WorldWideScience

Sample records for self-regulatory organizations bats

  1. 76 FR 12155 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-03-04

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63969; File No. SR-BATS-2011-007] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Adopt BATS Rule 11.21, entitled ``Input of Accurate Information...

  2. 75 FR 57097 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-09-17

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62901; File No. SR-BATS-2010-024] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt BATS Rule 2.12, Entitled ``BATS Trading, Inc. as Inbound Router'' and To Make Related...

  3. 78 FR 37865 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-06-24

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69793; File No. SR-BATS-2013-034] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. June 18, 2013. Pursuant to Section 19(b)(1) of the...

  4. 76 FR 50803 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-08-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65085; File No. SR-BATS-2011-025] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. August 10, 2011. Pursuant to Section 19(b)(1) of...

  5. 75 FR 27847 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-05-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62074; File No. SR-BATS-2010-012] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. May 11, 2010. Pursuant to Section 19(b)(1) of the...

  6. 78 FR 77736 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-24

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71129; File No. SR-BATS-2013-062] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify BATS Options Market Maker Continuous Quoting Obligation Rules December 18, 2013...

  7. 76 FR 57092 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-09-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65307; File No. SR-BATS-2011-034] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a Bulk-Quoting Interface To All Users of BATS Options September 9, 2011. Pursuant to...

  8. 77 FR 58195 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67855; File No. SR-BATS-2012-037] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. September 13, 2012. Pursuant to Section 19(b)(1) of...

  9. 78 FR 61422 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-03

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70548; File No. SR-BATS-2013-052] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Trading Halt Rule of BATS Options September 27, 2013. Pursuant to Section 19...

  10. 78 FR 51261 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-20

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70190; File No. SR-BATS-2013-042] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. August 14, 2013. Pursuant to Section 19(b)(1) of...

  11. 78 FR 78460 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-26

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71140; File No. SR-BATS-2013-063] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. December 19, 2013. Pursuant to Section 19(b)(1) of...

  12. 78 FR 53814 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70257; File No. SR-BATS-2013-047] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Registration and Continuing Education Fees for BATS Exchange, Inc. August 26...

  13. 77 FR 20858 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-04-06

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66723; File No. SR-BATS-2012-014] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of BATS Global Markets, Inc. April 3, 2012...

  14. 76 FR 9841 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-02-22

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63916; File No. SR-BATS-2011-005] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.13, Entitled ``Order Execution'' February 15, 2011. Pursuant to Section 19(b...

  15. 77 FR 63396 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-10-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68026; File No. SR-BATS-2012-040] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. October 10, 2012. Pursuant to Section 19(b)(1) of...

  16. 77 FR 7216 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-10

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66327; File No. SR-BATS-2012-008] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. February 6, 2012. Pursuant to Section 19(b...

  17. 76 FR 61127 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-10-03

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65407; File No. SR-BATS-2011-037] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. September 27, 2011. Pursuant to Section 19(b)(1) of...

  18. 76 FR 28108 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-05-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64445; File No. SR-BATS-2011-017] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add BATS Rule 11.22, Entitled ``Data Products'' May 9, 2011. Pursuant to Section 19(b)(1) of...

  19. 76 FR 70192 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-11-10

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65694; File No. SR-BATS-2011-046] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. November 4, 2011. Pursuant to Section 19(b)(1) of...

  20. 78 FR 16306 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69079; File No. SR-BATS-2013-017] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. March 8, 2013. Pursuant to Section 19(b)(1) of the...

  1. 76 FR 77576 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-12-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65907; File No. SR-BATS-2011-049] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. December 7, 2011. Pursuant to Section 19(b...

  2. 76 FR 1208 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-01-07

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63630; File No. SR-BATS-2010-039] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. January 3, 2011. Pursuant to Section 19(b)(1) of...

  3. 76 FR 2734 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-01-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63663; File No. SR-BATS-2011-001] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. January 6, 2011. Pursuant to Section 19(b)(1) of...

  4. 78 FR 56760 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70348; File No. SR-BATS-2013-048) Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. September 9, 2013. Pursuant to Section 19(b)(1) of...

  5. 78 FR 19555 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-04-01

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69238; File No. SR-BATS-2013-020] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. March 26, 2013. Pursuant to Section 19(b)(1) of the...

  6. 78 FR 16750 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69121; File No. SR-BATS-2013-014] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Operation of Market Orders for BATS Options March 12, 2013. Pursuant to Section 19(b...

  7. 76 FR 7891 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-02-11

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63857; File No. SR-BATS-2011-004] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. February 7, 2011. Pursuant to Section 19(b)(1) of...

  8. 76 FR 67238 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change by BATS...

    Science.gov (United States)

    2011-10-31

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65619, File No. SR-BATS-2011-032] Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change by BATS Exchange, Inc. To Adopt Rules Applicable to Auctions Conducted by the Exchange for Exchange-Listed Securities October 25, 2011. I. Introduction On August 22, 2011,...

  9. 78 FR 73577 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-06

    ...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Risk Monitoring Functionality Offered by the Exchange December 2, 2013....19b-4(f)(6)(iii). I. Self-Regulatory Organization's Statement of the Terms of Substance of the...

  10. 78 FR 12803 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-25

    ... certainty with respect to execution fees at groups of away options exchanges. Under its flat fee structure...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... 240.19b-4. \\3\\ 15 U.S.C. 78s(b)(3)(A)(ii). \\4\\ 17 CFR 240.19b-4(f)(2). I. Self-Regulatory Organization...

  11. 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...

  12. 75 FR 47043 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-08-04

    ... Educational Services Inc 280 TSL Trina Solar Ltd 332 NKE NIKE Inc 282 EWW iShares MSCI Mexico 335 FIS Fidelity...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed...\\ notice is hereby given that on July 26, 2010, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'') filed...

  13. 75 FR 64771 - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for BATS Y-Exchange, Inc.

    Science.gov (United States)

    2010-10-20

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63113; File No. 4-616] Self-Regulatory... provisions of Rule 19d-1(c)(1) of the Act \\4\\ requiring that a self-regulatory organization promptly file... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs...

  14. 78 FR 4502 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-01-22

    ... certainty with respect to execution fees at groups of away options exchanges. Under its flat fee structure...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange...

  15. 78 FR 54338 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-03

    ...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed..., Interactive Data Online Properties, Inc. (collectively ``IDC''), whereby the Exchange will make available... the Private Labeled Products and who first subscribe as a result of the Exchange's marketing...

  16. 78 FR 51235 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-20

    ... believes that its flat fee structure for orders routed to various venues is a fair and equitable approach... exchanges. Under its flat fee structure, taking all costs to the Exchange into account, the Exchange may...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...

  17. 78 FR 51257 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-20

    ... exchange without incurring losses from such routing. The Exchange believes that its flat fee structure for... with respect to execution fees at groups of away options exchanges. Under its flat fee structure...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...

  18. 78 FR 76355 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-12-17

    ... routing orders to such exchanges. The Exchange believes that its flat fee structure for orders routed to... execution fees at groups of away options exchanges. Under its flat fee structure, taking all costs to the...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed...

  19. 75 FR 58011 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Minor Rule...

    Science.gov (United States)

    2010-09-23

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62924; File No. 10-198] Self-Regulatory... subject to the provisions of Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self-regulatory organization... 240.19d-1(c)(1). \\4\\ The Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self...

  20. 75 FR 54664 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-09-08

    ... Rule Change To Amend the Name of a BATS Exchange Routing Strategy September 1, 2010. Pursuant to... BATS Rule 11.13(a)(3)(E) to rename the routing strategy identified as ``DART'' to ``DRT''. The text of... 11.13(a)(3)(E) from ``DART'' to ``DRT,'' consistent with the Exchange's re-branding of this routing...

  1. 78 FR 23965 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-04-23

    ... 10 BATS 1.70 10 If BATS Options receives a routable market order to buy 80 contracts, the System will... than the Initial NBBO). To be clear, System behavior would be the exact same if all of the orders... submitted a limit order to buy 80 contracts with a limit price of $2.00, such order would be executed up to...

  2. 78 FR 69470 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-11-19

    ... in BATS Rule 11.13(a)(3)(H). Modifications to Definitions Used for Equities Pricing Tiers The... change to its definitions of ADV and TCV for purposes of BYX tiered pricing.\\13\\ \\12\\ Securities Exchange... strategies at the Exchange's affiliate, BATS Y-Exchange, Inc. (``BYX''); and (2) modify the way that, for...

  3. 78 FR 7826 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-04

    ... the Exchange's Web site at http://www.batstrading.com , at the principal office of the Exchange, and... would translate well to BATS Options, Discretionary Orders have not been widely used on BATS Options; to... Web site ( http://www.sec.gov/rules/sro.shtml ). Copies of the submission, all subsequent amendments...

  4. 76 FR 63686 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-10-13

    ... Exchange's proposal does not address or impact any priority relationship for Professional as opposed to... traded by Options Members (which may include trades on behalf of Public Customers) \\8\\ on BATS Options, a... Members representing as agent Customer Orders on BATS Options and those non- Market Maker Members...

  5. 75 FR 64767 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2010-10-20

    ...-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Y-Exchange Rules To Conform to the Current Rules of BATS Exchange October 13, 2010. Pursuant to Section 19(b... hereby given that on October 4, 2010, BATS Y-Exchange, Inc. (the ``Exchange'' or ``BYX'') filed with the...

  6. 75 FR 20418 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-04-19

    .... Consistent with the current pricing for the DART best execution routing functionality, the Exchange proposes... strategies from $0.0027 per share to $0.0028 per share; (ii) amend the fees for certain destination specific routing options to continue to offer a ``one under'' pricing model; (iii) adopt pricing for ``BATS + DART...

  7. 77 FR 11179 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-24

    ... or less than issuers would pay at other exchanges. For instance, derivative securities products and... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66422; File No. SR-BATS-2012-010] Self... the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby...

  8. 75 FR 39303 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-07-08

    .... DART. DART is a routing option currently offered by the Exchange in which the entering firm instructs the System to first route to alternative trading systems included in the System routing table. DART... . Please include File No. SR-BATS-2010-017 on the subject line. Paper Comments Send paper comments in...

  9. 78 FR 41483 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-07-10

    ... from a range of possible, and equally reasonable, pricing strategies as the means of recovering total... change is to amend the ``Equities Pricing'' section of the BATS fee schedule which relates to fees for...) and (5). As described in more detail below, the proposed fees are based on pricing conventions and...

  10. 78 FR 41453 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-07-10

    ... Port, each of which are logical ports \\6\\ used to receive data from the Exchange.\\7\\ Currently, the... receipt. Logical port fees are limited to logical ports in the Exchange's primary data center and no logical port fees are assessed for redundant secondary data center ports. \\7\\ BATS FIX ports are the only...

  11. 77 FR 2108 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-01-13

    ...'s growth patterns. Such increased volume increases potential revenue to the Exchange, and will allow... Exchange. The increased liquidity also benefits all investors by deepening the BATS Options liquidity pool, offering additional flexibility for all investors to enjoy cost savings, supporting the quality of price...

  12. 78 FR 19559 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-04-01

    ... Options overlie 10 equity or ETF shares, rather than the standard 100 shares.\\6\\ Mini Options are currently approved on the following five (5) underlying securities: SPDR S&P 500 ETF (``SPY''), Apple Inc. (``AAPL''), SPDR Gold Trust (``GLD''), Google Inc. (``GOOG''), and Amazon.com , Inc. (``AMZN''). BATS...

  13. 78 FR 15090 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-08

    .... (``AAPL''), SPDR Gold Trust (``GLD''), Google Inc. (``GOOG''), and Amazon.com Inc. (``AMZN'').\\3\\ The... same terms and contract characteristics as regular-sized equity and ETF options, including exercise... and ETF options would apply, including Market Maker obligations, to Mini Options.\\9\\ \\9\\ See BATS Rule...

  14. 76 FR 62884 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-10-11

    ... the Exchange by continuing to offer competitive pricing while also creating incentives to providing.... Purpose The Exchange proposes to modify the ``Options Pricing'' section of its fee schedule to: (i... (``BATS Options''); (ii) eliminate a pricing structure that provides a Firm \\7\\ or Market Maker \\8\\ a...

  15. 78 FR 50463 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-19

    ... filing are intended to attract order flow to the Exchange by continuing to offer competitive pricing... competitive pricing, which, in turn, will benefit Members of the Exchange. B. Self-Regulatory Organization's... necessarily competitive. The Exchange also believes that its pricing for displayed orders is appropriately...

  16. 76 FR 55148 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To Adopt...

    Science.gov (United States)

    2011-09-06

    ...-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To Adopt Rules for the...-4 thereunder,\\2\\ a proposed rule change to adopt rules for the qualification, listing, and delisting... the Proposal The Exchange proposes rules to adopt a program for the qualification, listing, and...

  17. 78 FR 62907 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-22

    ...-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed... it is not proposing to modify any of the existing rebates or fees or the percentage thresholds at... will qualify for, providing Members with an increased certainty as to their monthly cost for trades...

  18. 76 FR 59462 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2011-09-26

    ... herein relate to the bylaws of BATS Global Markets, Inc. only, not to the governance of the Exchange. The... Restate the Amended and Restated Bylaws of BATS Global Markets, Inc. September 19, 2011. Pursuant to... of the Exchange's sole stockholder, BATS Global Markets, Inc. The text of the proposed rule change is...

  19. 76 FR 59472 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2011-09-26

    ... Global Markets, Inc. only, not to the governance of the Exchange. The Exchange will continue to be... the Amended and Restated Bylaws of BATS Global Markets, Inc. September 19, 2011. Pursuant to Section... of the Exchange's sole stockholder, BATS Global Markets, Inc. The text of the proposed rule change is...

  20. 75 FR 20018 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change, As...

    Science.gov (United States)

    2010-04-16

    ... any equity exchange. Given the competitive pressures that currently characterize the U.S. equity... number of alternative sources of information that impose significant competitive pressures on BATS in... competitive pressure on BATS to act equitably, fairly, and reasonably in setting the terms of its proposal...

  1. 75 FR 5157 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order...

    Science.gov (United States)

    2010-02-01

    ... functions performed on BATS' behalf under the RSA. Further, BATS retains ultimate legal responsibility for... benefits for carrying out their responsibilities. For example, a lender may extend credit to a broker... handling such order, and thus, it is the entering Options Member's responsibility, not the Exchange's...

  2. 76 FR 56840 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2011-09-14

    ... cast for the election of directors with respect to such stockholder's shares of stock, multiplied by... the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc. September 8... amend the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc. (the...

