase, ArcB. Our genome-wide analysis reveals that ArcA reprograms metabolism under anaerobic conditions such that carbon oxidation pathways that recycle redox carriers via respiration are transcriptionally repressed by ArcA. We propose that this strategy favors use of catabolic pathways that recycle redox carriers via fermentation akin to lactate production in mammalian cells. Unexpectedly, bioinformatic analysis of the sequences bound by ArcA in ChIP-seq revealed that most ArcA binding sites contain additional direct repeat elements beyond the two required for binding an ArcA dimer. DNase I footprinting assays suggest that non-canonical arrangements of cis-regulatory modules dictate both the length and concentration-sensitive occupancy of DNA sites. We propose that this plasticity in ArcA binding site architecture provides both an efficient means of encoding binding sites for ArcA, σ(70-RNAP and perhaps other transcription factors within the same narrow sequence space and an effective mechanism for global control of carbon metabolism to maintain redox homeostasis.

  2. Flight test of a spin parachute for use with a Super Arcas sounding rocket

    Science.gov (United States)

    Silbert, M. N.

    1975-01-01

    The development and flight testing of a specially configured 16.6 ft Disc Band Gap (DBG) Spin Parachute is discussed. The parachute is integrated with a modified Super Arcas launch vehicle. Total payload weight was 17.6 lbs including the Spin Parachute and a scientific payload, and lift-off weight was 100.3 lbs. The Super Arcas vehicle was despun from 18.4 cps. After payload separation at 244,170 ft the Spin Parachute and its payload attained a maximum spin rate of 2.4 cps. Total suspended weight of the Spin Parachute and its payload was 14.64 lbs.

  3. Biosorption of heavy metals and radionuclide from aqueous solutions by pre-treated arca shell biomass

    International Nuclear Information System (INIS)

    Dahiya, Sudhir; Tripathi, R.M.; Hegde, A.G.

    2008-01-01

    In this study biosorption potential of pre-treated arca shell biomass for lead, copper, nickel, cobalt and cesium was explored from the artificially prepared solution containing known amount of metals. The effects of pH, initial concentration, biosorbent dosage and contact time were studied in batch experiments. Effects of common ions like sodium, potassium, calcium and magnesium on the sorption capacity of pre-treated arca biomasses were also studied. To analyse the homogeneity of the biomaterial, experiments were performed for eight lots arca shell biomass for all the studies elements and it was observed that relative standard deviation in uptake capacity was within 10% for all elements. At equilibrium, the maximum total uptake by shell biomaterial was 18.33 ± 0.44, 17.64 ± 0.31, 9.86 ± 0.17, 3.93 ± 0.11 and 7.82 ± 0.36 mg/g for lead, copper, nickel, cesium and cobalt, respectively, under the optimised condition of pH, initial concentration, biosorbent dose and contact time. Effect of all the common ions jointly up to concentration of 50 ppm was negligible for all the elements but at higher levels the cations affects the uptake capacity. Sorption isotherms were studied to explain the removal mechanism of both elements by fitting isotherms data into Lagergren, Freundlich and Langmuir equations. Halls separation factor estimated under optimised condition also favours the sorption potential of these elements using arca shell biomass. Arca shell biomass can be effectively and efficiently employed for removal of studied elements after optimisation of parameters

  4. 75 FR 57092 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-09-17

    ... at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the..., there is no economic basis for regulating maximum prices for one of the joint products in an industry in... Arca did before registering as exchanges by publishing proprietary book data on the Internet. Second...

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

    OpenAIRE

    Ali Kabiri

    2012-01-01

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

  6. 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.

  7. 77 FR 72902 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-12-06

    ... of NYSE Risk Management Gateway). B. Self-Regulatory Organization's Statement on Burden on...-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Availability of Risk Management Tools November 30, 2012. Pursuant to Section...

  8. 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...

  9. 75 FR 68390 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-11-05

    .... currency. NYSE Liffe US, LLC (``NYL'') is proposing to introduce for trading futures contracts on certain... established on the prior business day. However, because of time zone differences and the planned use of... of European banks and time zone differences. \\3\\ 15 U.S.C. 78q-1. (B) Self-Regulatory Organization's...

  10. 76 FR 81968 - United States v. Deutsche Börse AG and NYSE Euronext; Proposed Final Judgment and Competitive...