  3. 75 FR 63878 - Self-Regulatory Organizations; Self-Regulatory Organizations; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-10-18

    ...-Regulatory Organizations; Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of...(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory...

  4. 76 FR 56833 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2011-09-14

    ... election of directors with respect to such stockholder's shares of stock, multiplied by the number of... Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc... amend the [[Page 56834

  5. 75 FR 56618 - Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options...

    Science.gov (United States)

    2010-09-16

    ... security and its maximum remaining life). \\62\\ See Android Alpha Fund Letter. \\63\\ See Deutsche Bank Letter... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62884; File Nos. SR-BATS-2010-018; SR-BX-2010... Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; International Securities Exchange LLC...

  6. 77 FR 71652 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Approval to Proposed Rule...

    Science.gov (United States)

    2012-12-03

    ... differently from order flow submitted by other market participants, such segmentation would not be... Markets Association, to Elizabeth M. Murphy, Secretary, Commission, dated September 26, 2012 (``SIFMA... Letter from Eric Swanson, Senior Vice President and General Counsel, BATS Global Markets, to Elizabeth M...

  7. 76 FR 38712 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change To...

    Science.gov (United States)

    2011-07-01

    ... to BATS Rule 11.13 to state that the Exchange will consider it inconsistent with just and equitable... the very inside of the market but are temporarily un-executable at their full limit price due to the... price improvement for market participants at times when such participants are not receiving executions...

  8. 78 FR 75585 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change...

    Science.gov (United States)

    2013-12-12

    ... With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC...'') in connection with the proposed business combination (the ``Combination''), as described in more...''), each a national securities exchange registered with the Commission. Upon completion of the Combination...

  9. 78 FR 75607 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change in...

    Science.gov (United States)

    2013-12-12

    ... the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC...'') in connection with the proposed business combination (the ``Combination''), as described in more...''), each a national securities exchange registered with the Commission. Upon completion of the Combination...

  10. 76 FR 47630 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-08-05

    ... data and other products available to persons that are not members of the self-regulatory organization... in self-regulatory organization governance was mandated by the Act, non-members should be given the... the evolution of self-regulatory organization governance and competitive market structure have...

  11. 77 FR 12098 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2012-02-28

    ... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule... FINRA and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the..., and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's...

  12. 75 FR 4435 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-01-27

    ... 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... principal office and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement...

  13. 17 CFR 201.420 - Appeal of determinations by self-regulatory organizations.

    Science.gov (United States)

    2010-04-01

    ... self-regulatory organizations. 201.420 Section 201.420 Commodity and Securities Exchanges SECURITIES... Review § 201.420 Appeal of determinations by self-regulatory organizations. (a) Application for review... by a self-regulatory organization determination as to which a notice is required to be filed with the...

  14. 76 FR 9840 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2011-02-22

    .... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory..., and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's...

  15. 17 CFR 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.

    Science.gov (United States)

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Self-regulatory organization... Miscellaneous § 1.52 Self-regulatory organization adoption and surveillance of minimum financial requirements. (a) Each self-regulatory organization must adopt, and submit for Commission approval, rules...

  16. 77 FR 306 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2012-01-04

    ...). \\2\\ 17 CFR 240.19b-4. Self-Regulatory Organization's Statement of the Terms of Substance of the... contained in Chapter XXIVB. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the self-regulatory organization...

  17. 76 FR 61447 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed...

    Science.gov (United States)

    2011-10-04

    ... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule... its filing with the Commission, the self-regulatory organization included statements concerning the... such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for...

  18. 17 CFR 201.421 - Commission consideration of determinations by self-regulatory organizations.

    Science.gov (United States)

    2010-04-01

    ... determinations by self-regulatory organizations. 201.421 Section 201.421 Commodity and Securities Exchanges... Commission Review § 201.421 Commission consideration of determinations by self-regulatory organizations. (a..., order review of any determination by a self-regulatory organization that could be subject to an...

  19. 76 FR 9838 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2011-02-22

    .... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance..., and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the... in sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory...

  20. 75 FR 61795 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-10-06

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63017; File No. SR-ISE-2010-95] Self-Regulatory...\\ 15 U.S.C. 78s(b)(3)(A). \\4\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement of... Exchange, and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of...

  1. 76 FR 82017 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2011-12-29

    ... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule... System platform are contained in Chapter XXIVB. II. Self-Regulatory Organization's Statement of the... in sections A, B, and C below, of the most significant parts of such statements. A. Self-Regulatory...

  2. 75 FR 16888 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed...

    Science.gov (United States)

    2010-04-02

    ...(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance....org/legal ), at the Exchange's Office of the Secretary and at the Commission. II. Self-Regulatory... with the Commission, the self-regulatory organization included statements concerning the purpose of and...

  3. 76 FR 77275 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-12-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65900; File No. SR-ISE-2011-82] Self-Regulatory... text of these statements may be examined at the places specified in Item IV below. The self-regulatory... such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for...

  4. 75 FR 36724 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2010-06-28

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62329; File No. SR-OCC-2010-09] Self-Regulatory... on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). I. Self-Regulatory... futures any futures contracts on Sprott Physical Gold Shares. II. Self-Regulatory Organization's Statement...

  5. 17 CFR 1.59 - Activities of self-regulatory organization employees, governing board members, committee members...

    Science.gov (United States)

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Activities of self-regulatory... COMMODITY EXCHANGE ACT Miscellaneous § 1.59 Activities of self-regulatory organization employees, governing...) Self-regulatory organization means “self-regulatory organization,” as defined in Commission regulation...

  6. 78 FR 61424 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of...

    Science.gov (United States)

    2013-10-03

    ... decommission the DTCC Trade Risk Pro service as more fully described below. II. Self-Regulatory Organization's... no Members that currently use Trade Risk Pro. (C) Self-Regulatory Organization's Statement on...-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change...

  7. 77 FR 74722 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule...

    Science.gov (United States)

    2012-12-17

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68401; File No. SR-CME-2012-42] Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule Change Regarding the Valuation of... to approve a proposed rule change of a self-regulatory organization if it finds that such proposed...

  8. 77 FR 12897 - Self-Regulatory Organizations; Pacific Securities Depository Trust Company; Order Cancelling...

    Science.gov (United States)

    2012-03-02

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66460; File No. 600-10] Self-Regulatory Organizations; Pacific Securities Depository Trust Company; Order Cancelling Clearing Agency Registration...(a)(3) of the Act \\14\\ provides that in the event any self-regulatory organization is no longer in...

  9. 77 FR 12896 - Self-Regulatory Organizations; Midwest Clearing Corporation; Order Cancelling Clearing Agency...

    Science.gov (United States)

    2012-03-02

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66458; File No. 600-9] Self-Regulatory Organizations; Midwest Clearing Corporation; Order Cancelling Clearing Agency Registration February 24, 2012. I... Act provides that in the event any self- regulatory organization is no longer in existence or has...

  10. 77 FR 76319 - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Minor Rule Violation...

    Science.gov (United States)

    2012-12-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68489; File No. 4-655] Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Minor Rule Violation Plan for BOX Options Exchange LLC... \\4\\ requiring that a self-regulatory organization (``SRO'') promptly file notice with the Commission...

  11. 78 FR 69168 - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed...

    Science.gov (United States)

    2013-11-18

    ... approve a proposed rule change of a self-regulatory organization if it finds that such proposed rule... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70848; File No. SR-NSCC-2013-10] Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To...

  12. 78 FR 79028 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of...

    Science.gov (United States)

    2013-12-27

    ... finding or (ii) as to which the self-regulatory organization consents, the Commission will: (A) By order... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71156; File No. SR-NSCC-2013-13] Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change...

  13. 77 FR 40394 - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2012-07-09

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67333; File No. SR-OCC-2012-07] Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Adjustment... to approve a proposed rule change of a self-regulatory organization if it finds that such proposed...

  14. 77 FR 12898 - Self-Regulatory Organizations; Midwest Securities Trust Company; Order Cancelling Clearing Agency...

    Science.gov (United States)

    2012-03-02

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66461; File No. 600-7] Self-Regulatory Organizations; Midwest Securities Trust Company; Order Cancelling Clearing Agency Registration February 24, 2012... the event any self-regulatory organization is no longer in existence or has ceased to do business in...

  15. 75 FR 47666 - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-08-06

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62624; File No. SR-NFA-2010-02] Self-Regulatory... Interpretive Notice Entitled ``NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures... President and General Counsel, NFA, dated July 26, 2010. I. Self-Regulatory Organization's Description of...

  16. 77 FR 12896 - Self-Regulatory Organizations; Pacific Clearing Corporation; Order Cancelling Clearing Agency...

    Science.gov (United States)

    2012-03-02

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66459; File No. 600-11] Self-Regulatory..., 2006), 72 FR 814 (Jan. 8, 2007). Section 19(a)(3) of the Act \\14\\ provides that in the event any self-regulatory organization is no longer in existence or has ceased to do business in the capacity specified in...

  17. 77 FR 27529 - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Granting Accelerated Approval of...

    Science.gov (United States)

    2012-05-10

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66922; File No. SR-ICC-2012-05] Self-Regulatory... Commission to approve a proposed rule change of a self-regulatory organization if it finds that such proposed... of the Comptroller of the Currency, U.K. Financial Services Authority, or any other regulatory body...

  18. 77 FR 40392 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Changes To...

    Science.gov (United States)

    2012-07-09

    ... prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments.... I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change.... [[Page 40393

  19. 78 FR 19057 - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing Proposed Rule Changes...

    Science.gov (United States)

    2013-03-28

    ... categories. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the... by ICEEU. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the.... 78q-1(b)(3)(F). B. Self-Regulatory Organization's Statement on Burden on Competition ICE Clear Europe...

  20. 75 FR 39714 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Rule Change by...

    Science.gov (United States)

    2010-07-12

    ... 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 the.... II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed...

  1. 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...

  2. 76 FR 77877 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2011-12-14

    .... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the...). II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed... self-regulatory organization has prepared summaries, set forth in Sections A, B and C below, of the...

  3. 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...

  4. 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...

  5. 77 FR 40396 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Changes To...

    Science.gov (United States)

    2012-07-09

    ... by the self-regulatory organization. The Commission is publishing this notice to solicit comments on.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... principal office and at the Public Reference Room of the Commission. II. Self-Regulatory Organization's...

  6. 77 FR 74715 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-12-17

    .... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the... significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and...

  7. 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...

  8. 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...

  9. 76 FR 61444 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2011-10-04

    ... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory... IV below. The self-regulatory organization has prepared summaries, set forth in Sections A, B and C...

  10. 17 CFR 31.28 - Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation...

    Science.gov (United States)

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Self-regulatory organization... TRANSACTIONS § 31.28 Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation and sales practice requirements. (a) Each self-regulatory organization must adopt, and submit for...

  11. 77 FR 34420 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-06-11

    ... statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the... respect to marking Strategy Trades would be uniformly applied to members. B. Self-Regulatory Organization... the Act. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received...

  12. 17 CFR 249.821 - Form PILOT, information required of self-regulatory organizations operating pilot trading systems...

    Science.gov (United States)

    2010-04-01

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

  13. 75 FR 15475 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Minor Rule...

    Science.gov (United States)

    2010-03-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61752; File No. 4-594] Self-Regulatory... Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization promptly file notice... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs...

  14. 75 FR 15471 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Minor Rule...

    Science.gov (United States)

    2010-03-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61753; File No. 4-595] Self-Regulatory... Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization promptly file notice... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs...

  15. 76 FR 18813 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-04-05

    ... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory... significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and...

  16. 17 CFR 1.64 - Composition of various self-regulatory organization governing boards and major disciplinary...

    Science.gov (United States)

    2010-04-01

    ... ACT Miscellaneous § 1.64 Composition of various self-regulatory organization governing boards and major disciplinary committees. (a) Definitions. For purposes of this section: (1) Self-regulatory organization means “self-regulatory organization” as defined in § 1.3(ee), not including a “clearing...

  17. 78 FR 48732 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Changes to...

    Science.gov (United States)

    2013-08-09

    ... from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization... Exchange, and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of... A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory...

  18. 77 FR 31060 - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and of Proposed...

    Science.gov (United States)

    2012-05-24

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67021; File No. SR-OCC-2012-07] Self-Regulatory... from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization... equity options. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for...

  19. 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...

  20. 78 FR 19348 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2013-03-29

    ... are trading, the proposed changes seek to create less of a disconnect if the ``primary'' market should... connected to the marketplace. B. Self-Regulatory Organization's Statement on Burden on Competition CBOE does...

  1. 78 FR 68497 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-11-14

    ... are trading, the proposed rule change seeks to create less of a disconnect if the ``primary'' market... connected to the marketplace. B. Self-Regulatory Organization's Statement on Burden on Competition This...

  2. 77 FR 65730 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed...

    Science.gov (United States)

    2012-10-30

    ... of derivative agreements, contracts, and transactions, and to assure the safeguarding of securities... further safeguard customer funds held at the FCM level. B. Self-Regulatory Organization's Statement on...

  3. 77 FR 57173 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed...

    Science.gov (United States)

    2012-09-17

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67828; File No. SR-C2-2012-030] Self-Regulatory... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory... the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of...

  4. 77 FR 1099 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2012-01-09

    ... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory.../ , and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the... sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory...

  5. 76 FR 61453 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Proposed Rule Change...

    Science.gov (United States)

    2011-10-04

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65433; File No. SR-C2-2011-024] Self-Regulatory... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory... Office of the Secretary and at the Commission. II. Self-Regulatory Organization's Statement of the...

  6. 17 CFR 1.63 - Service on self-regulatory organization governing boards or committees by persons with...

    Science.gov (United States)

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Service on self-regulatory... EXCHANGE ACT Miscellaneous § 1.63 Service on self-regulatory organization governing boards or committees by persons with disciplinary histories. (a) Definitions. For purposes of this section: (1) Self-regulatory...

  7. 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...

  8. 76 FR 64403 - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing and...

    Science.gov (United States)

    2011-10-18

    ... Schedule of Timeframes, and Fee Structure in the GSD Rules. II. Self-Regulatory Organization's Statement of...-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness... Timeframes, and Fee Structure in the GSD Rules October 12, 2011. Pursuant to Section 19(b)(1) of the...

  9. 78 FR 34421 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-06-07

    .... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... of 15,000 customer open-outcry contracts per day (``CPD'') over the course of a calendar month in... Permit Holders and TPH organizations.\\4\\ As such, the Exchange believed that it was implied that the...

  10. 75 FR 53998 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-09-02

    ... characteristics and risks of security futures. \\6\\ 15 U.S.C. 78o-3(b)(6). B. Self-Regulatory Organization's...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Security Futures Risk Disclosure Statement August 27, 2010...

  11. 76 FR 41839 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-07-15

    ... existing PAR Official Fee structure that imposes a flat per contract fee does not provide an incentive for...-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's...

  12. 76 FR 20793 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2011-04-13

    ... structure that imposes a flat per contract fee does not provide an incentive for firms to adequately staff...-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the...

  13. 78 FR 43947 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-22

    .... I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change... Basis for, the Proposed Rule Change In its filing with the Commission, the self-regulatory organization... because it will provide member organizations with greater flexibility in managing their personnel...

  14. 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...

  15. 75 FR 70760 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and...

    Science.gov (United States)

    2010-11-18

    ...'' and ``Economic indicators'' are added. Delivery Detail under this topic (``Book-entry only;'' ``Bearer... at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the... certain product knowledge and MSRB rules and eliminate redundancy; delete dated references to certain...

  16. 77 FR 15417 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2012-03-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66566; File No. SR-ISE-2012-21] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to a... Ownership Interest in ISE Holdings, Inc. to a Newly Formed Swiss Corporation, Eurex Global Derivatives AG...

  17. 76 FR 77878 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed...

    Science.gov (United States)

    2011-12-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65914; File No. SR-CBOE-2011-114] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change Related to Complex Order Processing in Hybrid 3.0 Classes December 8, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act...

  18. 77 FR 4844 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a...

    Science.gov (United States)

    2012-01-31

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66235; File No. SR-CBOE-2011-114] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Complex Order Processing in Hybrid 3.0 Classes January 25, 2012. I. Introduction On November 29, 2011, the Chicago Board Options...

  19. 76 FR 12782 - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing and...

    Science.gov (United States)

    2011-03-08

    ... Rule would allow them to comply with Basel Accord Standards relating to netting. Specifically, firms... change will have any impact or impose any burden on competition. (C) Self-Regulatory Organization's... Commission of any written comments received by FICC. III. Date of Effectiveness of the Proposed Rule Change...

  20. 78 FR 8657 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-06

    ... (February 22, 2012) (SR-EDGA-2012- 05) (adopting EdgeBook Cloud service); see also, Securities Exchange Act...Book Cloud service). C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule... its intent to file the proposed rule change at least five business days prior to the date of filing of...

  1. 78 FR 8650 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-06

    ... (February 15, 2012), 77 FR 10593 (February 22, 2012) (SR-EDGA-2012- 05) (adopting EdgeBook Cloud service..., 2012) (SR-EDGX-2012-05) (adopting EdgeBook Cloud service). C. Self-Regulatory Organization's Statement... written notice of its intent to file the proposed rule change at least five business days prior to the...

  2. 76 FR 77883 - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-12-14

    ... funding of an SRO's regulatory operations in the Concept Release Concerning Self-Regulation \\18\\ and the release on the Fair Administration and Governance of Self- Regulatory Organizations.\\19\\ In the Concept... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65913; File No. SR-NASDAQ-2011-163] Self...

  3. 77 FR 18288 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2012-03-27

    ... amendments to rules dealing with outsourcing to third parties. CME will also make corresponding changes to....3--Outsourcing to Third Parties In connection with the CFTC's final rules for Derivatives Clearing... any impact or impose any burden on competition. C. Self-Regulatory Organization's Statement on...

  4. 75 FR 76509 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-12-08

    ... system (``PSX''). The text of the proposed rule change is available on the Exchange's Web site at http... the price changes upon the net fees paid by a particular market participant will depend upon a number... sizes through pricing or by operating as ``dark pools.'' C. Self-Regulatory Organization's Statement on...

  5. 77 FR 27822 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed...

    Science.gov (United States)

    2012-05-11

    ... shall report to the Exchange, the name, address, and social security or tax identification number of any... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66934; File No. SR-CBOE-2012-040] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change...

  6. 78 FR 65023 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-10-30

    ... the Exchange, the name, address, and social security or tax identification number of any customer who... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70752; File No. SR-CBOE-2013-099] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate...

  7. 75 FR 44828 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of...

    Science.gov (United States)

    2010-07-29

    ... the SBP process to mitigate risks that the SBP poses to NSCC. \\6\\ 15 U.S.C. 78q-1. B. Self-Regulatory...-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend Addendum C of Its Rules and Procedures To Implement Risk Enhancements to Its Stock Borrow...

  8. 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...

  9. 77 FR 38350 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2012-06-27

    ... Act because it helps to assure the safeguarding of securities and funds which are in its custody or... designated clearing organization; and (iii) the activity relating to the non-security clearing operations of... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67232; File No. SR-CME-2012-24] Self-Regulatory...

  10. 76 FR 7610 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2011-02-10

    ... Executive Committee may need to make the decision. The CBOE Board is fully informed of any decision made by.... This approach simplifies the process of scheduling and conducting meetings and allows the Boards and... finding or (ii) as to which the self-regulatory organization consents, the Commission will: (A) By order...

  11. 76 FR 2737 - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed...

    Science.gov (United States)

    2011-01-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63668; File No. SR-NSCC-2010-09] Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change... Facility January 6, 2011. I. Introduction On August 30, 2010, the National Securities Clearing Corporation...

  12. 77 FR 15432 - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2012-03-15

    ... corporate governance structure of OCC by: (i) Increasing the number of public directors on OCC's Board of... directs the Commission to approve a proposed rule change of a self-regulatory organization if it finds... Directors, OCC stated that the changes would enhance the corporate governance structure at OCC. As such, the...

  13. 76 FR 20752 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-04-13

    ...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the... whole number, resulting in an implied number of users based on quotes. Market makers are invoiced on a... number of implied users based on quotes. \\5\\ See Exchange Act Release No. 56721 (October 30, 2007), 72 FR...

  14. 76 FR 77881 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-12-14

    ...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the... million and rounded up to the nearest whole number, resulting in an implied number of users based on... that logged into the system, or (b) the number of implied users based on quotes. \\5\\ See Exchange Act...

  15. 75 FR 28085 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2010-05-19

    ... Options on the CBOE Gold ETF Volatility Index May 13, 2010. Pursuant to Section 19(b)(1) of the Securities... any option contracts on the CBOE Gold ETF Volatility Index. II. Self-Regulatory Organization's... rule change is to make clear that options on the CBOE Gold ETF Volatility Index, which is an index that...

  16. 76 FR 22939 - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-04-25

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64153; File No. SR-CFE-2011-002] Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Listing and Trading CBOE Gold ETF Volatility Index Security Futures...

  17. 76 FR 20779 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-04-13

    ... Change To Provide Legal Certainty for the Trading of Futures on the CBOE Gold ETF Volatility Index April... CBOE Gold ETF Volatility Index (``GVZ Index''). II. Self-Regulatory Organization's Statement of the..., LLC (``CFE'') as an up-to-the-minute market estimate of the expected volatility of SPDR Gold Shares...

  18. 77 FR 41864 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-07-16

    ... its filing with the Commission, the self-regulatory organization included statements concerning the... Members to route through EDGX first before going to other destinations on the System routing table, and... share in cost savings realized by EDGA when routing orders to other destinations). The concept is also...

  19. 77 FR 8938 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2012-02-15

    ... expenses as ``other'' (miscellaneous), a very general categorization that provides FINRA limited visibility... supplemental filing would play with respect to a broker-dealer's annual audit.\\28\\ \\26\\ CAI. \\27\\ Id. \\28\\ Id... any future schedules or reports be done through the more typical self- regulatory organization (``SRO...

  20. 78 FR 18382 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2013-03-26

    ... Stock Loan/Hedge Program in a manner that protects the clearing system against risk through the same or... the By- Laws To Facilitate the Use of the Stock Loan/Hedge Program by Canadian Clearing Members March... the Stock Loan/Hedge Program by Canadian Clearing Members. II. Self-Regulatory Organization's...

  1. 77 FR 71848 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-12-04

    ... reject requests to withdraw margin, minimize OCC's liquidity risk, and preserve its liquidity resources... Available Liquidity Resources November 28, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act... available liquidity resources. II. Self-Regulatory Organization's Statement of Purpose of, and Statutory...

  2. 76 FR 21084 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Science.gov (United States)

    2011-04-14

    ... Securities April 8, 2011. I. Introduction On March 3, 2011, the Financial Industry Regulatory Authority, Inc... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64283; File No. SR-FINRA-2011-012] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer...

  3. 75 FR 33871 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-06-15

    ...-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of... is hereby given that on May 28, 2010, the Fixed Income Clearing Corporation (``FICC'') filed with the... Division's (``GSD'') rules pertaining to the Required Fund Deposit Deadline. II. Self-Regulatory...

  4. 78 FR 51242 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-20

    ... themselves as participants on another. It is virtually impossible for any exchange to identify, and thus... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70200; File No. SR-Topaz-2013-01] Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule...

  5. 78 FR 6155 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Science.gov (United States)

    2013-01-29

    ... virtually impossible for any exchange to identify, and thus assess fees such as an ORF on, each executing... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68711; File No. SR-MIAX-2013-01] Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate...

  6. 75 FR 32529 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-06-08

    ... the requirements of Exchange Act Rule 15c3-1. The Exchange has conducted an analysis of financial.... 78a. \\3\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend Rule 6.82 by revising the minimum financial...

  7. 75 FR 41908 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2010-07-19

    ... by a U.S. regulator and/or state regulator so that an insolvency of such a member would be determined... domestic insolvency regime. \\6\\ 15 U.S.C. 78q-1. B. Self-Regulatory Organization's Statement on Burden on...

  8. 78 FR 28267 - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2013-05-14

    ... Trust Company (``DTC'') and maintain accounts to facilitate Delivery Orders (``DOs'') to approved... Commission to approve a proposed rule change of a self-regulatory organization if it finds that such proposed... securities transactions and foster cooperation and coordination with persons engaged in the clearance and...

  9. 75 FR 2915 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Science.gov (United States)

    2010-01-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61317; File No. SR-ISE-2009-103] Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Market Data Fees January 8, 2010. I. Introduction On November 25, 2009, the International...

  10. 75 FR 1437 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a...

    Science.gov (United States)

    2010-01-11

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61274; File No. SR-CBOE-2009-089] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule... announce to members via Regulatory Circular any determination regarding the routing of market stock-option...

  11. 78 FR 25128 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amended...

    Science.gov (United States)

    2013-04-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69362A; File No. 600-23] Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amended Application for Registration as a Clearing Agency; Correction AGENCY: Securities and Exchange Commission. ACTION: Notice; correction. SUMMARY...

  12. 76 FR 64980 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Science.gov (United States)

    2011-10-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65548; File No. SR-ISE-2011-39] Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Complex Orders October 13, 2011. I. Introduction On July 1, 2011, the International Securities Exchange...

  13. 77 FR 4852 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Science.gov (United States)

    2012-01-31

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66234; File No. SR-ISE-2011-82] Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Legging Orders January 25, 2012. I. Introduction On November 29, 2011, the International Securities...

  14. 76 FR 78059 - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2011-12-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65927; File No. SR-OCC-2011-15] Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Management of..., future regulatory requirements for clearinghouses could impose liquidity requirements that would be...

  15. 77 FR 40928 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Granting Approval of...

    Science.gov (United States)

    2012-07-11

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67357; File No. SR-C2-2012-011] Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To Implement a... and subsequently migrates to the DRF, the regulatory data for the portion of the day that the main...

  16. 77 FR 4605 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Granting Approval of Proposed Rule...

    Science.gov (United States)

    2012-01-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66231; File No. SR-EDGA-2011-40] Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Granting Approval of Proposed Rule Change Amending EDGA Rule 11.9 January 24, 2012. On December 2, 2011, EDGA Exchange, Inc. (``Exchange'' or ``EDGA'') filed...

  17. 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...

  18. 75 FR 53008 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-08-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62759; File No. SR-Phlx-2010-111] Self.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... that would change all references to the system from ``Phlx XL II'' to ``PHLX XL'' for branding purposes...

  19. 75 FR 73150 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-11-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63350; File No. SR-Phlx-2010-156] Self.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... branding purposes. The current pilot is scheduled to expire November 30, 2010. The text of the proposed...

  20. 75 FR 61799 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-10-06

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63024; File No. SR-Phlx-2010-134] Self... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule... ``Phlx XL II'' to ``PHLX XL'' for branding purposes. \\4\\ The current rules relevant to this proposal are...

  1. 76 FR 76472 - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-12-07

    ... at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the... facility or system which NASDAQ operates or controls. \\7\\ 15 U.S.C. 78f. \\8\\ 15 U.S.C. 78f(b)(4). NASDAQ... Release No. 61358 (January 14, 2010), 75 FR 3594 (January 21, 2010) (Concept Release on Equity Market...

  2. 78 FR 71689 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing of Proposed Minor Rule...

    Science.gov (United States)

    2013-11-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70927; File No. 4-669] Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing of Proposed Minor Rule Violation Plan November 22, 2013... of Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization (``SRO'') promptly...

  3. 77 FR 67722 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Minor Rule...

    Science.gov (United States)

    2012-11-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68170; File No. 4-655] Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Minor Rule Violation Plan November 6, 2012... Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization (``SRO'') promptly file...

  4. 75 FR 4431 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-01-27

    ... regulatory operations in the Concept Release Concerning Self-Regulation \\22\\ and the release on the Fair Administration and Governance of Self- Regulatory Organizations.\\23\\ In the Concept Release, the Commission... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61388; File No. SR-BX-2010-001] Self-Regulatory...

  5. 76 FR 53503 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-08-26

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65175; File No. SR-BX-2011-057] Self-Regulatory... Establish and Adopt Fees for the New BX Pre-Trade Risk Management Service August 19, 2011. Pursuant to... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule...

  6. 75 FR 26827 - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for EDGA Exchange, Inc.

    Science.gov (United States)

    2010-05-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62037; File No. 4-595] Self-Regulatory... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs... would not be subject to the provisions of Rule 19d-1(c)(1) under the Act\\4\\ requiring that a self...

  7. 75 FR 26822 - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for EDGX Exchange, Inc.

    Science.gov (United States)

    2010-05-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62036; File No. 4-594] Self-Regulatory... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs... would not be subject to the provisions of Rule 19d-1(c)(1) under the Act \\4\\ requiring that a self...

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

    Science.gov (United States)

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Notice by a self-regulatory... Notice by a self-regulatory organization of proposed admission to or continuance in membership or... statutory disqualification. (1) Any self-regulatory organization proposing, conditionally or unconditionally...