    Science.gov (United States)

    2011-12-29

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

  11. 78 FR 35330 - Order Granting a Limited Exemption from Rule 102 of Regulation M Concerning the NYSE Arca, Inc.'s...

    Science.gov (United States)

    2013-06-12

    ... Milken Institute Law Teaching Fellow, University of California, Los Angeles, dated April 26, 2013. The... Incentive Program shall issue a press release to the public, in a form and manner prescribed by the Exchange, when it commences participation or ceases to participate in the Incentive Program.\\12\\ Such press...

  12. 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.

  13. 78 FR 65963 - Foreign-Trade Zone 277-Western Maricopa County, Arizona; Schoeller Arca Systems, Inc. (Plastic...

    Science.gov (United States)

    2013-11-04

    ... DEPARTMENT OF COMMERCE Foreign-Trade Zones Board [B-64-2013] Foreign-Trade Zone 277--Western Maricopa County, Arizona; Schoeller Arca Systems, Inc. (Plastic Containers Production); Goodyear, Arizona On June 13, 2013, the Greater Maricopa Foreign Trade Zone, Inc., grantee of FTZ 277, submitted a...

  14. Biochemical and fatty acid composition of Arca noae (Bivalvia: Arcidae from the Mali Ston Bay, Adriatic Sea

    Directory of Open Access Journals (Sweden)

    I. DUPCIC RADIC

    2014-03-01

    Full Text Available Biochemical and fatty acid composition of the bivalve Arca noae were investigated in the Mali Ston Bay in relation to environmental conditions. Sampling was carried out monthly, from December 2001 to November 2002. Wet shellfish meat consists on average of 77.61% water and 22.39% dry matter, while dry shellfish meat consists on average of 89.04% organic and 10.96% inorganic matter. PCA analysis identified temperature, nitrate, silicate, MICRO, Chl a and salinity as the most important environmental factors influencing biochemical composition of A. noae. An increase of dry weight content of A. noae was observed during the spring when both the sea temperature and food supply increased rapidly. Contents of protein (54.39-62.06% of dry weight, carbohydrate (4.13-8.07% of dry weight and lipid (3.46-8.58% of dry weight varied significantly during the year. Protein and lipid level reached the maximum value in June. The fatty acid profiles of total lipids extracted from A. noae showed high level of unsaturation (UNS/SAT 1.9-3.4. Total polyunsaturated fatty acids (PUFA represented the majority of total fatty acids (40.3-59.9% of total fatty acids and the most abundant were eicosapentaenoic (20:5n-3 and docosahexaenoic (22:6n-3 acid. n-3/n-6 PUFA ratio value varied between 2.1 and 5.0 and was the highest during the spring (April to June. Due to their low lipid and high percentages of healthy polyunsaturated fatty acids A. noae can be evaluated as a quality seafood product. The most suitable period of the year for its consumption is in the spring when it reaches its highest nutritional values.

  15. 78 FR 15394 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2013-03-11

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

  16. 76 FR 30418 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-05-25

    ... organization could not trade in an index-based or derivative security (e.g., a right or warrant) that is quoted... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64522; File No. SR-NYSE-2011-22] Self... Premises in Certain OTC Bulletin Board and OTC Markets Securities May 19, 2011. Pursuant to Section 19(b)(1...

  17. 77 FR 34450 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-06-11

    ... Ridge Clearing and Outsourcing Solutions, Inc. as an NYSE Member Organization, Subject to Apex Clearing... order to approve Apex Clearing Corporation, f/ k/a Ridge Clearing and Outsourcing Solutions, Inc... without unnecessary disruption, which could have a significant collateral impact to a number of other...

  18. 78 FR 63530 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to Proposed...

    Science.gov (United States)

    2013-10-24

    ... fee structure for which a NYSE member organization may be reimbursed for expenses incurred in... processing fee.\\52\\ The Exchange has proposed to replace this flat $0.40 fee with a tiered fee structure for... materials with a tiered structure. The Exchange has proposed to keep a flat Processing Unit Fee of $0.40 per...

  19. 75 FR 15476 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-03-29

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

  20. 76 FR 4959 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Science.gov (United States)

    2011-01-27

    ... Class on NYSE Under a Pilot Program January 19, 2011. I. Introduction On November 23, 2010, New York... the Exchange's BLP proposal. For additional information, see Notice, supra note 3. (1) Quoting... technology to support electronic trading.\\10\\ \\10\\ A member organization's off-Floor technology must be fully...