  9. 75 FR 39299 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-07-08

    ... French as the Bourse de Montr[eacute]al Inc. II. Self-Regulatory Organization's Statement of the Purpose... submitted by any of the following methods: Electronic Comments Use the Commission's Internet comment form...

  10. 78 FR 47452 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-05

    ... are trading, the proposed changes seek to create less of a disconnect if the ``primary'' market should... connected to the marketplace. B. Self-Regulatory Organization's Statement on Burden on Competition C2 does...

  11. 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...

  12. 76 FR 72011 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-11-21

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65744; File No. SR-C2-2011-034] Self-Regulatory... Change Related to the Quote Risk Monitor Mechanism November 14, 2011. Pursuant to Section 19(b)(1) of the...\\ 15 U.S.C. 78s(b)(3)(A)(iii). \\4\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement...

  13. 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...

  14. 77 FR 4077 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-01-26

    ...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Real-Time Risk Management Fee and Other Clarifying Amendments January 20, 2012.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the...

  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. 77 FR 40683 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-07-10

    .... I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change... senior-level) Floor Official approval, both ``buying and selling members'' must agree to the publication... ``or member organizations'' after ``buying and selling members.'' Rule 2 defines a ``member'' as a...

  17. 75 FR 69502 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-11-12

    ... structure and assess a flat fee of $300 per test port, per month for all but CTCI and FIX connections to ACT...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of the Substance of the Proposed...

  18. 75 FR 69492 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-11-12

    ... structure and assess a flat fee of $300 per test port, per month. This fee will cover the cost of... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To... rule change from interested persons. I. Self-Regulatory Organization's Statement of the Terms of the...

  19. 78 FR 51765 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-21

    ... matters. Many of the fees vary depending on the amount of such services used, so that as the level of...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of... described in Items I and II below, which Items have been prepared by the self-regulatory organization. The...

  20. Self-Regulatory Private Speech Relates to Children's Recall and Organization of Autobiographical Memories

    Science.gov (United States)

    Al-Namlah, Abdulrahman S.; Meins, Elizabeth; Fernyhough, Charles

    2012-01-01

    We investigated relations between 4- and 7-year-olds' (N=58) autobiographical memory and their use of self-regulatory private speech in a non-mnemonic context (a cognitive planning task). Children's use of self-regulatory private speech during the planning task was associated with longer autobiographical narratives which included specific rather…

  1. 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...

  2. 77 FR 62290 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-10-12

    ... and self-regulatory organizations to do so by submitting a single form, fingerprint card and a... identical fee for FINRA's review of a Form BD submitted by NASDAQ members that are not members of FINRA. \\8... filing, and fingerprint fees would become effective for filings or fingerprints submitted on or after...

  3. 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...

  4. 75 FR 76500 - Self-Regulatory Organizations; NASDAQ OMX PHLX, LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-12-08

    ... not the issuer of any such securities or other financial products and makes no express or implied.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... implies a representation or opinion by Frank Russell Company as to the attractiveness of investment in any...

  5. 76 FR 79729 - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To...

    Science.gov (United States)

    2011-12-22

    ... plc as signatories. II. Self-Regulatory Organization's Statement of the Terms of Substance of the... is the recognition that CDS contracts cleared by ICC referencing broad-based securities indices are... would, among other things, decompose CDS contracts referencing broad-based [[Page 79730

  6. 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...

  7. 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...

  8. 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...

  9. 17 CFR 1.69 - Voting by interested members of self-regulatory organization governing boards and various...

    Science.gov (United States)

    2010-04-01

    ... boards and various committees. (a) Definitions. For purposes of this section: (1) Disciplinary committee... defined in § 3.1(a); (D) Net positions held at that self-regulatory organization in “customer” accounts... member has unique or special expertise, knowledge or experience in the matter under consideration. (iii...

  10. 76 FR 21081 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-04-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64284; File No. SR-Phlx-2011-48] Self... Change To Update Provisions Regarding the Dress Code and Trade Verification April 8, 2011. Pursuant to.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance...

  11. 76 FR 64403 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-10-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65381; File No. SR-NASDAQ-2011-128] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates To Add Liquidity September 22, 2011. Correction In notice...

  12. 78 FR 55302 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-09-10

    ... categories of rules and regulations generally applicable to such persons.\\7\\ The Continuing Education... the continuing education. B. Self-Regulatory Organization's Statement on Burden on Competition NASDAQ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70316; File No. SR-NASDAQ-2013-108] Self...

  13. 77 FR 62562 - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-10-15

    ... two single names (The Hillshire Brands Company and DE US, Inc.). II. Self-Regulatory Organization's... the Sara Lee Corporation's successor companies, The Hillshire Brands Company and DE US, Inc. This... things, that the rules of a clearing agency be designed to promote the prompt and accurate clearance and...

  14. 78 FR 9961 - Self-Regulatory Organizations; NASDAQ OMS BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68840; File No. SR-BX-2013-008] Self-Regulatory Organizations; NASDAQ OMS BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Routing Functionality to the NASDAQ OMX BX Equities Market February 6, 2013. Pursuant to Section 19(b)(1...

  15. 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...

  16. 75 FR 65541 - Self-Regulatory Organizations; Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. To...

    Science.gov (United States)

    2010-10-25

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63132; File No. SR-Phlx-2010-118] Self-Regulatory Organizations; Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Expand the $.50 Strike Price Program October 19, 2010. On August 25, 2010, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange...

  17. 78 FR 75437 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule...

    Science.gov (United States)

    2013-12-11

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71004; File No. SR-Phlx-2013-101] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Regarding the Short Term Options Program December 6, 2013. I. Introduction On October 3, 2013, NASDAQ OMX PHLX LLC...

  18. 77 FR 67851 - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Proposed Rule Change To...

    Science.gov (United States)

    2012-11-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68177; File No. SR-BOX-2012-003] Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Proposed Rule Change To Amend the Price Improvement Period November 7, 2012. I. Introduction On July 25, 2012, BOX Options Exchange LLC (``Exchange...

  19. 75 FR 12590 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule...

    Science.gov (United States)

    2010-03-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61680; File No. SR-CHX-2009-18] Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Its Co-Location Fees March 10, 2010. I. Introduction On December 22, 2009, the Chicago Stock Exchange, Inc. (``CHX'' or...

  20. 76 FR 8793 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule...

    Science.gov (United States)

    2011-02-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63875; File No. SR-Phlx-2010-183] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Expanding Its Short Term Option Program February 9, 2011. I. Introduction On December 15, 2010, NASDAQ OMX PHLX LLC...

  1. 75 FR 38585 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To...

    Science.gov (United States)

    2010-07-02

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62396; File No. SR-BX-2010-012] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services June 28, 2010. I. Introduction On January 29, 2010, NASDAQ OMX BX, Inc. (``BX'' or ``Exchange...

  2. 75 FR 2899 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2010-01-19

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

  3. 75 FR 69491 - Self-Regulatory Organizations; Order Approving Proposed Rule Change by New York Stock Exchange...

    Science.gov (United States)

    2010-11-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63266; File No. SR-NYSE-2010-67] Self-Regulatory Organizations; Order Approving Proposed Rule Change by New York Stock Exchange LLC Changing the NYBX Order Execution Sequence November 5, 2010. I. Introduction On September 9, 2010, the New York...

  4. 75 FR 9988 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Approval of Proposed Rule...

    Science.gov (United States)

    2010-03-04

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61590; File No. SR-Phlx-2009-113] Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Approval of Proposed Rule Change Relating to Index Option Position Limits February 25, 2010. On December 29, 2009, NASDAQ OMX PHLX, Inc. (``Phlx'' or...

  5. 75 FR 38584 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change To...

    Science.gov (United States)

    2010-07-02

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62395; File No. SR-Phlx-2010-18] Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services June 28, 2010. I. Introduction On January 29, 2010, NASDAQ OMX PHLX (``Phlx'' or...

  6. 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...

  7. 76 FR 2182 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule...

    Science.gov (United States)

    2011-01-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63654; File No. SR-Phlx-2010-158] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Establishing a $5 Strike Price Program January 6, 2011. I. Introduction On November 12, 2010, NASDAQ OMX PHLX LLC...

  8. 78 FR 28680 - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Change...

    Science.gov (United States)

    2013-05-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69545; File No. SR-ICC-2013-03] Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Change Relating to Recovery and Resolution Arrangements May 9, 2013. On March 7, 2013, ICE Clear Credit LLC (``ICC'') filed with the...

  9. 76 FR 69308 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-11-08

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65670; File No. SR-Phlx-2011-144] Self.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of the... XL'' for branding purposes. The current pilot is scheduled to expire November 30, 2011. The text of...

  10. 77 FR 6828 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-09

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66315; File No. SR-Phlx-2012-12] Self.... I. Self-Regulatory Organization's Statement of the Terms of the Substance of the Proposed Rule... ``Phlx XL II'' to ``PHLX XL'' for branding purposes. In addition, the current rules describing the...

  11. 77 FR 22040 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-04-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66754; File No. SR-Phlx-2012-41] Self.... I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change... XL'' for branding purposes. The text of the proposed rule change is available on the Exchange's Web...

  12. 76 FR 13678 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-03-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64056; File No. SR-Phlx-2011-29] Self.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the... XL'' for branding purposes. The current pilot is scheduled to expire March 31, 2011. The text of the...

  13. 76 FR 41317 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-07-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64833; File No. SR-Phlx-2011-95] Self.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... XL'' for branding purposes. The current pilot is scheduled to expire July 31, 2011. The text of the...

  14. 76 FR 12191 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-03-04

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63979; File No. SR-Phlx-2011-21] Self.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... ``Phlx XL II'' to ``PHLX XL'' for branding purposes. The text of the proposed rule change is available on...

  15. 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...

  16. 78 FR 40788 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-08

    ... eliminate references in Sections E.1 and E.8 to ``Derivative Securities Products'' (``DSPs'') and ``Non-Derivative Securities Products'' (``Non-DSPs'') and to eliminate references in Section E.1 to ``Regular... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69903; File No. SR-CHX-2013-12] Self-Regulatory...

  17. 76 FR 61438 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Proposed Rule...

    Science.gov (United States)

    2011-10-04

    ... clarify that 2102(e) applies to trading halts in new derivative securities, so as to not be confused with... derivative securities products when a temporary interruption occurs in the calculation or wide dissemination... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65425; File No. SR-ISE-2011-61] Self-Regulatory...

  18. 78 FR 11258 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-02-15

    ....0022/share in all Derivative Securities Products priced $1.00/share or more executed in the Regular....0022/share in all Derivative Securities Products priced $1.00/share or more executed in the Regular... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68894; File No. SR-CHX-2013-06] Self-Regulatory...

  19. 78 FR 78424 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-26

    ... Tapes, eliminated the distinction between Derivative Securities Products and Non-Derivative Securities... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71137; File No. SR-CHX-2013-22] Self-Regulatory...) \\1\\ of the Securities Exchange Act of 1934 (``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is...

  20. 75 FR 47049 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-08-04

    ... Derivative Security products under NSX Rule 15.9. Proposed Rule 11.1(c) provides for the benefit of ETP... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62601; File No. SR-NSX-2010-09] Self-Regulatory... Hours July 29, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act...

  1. 78 FR 44994 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-07-25

    ... improperly shared (except with persons in senior management who are involved in exercising general managerial... senior management who are involved in exercising general managerial oversight of one or both entities... ultimately benefits market participants and does not impose a burden on competition. C. Self-Regulatory...

  2. 78 FR 63263 - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2013-10-23

    ... internet service providers.\\5\\ \\5\\ Securities Exchange Act Release No. 53980 (June 14, 2006), 71 FR 36155... other things, promote the prompt and accurate clearance and settlement of securities transactions. \\8... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70704; File No. SR-OCC-2013-10] Self-Regulatory...

  3. 77 FR 74043 - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of...

    Science.gov (United States)

    2012-12-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68368; File No. SR-ODD-2012-02] Self-Regulatory... to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Adjustments for... (``November 2012 Supplement'') to amend the options disclosure document (``ODD'') to reflect certain changes...

  4. 76 FR 3684 - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of...

    Science.gov (United States)

    2011-01-20

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63711; File No. SR-ODD-2011-01] Self-Regulatory... to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Credit Default Options in, and Making Certain Technical Amendments to, the June 2007 Supplement to the Options Disclosure...

  5. 77 FR 3828 - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of...

    Science.gov (United States)

    2012-01-25

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66193; File No. SR-ODD-2012-01] Self-Regulatory... to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Relative... disclosure document (``ODD'') to reflect certain changes to disclosure regarding relative performance options...

  6. 78 FR 77512 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-23

    ... transactions, to assure the safeguarding of securities and funds which are in the custody or control of the... securities clearing operations of CME or any rights or obligations of CME with respect to securities clearing... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71088; File No. SR-CME-2013-32] Self-Regulatory...

  7. 78 FR 42579 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-16

    ..., contracts and transactions, and to assure the safeguarding of securities and funds which are in the custody... affect the security-based swap clearing operations of CME or any related rights or obligations of CME... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69957; File No. SR-CME-2013-10] Self-Regulatory...

  8. 78 FR 42572 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-16

    ... securities and funds which are in the custody or control of the clearing agency and, in general, help to...-based swap clearing operations of CME or any related rights or obligations of CME security-based swap... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69956; File No. SR-CME-2013-09] Self-Regulatory...

  9. 78 FR 67207 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-08

    ..., contracts, and transactions, to assure the safeguarding of securities and funds which are in the custody or... mixed swaps; and (b) does not significantly affect any securities clearing operations of CME or any... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70801; File No. SR-CME-2013-25] Self-Regulatory...

  10. 78 FR 62787 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-10-22

    ... changes contribute to the safeguarding of securities and funds in CME's custody or control or for which... securities clearing operations of CME or any rights or obligations of CME with respect to securities clearing... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70605; File No. SR-CME-2013-21] Self-Regulatory...

  11. 78 FR 53490 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-29

    ... safeguarding of securities and funds which are in the custody or control of the clearing agency or for which it... operations of CME or any rights or obligations of CME with respect to securities clearing or persons using... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70247; File No. SR-CME-2013-16] Self-Regulatory...

  12. 75 FR 75529 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-12-03

    ... advance notice of the new Verification of Assets rule. \\8\\ 15 U.S.C. 78o-3(b)(6). B. Self-Regulatory... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63383; File No. SR-FINRA-2010-062] Self... in SR-FINRA-2010-042 (Verification of Assets) November 29, 2010. Pursuant to Section 19(b)(1) of the...

  13. 77 FR 62277 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-10-12

    ... principal office of the Exchange, and at the Commission's Public Reference Room. II. Self-Regulatory... proprietary positions. For example, an LMM may have an incentive to lean their fair value determination in a... filing also will be available for inspection and copying at the principal office of the Exchange. All...

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

    Science.gov (United States)

    2010-11-04

    ... system developed by IBM in the early 1980s to move large amounts of data through the Internet. \\7\\ Some... Change To Implement a Disincentive Fee Associated With the Deposit Automation Management System October... certain deposits made through DTC's Deposit Automation Management (``DAM'') system. II. Self-Regulatory...

  15. 78 FR 62901 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-10-22

    ... per contract from its prior rate of $0.05 per contract. See Securities Exchange Act Release No. 69768... similar products.\\13\\ \\13\\ At least one other exchange currently trades foreign currency options. While... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70647; File No. SR-ISE-2013-50] Self-Regulatory...

  16. 78 FR 70382 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-11-25

    ..., with respect to index options, restrictions on exercise may be in effect until the opening of business... security of an option contract that is scheduled to be released just after the close on the business day... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70900; File No. SR-ISE-2013-58] Self-Regulatory...

  17. 75 FR 48731 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-08-11

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62655; File No. SR-FINRA-2010-042] Self... Change To Adopt FINRA Rule 4160 (Verification of Assets) August 5, 2010. Pursuant to Section 19(b)(1) of... rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...

  18. 75 FR 64384 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To...

    Science.gov (United States)

    2010-10-19

    ..., particularly in times of market stress, and exacerbate market volatility.\\8\\ \\7\\ See BATS Letter at 2; Deutsche... breakers. \\10\\ Id. \\11\\ Id. at 3-4. In its response, Nasdaq rejected the argument that the proposed... of individual exchange volatility moderators in times of market stress. In addition, as noted above...

  19. 76 FR 21076 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-04-14

    ... on the Exchange's Internet Web site at http://www.directedge.com . \\3\\ A Member is any registered... Parallel D or Parallel 2D with the DRT (Dark routing technique) option on BZX. BZX charges $0.0020 per... the DRT (Dark routing technique) option on BZX or SCAN/STGY on Nasdaq OMX Exchange (``Nasdaq.'') BATS...

  20. 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...

  1. 76 FR 47283 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-08-04

    ... excessive. The proposed rule change reflects a competitive pricing structure designed to incent market... maker/taker spread is competitive with other market centers maker/taker spreads (BATS BZX Exchange, $0... Exchange also notes that it operates in a highly competitive market in which market participants can...

  2. 76 FR 70202 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-11-10

    ... excessive. The proposed rule change reflects a competitive pricing structure designed to incent market... the proposed maker/taker spread was competitive with other market centers maker/ taker spreads (BATS.... The Exchange also notes that it operates in a highly competitive market in which market participants...

  3. 77 FR 15407 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-03-15

    ... reflects a competitive pricing structure designed to incent market participants to direct their order flow... OMX BX fee schedule at: http://www.nasdaqtrader.com/Trader.aspx?id=bx_pricing . \\15\\ See BATS BYX fee... rest of the trading session. See NASDAQ Rule 4758 and NASDAQ Pricing List at: http://www.nasdaqtrader...

  4. 77 FR 22008 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-04-12

    ... reflects a competitive pricing structure designed to incent market participants to direct their order flow... on the flag Q are reasonable when compared to competitive strategies on BATS, the DRT strategy \\12... in a highly-competitive market in which market participants can readily direct order flow to...

  5. 76 FR 35924 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-06-20

    ... reflects a competitive pricing structure designed to incent market participants to direct their order flow... indicated in the EDGX fee schedule for Flag MT. The $0.0012 per share is competitive and superior to....0023 per share (NYSE), and $0.0028 per share (BATS BZX). The fee is also equitable as it is competitive...

  6. 78 FR 10651 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-14

    ... excessive. The proposed rule change reflects a competitive pricing structure designed to incent market... it accounts for the pricing changes on BATS BYX. In addition, the proposal allows the Exchange to... Exchange also notes that it operates in a highly-competitive market in which market participants can...

  7. 76 FR 75924 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-12-05

    ...-Regulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change The Exchange... executions, executions by symbol, add versus remove, buy versus sell, display versus non-display, number of... QView service is similar to the services offered by the BATS exchange through its online member portal...

  8. 75 FR 34186 - Self-Regulatory Organizations; BATS Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc...

    Science.gov (United States)

    2010-06-16

    ... Bar Association Business Law Section to Elizabeth M. Murphy, Secretary, Commission, dated June 3, 2010... of Business, to Elizabeth M. Murphy, Secretary, Commission, dated May 26, 2010 (``Harris Letter...''); Letter from Alexander M. Cutler, Business Roundtable to Elizabeth M. Murphy, Secretary, Commission, dated...

  9. 78 FR 56955 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-09-16

    ... a direct pass through of the applicable economics for TRIM executions at NASDAQ BX (assuming the... participants can readily direct order flow to competing venues if they deem fee levels at a particular venue to... rule change as one establishing or changing a member due, fee, or other charge imposed by the Exchange...

  10. 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...

  11. 75 FR 9455 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Order Granting...

    Science.gov (United States)

    2010-03-02

    ... corporation, or in any related securities or related options or other derivative securities, while in... related options or other derivative securities, while in possession of material non-public information... liquidating an inventory position in a security or a derivative of such security based on non-public advance...

  12. 78 FR 39392 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-07-01

    ... issued by a corporation, or in any related securities or related options or other derivative securities... security or related options or other derivative securities, while in possession of material, non-public... Member from establishing an inventory position in a security or a derivative of such security based on...

  13. 75 FR 26301 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-05-11

    ... SYMC Symantec Corp. 162 TIVO TiVo Inc 253 AMED Amedisys Inc. 163 MNKD MannKind Corp 255 TM Toyota Motor... Marvell Technology Group 273 EP El Paso Corp. Ltd. 215 XLP Consumer Staples Select 274 SEED Origin...

  14. 78 FR 8617 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-06

    ... of the behavior described above, assume the Exchange has a posted and displayed bid to buy 100 shares....13 per share. Assume the NBBO is $10.10 by $10.12. If the Exchange receives a non-routable bid to buy 100 shares at $10.12 per share the Exchange will rank the order to buy at $10.12 and display the order...

  15. 77 FR 50199 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-08-20

    ... an optional order handling behavior functionality that will continue to re-price, re-rank and/or re... Exchange has a posted and displayed bid to buy 100 shares of a security priced at $10.10 per share and a.... If the Exchange receives a non-routable bid to buy 100 shares at $10.12 per share the Exchange will...

  16. 77 FR 59227 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule...

    Science.gov (United States)

    2012-09-26

    ... man-made disaster, act of God, armed conflict, act of terrorism, riot, or labor disruption, or any... strategies. The liquidity of a security, especially in the case of asset-backed and mortgage-backed debt... strategies, as described above, the Fund may invest in money market securities in a manner consistent with...

  17. 75 FR 71168 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-11-22

    ... flexibility and the ability to more closely tailor their investment and risk management strategies and... will aid investors by offering opportunities to manage risk and execute a variety of option strategies... to provide investors with additional strikes for investment, trading, and risk management purposes. 2...

  18. 77 FR 23307 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-04-18

    ... Member's new High Water Mark will now be 0.15%. With respect to Customer orders, the Exchange currently....00 of price improvement -$0.45 access fee = $0.55 better economics). This math is equally true for... Pilot Securities will benefit investors by improving the overall economics of the resulting transactions...

  19. 77 FR 8315 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-14

    ... believes that the proposal will provide companies with another option for raising capital in the public... efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). At any time within 60 days of the...

  20. 78 FR 36621 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-06-18

    ... 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 cancel a... Routing Broker that affects one or more orders (``Error Positions''). By definition, an Error Position...

  1. 78 FR 62921 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-22

    ... proposed rule change effective upon filing with the Commission. The Commission is publishing this notice to... program with Interactive Data Corporation, acting by and through its division, Interactive Desktop...

  2. 75 FR 55838 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-09-14

    ...-brand one of its routing strategies, currently referred to as ``DART,'' as the ``Dark Routing Technique'' or ``DRT''. Accordingly, the Exchange proposes modification of the ``DART'' acronym throughout the... on the subject line. Paper Comments Send paper comments in triplicate to Elizabeth M. Murphy...

  3. 76 FR 45636 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-07-29

    ... aggressive quoting and shift economics associated with non-transparent payment for order flow arrangements to... with Section 6(b)(5) of the Act,\\9\\ because it would promote just and equitable principles of trade...

  4. 75 FR 8769 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change, as...

    Science.gov (United States)

    2010-02-25

    ... subject to significant competitive pressure to act equitably, fairly, and reasonably in setting the physical port fees, in light of the highly competitive nature of the market for execution and routing...

  5. 77 FR 43892 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-07-26

    ... also FINRA Rule 3230(e). Outsourcing Telemarketing Proposed Rule 3.23(g) states that if a Member uses... Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. See...

  6. 77 FR 34434 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-06-11

    ... Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. (``Apex Clearing'') as an Exchange Member... significant collateral impact to a number of other Members. The proposed temporary suspension is contingent...'').\\5\\ \\4\\ Prior to the Transaction, Apex Clearing's name was Ridge Clearing & Outsourcing Solutions...

  7. 75 FR 33875 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-06-15

    ... membership in the Exchange. The text of the proposed rule change is available at the Exchange's Web site at http://www.batstrading.com , on the Commission's Web site at http://www.sec.gov , at the principal... for its equity securities market with respect to Modified Destination Specific Orders routed to a dark...

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

    Science.gov (United States)

    2010-10-27

    ... Exchange proposes to refer to this routing as ``B2B'' routing, and proposes to rebate $0.0003 per share for B2B orders routed to and executed by BYX. As described above, this is the same rebate applicable to...

  9. 78 FR 18384 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To...

    Science.gov (United States)

    2013-03-26

    ... operates a competitive liquidity provider program that provides incentives to certain Exchange market... rewards would go to the market maker with the highest number of winning tests and 20% of the total rewards... to allocate the rewards differently. Instead of a fixed dollar amount, the Exchange would reward the...

  10. 78 FR 69509 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-11-19

    ... incentives for the CLP Program\\5\\ and thereafter amended certain of the financial incentives and criteria for... of daily financial rewards on the number of SET Credits awarded to CLPs; (3) change the allocation of the daily financial rewards to a set dollar value per CLP in each class of security; and (4) make...

  11. 75 FR 63880 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-10-18

    ... strategy. (i) Adoption of Definitions The Exchange proposes to distinguish pricing for routed orders that... Exchange proposes to modify the ``Options Pricing'' section of its fee schedule to: (i) Adopt definitions of ``Customer,'' ``Firm,'' and ``Market Maker'' for purposes of routing pricing; (ii) modify its...

  12. 77 FR 39538 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-07-03

    ... Exchange's normal routing strategies would apply, and, to the extent that other market centers have better... the proposed pricing threshold because a User is subject to certain specific obligations when pricing...-Through and Locked and Crossed Market protection. \\17\\ This definition for Crossed Market is consistent...

  13. 76 FR 13243 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-03-10

    ... proposes to modify the ``Options Pricing'' section of its fee schedule to: (i) Adopt a definition for average daily volume, or ``ADV''; (ii) introduce a tiered pricing structure applicable to the fees for... any changes to the pricing of its standard routing or destination specific routing strategies. In...

  14. 76 FR 41546 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-07-14

    ... definitions relating to such pricing structure; (iii) adopt a program, the ``NBBO Setter Program,'' which will...) Increase the standard fee to access the Exchange; (ii) introduce a tiered pricing structure applicable to... routing fee for the CYCLE, RECYCLE, Parallel D and Parallel 2D routing strategies; \\6\\ and (vii) make...

  15. 76 FR 50525 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-08-15

    .... Purpose The Exchange proposes to modify the ``Options Pricing'' section of its fee schedule to: (i... Destination Specific routing strategies \\6\\ charged for routing Customer \\7\\ orders to certain markets. \\6\\ As... schedule, and consistent with the definition of a Customer order, classification as Firm and Market Maker...

  16. 75 FR 17985 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-04-08

    ....'' The text of the proposed rule change is available at the Exchange's Web site at http://www.batstrading.com , on the Commission's Web site at http://www.sec.gov , at the principal office of the Exchange... a ``Dark Scan'' order). Although the identity of the Alternative Trading Systems to which a Dark...

  17. 78 FR 52814 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-26

    ... content). The Series 56 examination program was developed in conjunction with FINRA, and is shared by the..., experience, and competence for Exchange Members and their associated persons.\\20\\ The Exchange proposes to... Authorized Traders of Members have attained specified levels of competence and knowledge generally applicable...

  18. 78 FR 19350 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-29

    ... physical ports free of charge at the primary data center and charges $2,500 per month for each additional single physical port at such data center. Separately, the Exchange charges $1,000 for each 1G physical port at the secondary data center. The Exchange proposes to normalize its 1G physical port fee at $1...

  19. 77 FR 48576 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-08-14

    ... and will become operative on August 1, 2012. (ii) Physical Ports to Secondary Data Center The Exchange currently charges for both ``logical'' ports used for order entry or receipt of Exchange data, and... application, such as FIX order entry or PITCH data receipt. In contrast, a physical port is the port that is...

  20. 78 FR 29805 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-05-21

    ... at the Exchange's primary data center and one port at the Exchange's secondary data center. With... primary data center and that no logical port fees will be assessed for redundant secondary data center... Members or non- members, as the Exchange is already providing secondary data center ports free of charge...

  1. 77 FR 31059 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-05-24

    ... structure for logical ports used to receive Multicast PITCH data from the Exchange, but rather, simply an... logical ports necessary to receive Multicast PITCH data from the Exchange, which is reflected on the... includes one port at the Exchange's primary data center and another port at the Exchange's secondary data...

  2. 78 FR 40239 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval to Proposed Rule...

    Science.gov (United States)

    2013-07-03

    ... Vacancies A Member Representative Director is defined in relevant part in Article I of the Current By-Laws... board.\\18\\ The Exchange has stated that, under these circumstances, time is of the essence and waiting...

  3. 76 FR 6641 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-02-07

    ... affect the protection of investors or the public interest, does not impose any significant burden on...) option classes on individual stocks (``$5 Strike Price Program'') to provide investors and traders with... classes on individual stocks (``$5 Strike Price Program'') to provide investors and traders with...

  4. 77 FR 35735 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-06-14

    ... reasonable in that it rewards a Member's growth patterns. Such increased volume increases potential revenue..., such as higher levels of liquidity provision and/or growth patterns, and introduction of higher volumes... incentive programs operated by the Exchange. The increased liquidity also benefits all investors by...

  5. 77 FR 72894 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-12-06

    ... by Members. As is currently the case, orders subject to the Tool will be validated by the Exchange... Change To Expand the Availability of Risk Management Tools November 30, 2012. Pursuant to Section 19(b)(1... Exchange's Risk Management Tool (the ``Tool'') to all Exchange Members.\\3\\ The Tool is currently available...

  6. 76 FR 62107 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Order Granting...

    Science.gov (United States)

    2011-10-06

    ... Security Act of 1974 (as amended) (``ERISA'') Plan fiduciary as the investment manager of stock held as... fiduciary; and (2) any designated investment adviser may vote such proxies. The Exchange also proposes... stock or their designated investment advisors. \\20\\ 15 U.S.C. 78f(b)(5). The Commission also finds good...

  7. 76 FR 44388 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-07-25

    ..., including The NASDAQ Stock Market LLC (``NOM''), NASDAQ OMX PHLX LLC (``Phlx''), Chicago Board Options... strategies that the investor put into play were disrupted and eliminated when the class was removed. The... trading opportunities and flexibility and the ability to more closely tailor their investment and risk...

  8. 78 FR 8680 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-06

    ... free and open market and a national market system, and, in general, to protect investors and the public... objectives of perfecting the mechanism of a free and open market and the national market system because it... purposes of the Act. The delay in the operation of the market-wide circuit breaker pilot until April 8...

  9. 77 FR 54633 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change, as...

    Science.gov (United States)

    2012-09-05

    ... Maker Peg Order below one round lot, the market maker would need to enter a new order, after performing... Access Rule and Regulation SHO prior to entering a new Market Maker Peg Order. The Commission also... No. 1, To Adopt a New Market Maker Peg Order Available to Exchange Market Makers August 29, 2012. I...

  10. 77 FR 8310 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-14

    ... in Make/Take issues, based on the existing base rate of $0.31 per contract plus additional costs... Exchange proposes to modify the ``Options Pricing'' section of its fee schedule to change pricing with... options exchanges that have been placed into three groups based on the approximate cost of routing to such...

  11. 77 FR 63393 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-10-16

    ... Symbols currently include options on Facebook (``FB''), Google (``GOOG'') and Groupon (``GRPN''). The fee... Reference Room, 100 F Street NE., Washington, DC 20549, on official business days between the hours of 10:00...

  12. 77 FR 59425 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-27

    ... Facebook (``FB''), Google (``GOOG'') and Groupon (``GRPN''). As announced by NOM, the fee to remove...., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Copies of the filing...

  13. 77 FR 68862 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-11-16

    ..., the term ``Specified Symbols'' refers to FB, GOOG, and GRPN. Based on recent changes to NOM pricing... pennies. Under this pricing structure, the minimum penny tick increment equates to a $1.00 economic value... Exchange believes that this pricing model, based on approximate Routing Costs is a reasonable, fair and...

  14. 75 FR 70326 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-11-17

    ... quotes/orders. While Members that generally remove liquidity from the Exchange will be paying a higher fee, the Exchange believes that such Members will benefit to the extent the higher rebate paid by the... charged by other venues. Finally, the Exchange believes that the proposed rates are equitable in that they...

  15. 76 FR 20414 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-04-12

    ... continuing to offer competitive pricing while also permitting the Exchange to avoid significant monetary... Exchange proposes to modify the ``Options Pricing'' section of its fee schedule to: (i) Adopt a definition for Total Consolidated Volume (``TCV''), to be used for purposes of the tiered pricing structure...

  16. 78 FR 62804 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-10-22

    ... the Exchange by continuing to offer competitive pricing while also creating additional incentives to... tiered pricing structure through which Members can realize higher rebates for adding displayed liquidity... well as the rebates provided to Members not qualifying for tiered pricing. For purposes of the fee...

  17. 76 FR 1205 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-01-07

    ... Options by offering competitive pricing, especially for those who add liquidity that sets the NBB or NBO..., the Proposed Rule Change 1. Purpose The Exchange proposes to modify the ``Options Pricing'' section of its fee schedule to: (i) Modify its pricing for Customer \\6\\ orders by decreasing the fee for removing...

  18. 77 FR 74540 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule...

    Science.gov (United States)

    2012-12-14

    ... Kingdom, the United States, and Venezuela.\\10\\ Countries may be added to, eliminated from, or replaced in... Venezuela $72. The universe of sovereign debt currently includes securities that are rated ``investment... disclosure policies, distributions, taxes, and reports to be distributed to beneficial owners of the Shares...

  19. 76 FR 63685 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-10-13

    ... separately for Users of the Exchange's cash equities platform and the Exchange's equity options platform... requested by the User for monitoring by Correlix; each ``port'' is a FIX or binary order entry (``BOE... monthly base fee for the first 25 ports requested by the User for latency monitoring, and an additional $1...

  20. 78 FR 74212 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule...

    Science.gov (United States)

    2013-12-10

    ... Trade Shares of the iShares Liquidity Income Fund December 4, 2013. I. Introduction On September 19... Liquidity Income Fund (``Fund''). The proposed rule change was published for comment in the Federal Register...- income exchange-traded funds. See, infra, note 20. The exchange states that the liquidity of a security...

  1. 77 FR 58198 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-09-19

    ... Change Related to Fees Applicable to the Exchange's Competitive Liquidity Provider Program. September 13... Competitive Liquidity Providers (``CLPs'') to enhance liquidity on the Exchange in Exchange- listed securities (``Competitive Liquidity Provider Program'' or ``CLP Program'').\\6\\ The Exchange subsequently adopted financial...

  2. 77 FR 11608 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-02-27

    ... Change Adopting Rebates for the Competitive Liquidity Provider Program February 21, 2012. Pursuant to... makers registered with the Exchange as Competitive Liquidity Providers (``CLPs'') to enhance liquidity on the Exchange in securities listed on the Exchange (the ``Competitive Liquidity Provider Program'' or...

  3. 77 FR 16110 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-03-19

    ... and would consider engaging appropriately qualified entities such as independent accounting firms, law... commission an annual review and report by an independent accounting firm of the compliance of the Affiliate... exclude from the definition of Rule 14.3(e)--solely for purposes of this rule--securities that meet the...

  4. 78 FR 8640 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To...

    Science.gov (United States)

    2013-02-06

    ... provides recipients with uncompressed real-time data regarding the current status of price and size... (``NBO''), or the Final Last Sale Eligible Trade,\\10\\ depending on market conditions at the time of the... and Reference Sell Shares to potentially manipulate the price of the auction.\\20\\ By disseminating...

  5. 78 FR 3489 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule...

    Science.gov (United States)

    2013-01-16

    ... value of an underlying index or portfolio is no longer calculated or available on at least a 15-second... administered has changed in the following manner: \\15\\ See supra note 7. Rebalancing and positioning now occur... purposes. Index Component Rebalancing Index Component weights are fixed each year and rebalanced back to...

  6. 77 FR 35719 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-06-14

    ... Exchange's Web site at http://www.batstrading.com , at the principal office of the Exchange, and at the... generally, market makers and other participants alike, in managing risk and providing deep and liquid...: [[Page 35721

  7. 78 FR 10229 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-02-13

    ...\\ These include, without limitation, options, equities, futures, derivatives, indexes, exchange traded... platforms (e.g. equity and ETF, index, derivatives, futures, foreign currency, and even commodities products... Rule Change To Modify the Short Term Options Series Program February 7, 2013. Pursuant to Section 19(b...

  8. 75 FR 52558 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-08-26

    ...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed... costs associated with system issues that are attributable to cancelled AON orders. A Professional order... organization in order for a member organization to be assessed the Cancellation Fee (``500 Threshold''). The...

  9. 77 FR 67427 - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2012-11-09

    ... Rules provide updates related to anti-money laundering legislation applicable to customers, clarify... proposed rule change will have any impact or impose any burden on competition. C. Self-Regulatory...

  10. 76 FR 49809 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-11

    ... proprietary traders. The Series 56 examination program is shared by NASDAQ and the following self-regulatory..., experience and competence for members and their associated persons, in particular, by offering a new...

  11. 76 FR 72991 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-11-28

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65800; File No. SR-C2-2011-035] Self-Regulatory... Rule Change Related to a Temporary Quote Risk Monitor Mechanism Rule November 21, 2011. Pursuant to...). \\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. Self-Regulatory...

  12. 76 FR 12144 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of a...

    Science.gov (United States)

    2011-03-04

    ..., which should provide a clearer picture of its risk exposure and generally facilitate better risk... organizations' respective ``stand-alone'' margin requirements--in other words, an amount reflecting the ratio of... clearing organization had a net loss (``worse- off party''), and the other had a net gain (``better-off...

  13. 75 FR 54680 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-09-08

    ...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The proposed rule change will amend DTC rules to provide that any officer having a rank of Managing Director or higher is... Organization's Statement on Burden on Competition DTC does not believe that the proposed rule change will...

  14. 75 FR 30081 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-05-28

    ...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Risk Management Interface May 24, 2010. Pursuant to Section 19(b)(1) of the...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange...

  15. 77 FR 66196 - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2012-11-02

    ... Accounting Principles (``GAAP''). Canadian clearing members that use Form 1 report the same, and in some... Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Financial... financial reporting by Canadian clearing members to reflect the Investment Industry Regulatory Organization...

  16. 76 FR 26777 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2011-05-09

    ...) System Event Messages (e.g., start of messages, start of system hours, start of quoting, start of opening... assignments, to take advantage of the proposed $500 cap and thereby limit costs. \\11\\ Typically, a smaller... organization an opportunity to take advantage of a fee cap, similar to a larger member organization, given that...

  17. 75 FR 4894 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and...

    Science.gov (United States)

    2010-01-29

    ... processing accounts will be revised from a tiered structure to a flat monthly charge per account. A change...-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The purpose of the...

  18. 77 FR 38694 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2012-06-28

    ... matrix will be an effective means of assessing related fees. For instance, the proposed fee structure...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate... Organization's Statement of the Terms of the Substance of the Proposed Rule Change FINRA is proposing to amend...

  19. 77 FR 34436 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2012-06-11

    ... Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Temporarily... International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange... Clearing and Outsourcing Solutions, Inc. (``Apex Clearing'') as an ISE member organization, subject to Apex...

  20. 77 FR 52373 - Self-Regulatory Organizations; NASDAQ Stock Market, LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-08-29

    ...-Regulatory Organizations; NASDAQ Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership in The NASDAQ Stock Market LLC August 23, 2012. Pursuant to Section... is hereby given that on August [[Page 52374

  1. 75 FR 9468 - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of...

    Science.gov (United States)

    2010-03-02

    ... member firm regulation operations into a combined organization, FINRA. Pursuant to Rule 17d-2 under the... Loans and Advances), 328 (Sale-And-Leasebacks, Factoring, Financing and Similar Arrangements), 416.20...

  2. 78 FR 54502 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2013-09-04

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule... Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission... or manipulative motivation for the trading activity at issue.\\4\\ Specifically, proposed Supplementary...

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

    Science.gov (United States)

    2010-06-10

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

  4. 76 FR 20759 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-04-13

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate..., 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange.... For more information about the rulebook consolidation process, see Information Notice, March 12, 2008...

  5. 76 FR 40412 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-07-08

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate..., Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission... a more limited application by their terms. For more information about the rulebook consolidation...

  6. 75 FR 60157 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-09-29

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate..., 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange... information about the rulebook consolidation process, see Information Notice, March 12, 2008 (Rulebook...

  7. 75 FR 71164 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-11-22

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate..., 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange.... For more information about the rulebook consolidation process, see Information Notice, March 12, 2008...

  8. 76 FR 12380 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2011-03-07

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1..., the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange... information about the rulebook consolidation process, see Information Notice, March 12, 2008 (Rulebook...

  9. 76 FR 66344 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2011-10-26

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change... 31, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of... consolidation process, see Information Notice, March 12, 2008 (Rulebook Consolidation Process). For convenience...

  10. 75 FR 17456 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2010-04-06

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change..., Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission... terms. For more information about the rulebook consolidation process, see Information Notice, March 12...

  11. 75 FR 66410 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-10-28

    ...-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Sales Value Fee October 22, 2010. Pursuant to Section 19(b... hereby given that, on October 14, 2010, the International Securities Exchange, LLC (the ``Exchange'' or...

  12. 78 FR 3058 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-15

    ... Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Mode provides ECNs with advertising through attributed quotations which facilitates an increasing rate... comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for...

  13. 77 FR 23770 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2012-04-20

    ...: The financial markets as a whole should benefit from [limit order display] because the price discovery... revised tier sizes and corresponding liquidity minimum amounts are in the best interest of the market for...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1...

  14. 78 FR 68893 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2013-11-15

    ... that the size of the BBO equals the minimum quote size. Number of market makers actively quoting...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size...

  15. 78 FR 69732 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2013-11-20

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for...

  16. 76 FR 65224 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2011-10-20

    ..., such as promoting market transparency for over-the-counter derivatives markets, promoting the prompt... registration as a derivatives clearing organization under the Commodity Exchange Act (``CEA'') and do not... accurate clearance and settlement of derivative agreements, contracts, and transactions because it should...

  17. 76 FR 54270 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2011-08-31

    ... market transparency for over-the-counter derivatives markets, promoting the prompt and accurate clearance... derivatives clearing organization under the Commodity Exchange Act (``CEA'') and do not significantly affect... clearing agency be designed to promote the prompt and accurate clearance and settlement of derivative...

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

    Science.gov (United States)

    2011-01-19

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

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

    Science.gov (United States)

    2011-12-16

    ...-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed... November 30, 2011. The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and... Change The NASDAQ Stock Market LLC proposes to amend Rule 7056 entitled ``NASDAQ Options Fee Disputes...

  20. 78 FR 132 - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of...

    Science.gov (United States)

    2013-01-02

    ... family member' means a person's spouse, parents, children and siblings, whether by blood, marriage or... to the definitions applicable to categories of Directors: (1) NASDAQ OMX proposes a new definition of... member organizations of Phlx. (2) NASDAQ OMX is adopting a new definition of ``Issuer Director'' and...

  1. 75 FR 13187 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-03-18

    ...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange... suggests or implies a representation or opinion by Frank Russell Company as to the attractiveness of... Russell Company is not the issuer of any such securities or other financial products and makes no express...

  2. 77 FR 50191 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To...

    Science.gov (United States)

    2012-08-20

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Establish ``Benchmark Orders'' Under NASDAQ Rule 4751(f) August 14, 2012. I. Introduction On May 1, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange...

  3. 78 FR 3928 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Disapproving Proposed Rule...

    Science.gov (United States)

    2013-01-17

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Disapproving Proposed Rule Change To Establish ``Benchmark Orders'' Under NASDAQ Rule 4751(f) January 11, 2013. I. Introduction On May 1, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and Exchange Commission...

  4. 77 FR 3531 - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2012-01-24

    ... Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Enhance Risk Management.... Description The rule change will enhance the risk management controls associated with DTC's Receiver... Participant's net debit cap is placed on a pending (recycling) queue until another transaction creates...

  5. 78 FR 53812 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-30

    ... Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change... Proprietary Trader Program (S501) Continuing Education Regulatory Element Session on the BOX Market LLC (``BOX'') options facility. While changes to the fee schedule pursuant to this proposal will be effective upon...

  6. 76 FR 5415 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving...

    Science.gov (United States)

    2011-01-31

    ... Rule Change Regarding Rule 4.20--Anti-Money Laundering Compliance Program January 25, 2011. I... Rule 4.20, Anti-Money Laundering Compliance Program, to require all Trading Permit Holders or TPH... or TPH organization's existence to ensure anti-money laundering compliance is in place and...

  7. 78 FR 4186 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2013-01-18

    ... securities offered or sold pursuant to crowdfunding.\\5\\ Intermediaries in transactions involving the offer or sale of securities for the account of others pursuant to the crowdfunding exemption must, among other...- regulatory organization.\\7\\ \\4\\ Public Law 112-106, 126 Stat. 306 (2012). \\5\\ In general, crowdfunding refers...

  8. 75 FR 59771 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the...

    Science.gov (United States)

    2010-09-28

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule.... I. Introduction On July 27, 2010, the Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k... pertinent distribution-related information from its members in a timely fashion to facilitate its Regulation...

  9. 77 FR 61463 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-10-09

    ... entry of erroneous orders. In addition, the Market Access Rule requires certain regulatory risk... authorized by the broker-dealer. These regulatory risk management controls also include measures designed to...-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...

  10. 75 FR 21686 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-04-26

    ... to pay arbitration awards to remain in the securities industry presents regulatory risks and is...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule... Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC'' or...

  11. 77 FR 58194 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2012-09-19

    ....S. Generally Accepted Accounting Principles. Canadian clearing members that use Form 1 report the... Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Financial... technical ``housekeeping'' changes to OCC's By-Laws and Rules relating to financial reporting by Canadian...

  12. 75 FR 41254 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Science.gov (United States)

    2010-07-15

    ... registered capacity, may work in other investment-related industries, such as financial planning, or may seek...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule..., 2010, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and...

  13. 77 FR 46533 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order...

    Science.gov (United States)

    2012-08-03

    ... securities clearing operations of the clearing agency or any related rights or obligations of the clearing... to safeguard the securities and funds in its custody or control, or for which it is responsible.\\6... designated clearing organization; and (iii) the activity relating to CME's non-security clearing operations...

  14. 78 FR 24257 - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2013-04-24

    ... positions are in-the- money or out-of-the-money. Volume, like open interest, is a measure of a Clearing... demands on OCC's services and facilities that are not captured by the current methodology. IV. Conclusion... Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Implement a Revised...

  15. 77 FR 60738 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-10-04

    ... conjunction with this proposed re-organization of the Fees Schedule, some items are being moved within the Fees Schedule and clarifications are being given. Currently, broker-dealer transaction fees apply to... the Fees Schedule, or any Exchange fees, are being made. All information that is proposed to appear in...

  16. 78 FR 33456 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing Proposed Rule...

    Science.gov (United States)

    2013-06-04

    ... certain locked- in trade sources in the future based on volumes and processing costs. \\9\\ Designated...-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing Proposed Rule Change to Include trueEX LLC as a Designated Locked-In Trade Source Pursuant to the Rulebook of the Government Securities...

  17. 76 FR 56246 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-09-12

    ... Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule..., 2011, the Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange... methodology is less subject to manipulation and will allow the Exchange to recoup some of the costs of...

  18. 78 FR 8211 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-02-05

    ... Effectiveness of a Proposed Rule Change Relating To Delay the Operative Date of a Rule Change To Exchange Rule 6... Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to delay... the 30-day operative delay, the Commission has considered the proposed rule's impact on efficiency...

  19. 75 FR 25010 - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and...

    Science.gov (United States)

    2010-05-06

    ...-025, The NASDAQ Stock Market LLC (``NASDAQ Exchange'') sought and received Commission approval to... requirements apply to elections of directors and were not amended. Each share of common stock has one vote,\\8...-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate...

  20. 76 FR 7236 - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Boston Stock Exchange...

    Science.gov (United States)

    2011-02-09

    ...: (i) Significantly affect the protection of investors or the public interest; (ii) impose any... Stockholders' Agreement Between The NASDAQ OMX Group, Inc. and Investor AB February 3, 2011. Pursuant to... parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX''), and Investor AB, a corporation organized...

  1. 75 FR 47664 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-08-06

    ..../The 331 ESI ITT Educational Services Inc. 280 TSL Trina Solar Ltd. 332 NKE NIKE Inc. 282 EWW iShares...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed..., notice is hereby given that on July 22, 2010, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange'') filed with...

  2. 76 FR 27370 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-05-11

    ... equitable in that it is designed to incentivize Members to use the RDOT or RDOX routing strategies to... pricing structure designed to incent market participants to direct their order flow to the Exchange. The...-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...

  3. 76 FR 11550 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2011-03-02

    ...-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols February 24, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4...

  4. 76 FR 18814 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2011-04-05

    ...-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols March 30, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), \\1\\ and Rule 19b-4...

  5. 78 FR 20160 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Withdrawal of Proposed...

    Science.gov (United States)

    2013-04-03

    ... Organizations; Chicago Mercantile Exchange Inc.; Notice of Withdrawal of Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology March 28, 2013. On December 10, 2012, Chicago Mercantile... Section 19(b)(1) of the Securities Exchange Act of 1934 \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule...

  6. 77 FR 19399 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-03-30

    ... corporate structure of the Exchange, which will promote just and equitable principles of trade and help to... governance documents of Alpha Beta Netherlands Holding N.V., a holding company organized under the laws of... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles...

  7. 77 FR 19391 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-03-30

    ... corporate structure of the Exchange, which will promote just and equitable principles of trade and help to... other governance documents of Alpha Beta Netherlands Holding N.V., a holding company organized under the... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles...

  8. 76 FR 67236 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-10-31

    ... a foreign financial institution, and as part of the corporate control transaction, the foreign... subsidiaries, both of which are U.S. non-broker-dealer financial institutions, and as part of the corporate...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate...

  9. 76 FR 47627 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-08-05

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Two Market Data Feeds August 1, 2011. Pursuant to Section 19(b)(1) of the... on August 1, 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed...

  10. 76 FR 51075 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval to...

    Science.gov (United States)

    2011-08-17

    ... Organizations; International Securities Exchange, LLC; Order Granting Approval to a Proposed Rule Change Relating to Appointments to Competitive Market Makers August 11, 2011. I. Introduction On June 10, 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities...

  11. 77 FR 37722 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-06-22

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Rules and Fees Related to the Second Market June 18, 2012. Pursuant to...\\ notice is hereby given that on June 6, 2012, the International Securities Exchange, LLC (the ``Exchange...

  12. 78 FR 24271 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-04-24

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Maker Plus Rebate Program April 18, 2013. Pursuant to Section 19(b)(1... hereby given that on April 10, 2013, the International Securities Exchange, LLC (the ``Exchange'' or the...

  13. 77 FR 1757 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-01-11

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options January 5, 2012...,\\2\\ notice is hereby given that on December 28, 2011, the International Securities Exchange, LLC (the...

  14. 78 FR 17988 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-03-25

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quoting Requirements March 19, 2013. Pursuant to Section 19(b)(1) of... given that on March 5, 2013, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE...

  15. 75 FR 62900 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-10-13

    ...-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on October 4, 2010, International Securities...

  16. 78 FR 45580 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2013-07-29

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Market Maker Fees July 23, 2013. Pursuant to Section 19(b)(1) of the... hereby given that on July 11, 2013, the International Securities Exchange, LLC (the ``Exchange'' or the...

  17. 76 FR 32382 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-06-06

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Second Market Fees May 27, 2011. Pursuant to Section 19(b)(1) of the Securities..., 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the...

  18. 77 FR 31680 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2012-05-29

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Qualification Standards for Market Makers To Receive a Rebate May 22, 2012...-4 thereunder,\\2\\ notice is hereby given that on May 15, 2012, the International Securities Exchange...

  19. 76 FR 56832 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-09-14

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a New Market Data Feed September 8, 2011. Pursuant to Section 19(b)(1) of the... on August 31, 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE...

  20. 77 FR 37944 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2012-06-25

    ... Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Allow Competitive Market Makers To Use Their Membership Points To Enter Multiple Quotes in an Options Class June 19... 19b-4 thereunder,\\2\\ notice is hereby given that on June 6, 2012, the International Securities...

  1. 76 FR 1488 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-01-10

    ...-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 28, 2010, the International...

  2. 76 FR 37863 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Science.gov (United States)

    2011-06-28

    ... Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Appointments to Competitive Market Makers June 22, 2011. Pursuant to Section 19(b)(1) of the Securities... that on June 10, 2011, the International Securities Exchange, LLC (the ``Exchange'' or the ``ISE...

  3. 75 FR 2913 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-01-19

    ...-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options...\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 31, 2009, the International...

  4. 75 FR 42812 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-07-22

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options July 15, 2010..., \\2\\ notice is hereby given that on June 30, 2010, International Securities Exchange, LLC (``ISE'' or...

  5. 76 FR 64417 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2011-10-18

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Competitive Market Maker Trading Rights October 12, 2011. Pursuant to Section...\\ notice is hereby given that on October 3, 2011, the International Securities Exchange, LLC (the...

  6. 75 FR 29793 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-05-27

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate... (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on May 4, 2010, Financial.... For more information about the rulebook consolidation process, see Information Notice, March 12, 2008...

  7. 75 FR 80556 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-12-22

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 13, 2010, Financial Industry... application by their terms. For more information about the rulebook consolidation process, see Information...

  8. 77 FR 7218 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2012-02-10

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate... thereunder,\\2\\ notice is hereby given that on January 30, 2012, Financial Industry Regulatory Authority, Inc.... For more information about the rulebook consolidation process, see Information Notice, March 12, 2008...

  9. 75 FR 2897 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2010-01-19

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule... hereby given that on December 23, 2009, Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a... consolidation process, see Information Notice, March 12, 2008 (Rulebook Consolidation Process). NASD Rule 2450...

  10. 76 FR 60106 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-09-28

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate... 14, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of.... For more information about the rulebook consolidation process, see Information Notice, March 12, 2008...

  11. 75 FR 27606 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-05-17

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate...\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on April 27, 2010, the Financial Industry... restated following the formation of FINRA through the consolidation of NASD and the member regulatory...

  12. 75 FR 43588 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Science.gov (United States)

    2010-07-26

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule... FINRA Rule 4320 in the Consolidated FINRA Rulebook July 20, 2010. On May 21, 2010, the Financial... application by their terms. For more information about the rulebook consolidation process, see Information...

  13. 75 FR 5157 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Science.gov (United States)

    2010-02-01

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change... Consolidated FINRA Rulebook January 25, 2010. On December 2, 2009, the Financial Industry Regulatory Authority... later in the rulebook consolidation process. It is therefore ordered, pursuant to Section 19(b)(2) of...

  14. 75 FR 15470 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2010-03-29

    ...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is proposing... (Disclosure of Price and Concessions in Selling Agreements) and the deletion of NASD Rule 2770 (Disclosure of Price in Selling Agreements). FINRA Rule 5160 was approved by the Commission on January 25, 2010 \\5\\ and...

  15. 78 FR 76182 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2013-12-16

    ... that it has a clear and transparent governance structure, as well as clarify the organization, duties... Governance Committee Charter December 11, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act... Clearing Corporation (``OCC'') concerns the charter of the Governance Committee (``GC Charter'') of OCC's...

  16. 78 FR 77181 - Self-Regulatory Organizations; The Options Clearing Corporation; Advance Notice Concerning the...

    Science.gov (United States)

    2013-12-20

    ... financial system because it will enhance the transparency of OCC's governance arrangements. The advance...-Regulatory Organizations; The Options Clearing Corporation; Advance Notice Concerning the Governance... Advance Notice This advance notice concerns the charter of the Governance Committee (``GC Charter'') of...

  17. 78 FR 13919 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-01

    ... Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Exchange proposes to amend Article 8, Rule 13 (Advertising, Promotion and Telemarketing), which, among.... Date of Effectiveness of the Proposed Rule Changes and Timing for Commission Action The Exchange...

  18. 75 FR 51138 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-08-18

    ...-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule.... * * * '' The rule includes an exception for any matter that is ``clearly distinguishable as paid advertising... beyond paid advertising to also include compensation paid in connection with research reports and...

  19. 75 FR 51122 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2010-08-18

    ...-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... as paid advertising.'' EDGA agrees with FINRA's reasoning for proposing changes to its Rule 5230... exceptions in the rule beyond paid advertising to also include compensation paid in connection with research...

  20. 77 FR 47470 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Science.gov (United States)

    2012-08-08

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal of Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook August 2, 2012. On April 22, 2009, the Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a...

  1. 76 FR 63969 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2011-10-14

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated... Account Statements) in the Consolidated FINRA Rulebook (``Notice''). The Notice contained incorrect...

  2. 77 FR 7621 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-02-13

    ... OCC, settlement of the Cost of Carry Payment may be postponed until the business day following the business day on which such amount was provided. Furthermore, the amount of the Cost of Carry Payment... Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule...

  3. 76 FR 46866 - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing of Proposed...

    Science.gov (United States)

    2011-08-03

    ... reduce the credit risk to the parties involved in the transaction. Failure to cancel or offset the stock... Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Amend Article... Cancellation of the Stock Leg of Stock- Option Transactions Done on the Exchange July 28, 2011. Pursuant to...

  4. 78 FR 62784 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Science.gov (United States)

    2013-10-22

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer... 5210 (Publication of Transactions and Quotations) October 4, 2013. I. Introduction On August 15, 2013, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission...

  5. 76 FR 21932 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Science.gov (United States)

    2011-04-19

    ... statement therein, as follows: I. Introduction On February 4, 2011, the Financial Industry Regulatory...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a... Financial Industry Regulatory Authority, Inc. (``FINRA'') to amend Rule 13806 of the Code of Arbitration...

  6. 78 FR 69900 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-21

    ... the efficiency and cost-effectiveness of trading on the Exchange. Amended Rebate for Double Play... Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... to adjust the volume thresholds that must be met before an ETP Holder can be eligible to pay the...

  7. 75 FR 42801 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Science.gov (United States)

    2010-07-22

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed... at or under the threshold are charged the constituent's prescribed execution fee. This waiver applies... members to execute large-sized FX options orders on the Exchange in a manner that is cost effective. The...

  8. 76 FR 29018 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order...

    Science.gov (United States)

    2011-05-19

    ... Participant's required deposit being fixed by FICC in accordance with formulas as specified in the Rules...-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Granting Accelerated..., the Fixed Income Clearing Corporation (``FICC'') filed with the Securities and Exchange Commission...

  9. 77 FR 59231 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2012-09-26

    ... proposed changes to OCC's Rules provide for the calculation of margin for segregated futures customer... the Commission, and all written communications relating to the proposed rule change between the... Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the...

  10. 76 FR 50796 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Science.gov (United States)

    2011-08-16

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position Limit for Options on the Standard and Poor's... Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission...

  11. 76 FR 48195 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2011-08-08

    ... Participant Registration'' to members and member organizations conducting an options business. The text of the... 3211 entitled ``PSX Participant Registration,'' which is applicable to PSX Participants. Today, the... with these provisions today. For example, the obligation to register in paragraph (a) and to execute...

  12. 77 FR 33531 - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc...

    Science.gov (United States)

    2012-06-06

    ..., Associate Professor of Finance, Georgetown University, McDonough School of Business, dated October 25, 2011..., Commission, from Janet McGinness, EVP & Corporate Secretary, General Counsel, NYSE Markets, dated May 10... band, and would be coupled with a trading pause mechanism to accommodate more fundamental price moves...

  13. 77 FR 316 - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc...

    Science.gov (United States)

    2012-01-04

    ...''); Letter to Commission, from James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown... pause mechanism to accommodate more fundamental price moves. In essence, a security would enter a.... McGinness, Senior Vice President, Legal and Corporate Secretary, NYSE Euronext, to Elizabeth M. Murphy...

  14. 77 FR 23305 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-04-18

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

  15. 17 CFR 240.19b-4 - Filings with respect to proposed rule changes by self-regulatory organizations.

    Science.gov (United States)

    2010-04-01

    ... and fairly implied by that rule. (e) For the purposes of this paragraph, new derivative securities... the product class that would include the new derivative securities product and the self-regulatory... within five business days after commencement of trading a new derivative securities product. (f) A...

  16. 76 FR 16844 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-03-25

    ... trading in each UTP Derivative Security contain applicable trading hours for the UTP Derivative Security... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64105; File No. SR-BX-2011-016] Self-Regulatory... Starting Time March 22, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act...

  17. 78 FR 38747 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-06-27

    ... 4120(a)(8)); A halt in a Derivative Securities Product (as defined in Rule 4120(b)(4)(A)) for which a..., 2012), 77 FR 33498 (June 6, 2012). A trading halt in a Derivative Security Product traded pursuant to... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69818; File No. SR-BX-2013-041] Self-Regulatory...

  18. 78 FR 26826 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change for...

    Science.gov (United States)

    2013-05-08

    ...\\ Accordingly, the affiliate relationship between Phlx and NOS, its member, raises the issue of an exchange's... unfair competitive advantage and potential conflicts of interest between an exchange's self-regulatory... potential for conflicts of interest in instances where a member firm is affiliated with an exchange of which...

  19. 78 FR 29795 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc ; Notice of Filing of Proposed Rule Change for...

    Science.gov (United States)

    2013-05-21

    ...\\ Accordingly, the affiliate relationship between BX and NOS, its member, raises the issue of an exchange's... unfair competitive advantage and potential conflicts of interest between an exchange's self-regulatory... potential for conflicts of interest in instances where a member firm is affiliated with an exchange of which...

  20. 78 FR 10666 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change for...

    Science.gov (United States)

    2013-02-14

    ... PHLX. BX, NASDAQ, PHLX and NES are affiliates. Accordingly, the affiliate relationship between PHLX and... conflicts of interest between an exchange's self-regulatory obligations and its commercial interests.\\7\\ \\7...). Recognizing that the Commission has previously expressed concern regarding the potential for conflicts of...

  1. 78 FR 26820 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2013-05-08

    ... affiliate relationship between NASDAQ and NOS, its member, raises the issue of an exchange's affiliation... unfair competitive advantage and potential conflicts of interest between an exchange's self-regulatory... regarding the potential for conflicts of interest in instances where a member firm is affiliated with an...

  2. 76 FR 25389 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-05-04

    ... advised by the Regulatory and Clearance Committee of the Securities Operations Section of SIFMA that...: ``Entities holding securities in custody should employ accounting practices and safekeeping procedures that... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64360; File No. SR-DTC-2011-05] Self-Regulatory...

  3. 77 FR 39288 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending...

    Science.gov (United States)

    2012-07-02

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

  4. 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...

  5. 78 FR 51758 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Order...

    Science.gov (United States)

    2013-08-21

    ... 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...

  6. 75 FR 47332 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule...

    Science.gov (United States)

    2010-08-05

    ...-Floating Rate Normal ITS issued by U.S. Bancorp Capital IX, each with a liquidation amount of $1,000 (the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62607; File No. SR-ISE-2010-80] Self-Regulatory... Securities Exchange, LLC That Constitutes a Stated Interpretation With Respect to the Meaning, Administration...

  7. 78 FR 62841 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2013-10-22

    ... million, shares of liquidity during the month, which is a higher rate than the base rate of $0.0007 per... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70655; File No. SR-BX-2013-054] Self-Regulatory... Exchange Rule 7018(a) With Respect to Transactions in Securities Priced at $1 per Share or Greater October...

  8. Bats.

    Science.gov (United States)

    Naturescope, 1986

    1986-01-01

    Presents information about bats, including definitions and descriptions of the characteristics of bats. Provides teaching activities such as "Bat and Math,""A Bat Like That,""Bat Party,""Ears in the Dark," and "The Big Bat Mystery." Contains reproducible handouts and quizzes. (TW)

  9. BAT Exosomes: Metabolic Crosstalk with Other Organs and Biomarkers for BAT Activity.

    Science.gov (United States)

    Goody, Deborah; Pfeifer, Alexander

    2018-04-10

    In the last decade, exosomes have gained interest as a new type of intercellular communication between cells and tissues. Exosomes are circulating, cell-derived lipid vesicles smaller than 200 nm that contain proteins and nucleic acids, including microRNAs (miRNAs), and are able to modify cellular targets. Exosomal miRNAs function as signalling molecules that regulate the transcription of their target genes and can cause phenotypic transformation of recipient cells. Recent studies have shown that brown fat secretes exosomes as a form of communication with other metabolic organs such as the liver. Moreover, it has been shown that levels of miRNAs in BAT-derived exosomes change after BAT activation in vitro and in vivo. Thus, BAT-derived exosomes can be used as potential biomarkers of BAT activity. Here, we review the present knowledge about BAT-derived exosomes and their role in metabolism.

  10. 77 FR 3313 - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-01-23

    ..., Distributors have improved the technical delivery and monitoring of data and the Enhanced Display offering... customers, as well as retaining existing customers. The Exchange has witnessed competitors creating new...-priced fees from other competitors such as BATS. In all cases, firms make decisions on how much and what...

  11. 78 FR 72740 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-03

    ... monitoring tools to the feed. Aside from the one other Level 2 Subscriber fee change previously mentioned... new customers, as well as retaining existing customers. The Exchange has witnessed competitors... the zero-priced fees from other competitors such as BATS. In all cases, firms make decisions on how...

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

    Science.gov (United States)

    2011-10-17

    ... provides NASDAQ with accurate information for monitoring and auditing purposes. \\9\\ Distributors who... retaining existing customers. The Exchange has witnessed competitors creating new products and innovative... competitors such as BATS. In all cases, firms make decisions on how much and what types of data to consume on...

  13. 77 FR 27508 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Designation...

    Science.gov (United States)

    2012-05-10

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

  14. 77 FR 22829 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-04-17

    ... displayed size of any protected bid or offer (as defined in Rule 600(b) of Regulation NMS under the Act). A... Basis for, the Proposed Rule Change 1. Purpose Rule 4751(f)(9) defines a ``Directed Order'' as an order... instructions. The proposed rule change, in essence, makes the Exchange's Directed Order similar to the BATS...

  15. 78 FR 76479 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change...

    Science.gov (United States)

    2013-12-17

    ... Amendment No. 1, in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc... Rule Change, as Modified by Amendment No. 1, in Connection With the Proposed Business Combination... connection with the proposed business combination (the ``Combination''), as described in more detail below...

  16. 78 FR 76415 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change...

    Science.gov (United States)

    2013-12-17

    ... Amendment No. 1, in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc... Rule Change, as Modified by Amendment No. 1, in Connection With the Proposed Business Combination... connection with the proposed business combination (the ``Combination''), as described in more detail below...

  17. 77 FR 23788 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-04-20

    ... is reasonable to recoup the BATS remove fees plus the clearing and other costs to recoup Routing Fees... Change The NASDAQ Stock Market LLC proposes to modify Chapter XV, Section 2, governing pricing for NASDAQ... purpose of this rule filing is to recoup costs that the Exchange incurs for routing and executing Customer...

  18. 75 FR 30890 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-06-02

    ... structure which is based on member organizations. The Exchange ceased to be a member-owned organization in... left that member organization to become an independent floor broker without a public business or to become associated with a new member organization without a public business that was comprised of existing...

  19. 78 FR 41447 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-10

    ... also spur innovation and competition for the provision of market data. The Exchange believes that its... making profitable trading decisions. If the cost of the product exceeds its expected value, the BD will... rapid, inexpensive, and profitable. The history of electronic trading is replete with examples of...

  20. 77 FR 62572 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2012-10-15

    ...)(B), the board of directors of a Company \\5\\ shall consider the following factors: (i) The source of... 14.10(c)(4)(A) and (B), but rather, only open-end management investment companies registered under.... In addition, Rule 10C-1 does not exempt open-end management investment companies from the...

  1. 77 FR 53242 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2012-08-31

    ... provide potential price improvement for Retail Orders in the form of non-displayed interest that is better... Exchange Users that enter RPI Orders will result in a higher level of competition and maximize price...\\ Accordingly, other non-displayed orders offering price improvement at prices better than resting RPI interest...

  2. 78 FR 51237 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-20

    ... removing liquidity. To maintain a direct pass through of the applicable economics for executions at EDGA... direct order flow to competing venues if they deem fee levels at a particular venue to be excessive. The... rule change as one establishing or changing a member due, fee, or other charge imposed by the Exchange...

  3. 78 FR 40529 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-07-05

    ... Monitoring (collectively, the ``Data Feeds''). The Exchange provides detailed and up to date technical... data feeds offered by several of the Exchange's competitors. As noted above, although certain data...

  4. 77 FR 47444 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2012-08-08

    ..., and Managed Fund Shares (collectively, ``Derivative Securities Products'')\\4\\ when applying the... wholly comprised of Index Fund Shares or other Derivative Securities Products. \\3\\ The Exchange notes... calls Index Fund Shares. \\4\\ Rule 14.11 includes criteria for derivative securities that may be listed...

  5. 77 FR 71853 - Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX Inc.; Chicago Board Options...

    Science.gov (United States)

    2012-12-04

    ..., Commission, dated October 18, 2012; Letter from J. Robert Brown, Jr., Director, Corporate & Commercial Law Program, University of Denver Sturm College of Law to Elizabeth M. Murphy, Secretary, Commission, dated..., dated November 14, 2012. \\6\\ See Letter from J. Robert Brown, Jr., Director, Corporate & Commercial Law...

  6. 76 FR 67783 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To Amend...

    Science.gov (United States)

    2011-11-02

    ... benefits to the Corporation of their significant ownership for a certain period of time, through their... its related persons, from having or exercising more than 20% of the voting power of the capital stock...

  7. 76 FR 39953 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order...

    Science.gov (United States)

    2011-07-07

    ... (``ISE''), dated June 17, 2011 (``ISE II Letter''); Anthony D. McCormick, Chief Executive Officer, BOX...''); and Anthony D. McCormick, Chief Executive Officer, BOX, dated March 29, 2011 (``BOX I Letter''). \\5...

  8. 78 FR 8652 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-02-06

    ... of the behavior described above, assume the Exchange has a posted and displayed bid to buy 100 shares....13 per share. Assume the NBBO is $10.10 by $10.12. If the Exchange receives a non-routable bid to buy 100 shares at $10.12 per share the Exchange will rank the order to buy at $10.12 and display the order...

  9. 77 FR 50193 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-08-20

    ... both forms of price sliding in order to create an optional order handling behavior functionality that... sliding, assume the Exchange has a posted and displayed bid to buy 100 shares of a security priced at $10... is $10.10 by $10.12. If the Exchange receives a non-routable bid to buy 100 shares at $10.12 per...

  10. 77 FR 75459 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To...

    Science.gov (United States)

    2012-12-20

    ... clear that, consistent with the behavior of all other market orders entered on the Exchange, including... to add a reference to IPO Auctions to the rule and to disseminate the lesser of the Reference Buy...)(A) to disseminate the lesser of the Reference Buy Shares and the Reference Sell Shares in an effort...

  11. 76 FR 28115 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-05-13

    ... Exchange will download additional data onto the drive and return it to the requesting party. Historical..., portfolio trackers, price/time graphs and other visual systems can use historical data for such purposes...) TCP FAST PITCH; (iii) Multicast PITCH; (iv) TOP; (v) DROP; (vi) Historical Data; and (vii) Latency...

  12. 76 FR 28826 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change by...

    Science.gov (United States)

    2011-05-18

    ... minimum price variation. As such, the Exchange proposes to add Interpretation and Policy .01 to Rule 11.13...-Displayed Orders \\3\\ and orders subject to price sliding that are not executable at their most aggressive price to be executed at one-half minimum price variation less aggressive than that price. The reference...

  13. 78 FR 41462 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change...

    Science.gov (United States)

    2013-07-10

    ... Asset. The term ``Currency,'' as used in the proposed rule, means one or more currencies, or currency...; Commodity-Based Trust Shares; Currency Trust Shares; Commodity Index Trust Shares; Commodity Futures Trust Shares; Partnership Units; Trust Units; Managed Trust Securities; and Currency Warrants. Specifically...

  14. 78 FR 53509 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change, as...

    Science.gov (United States)

    2013-08-29

    ...)(C) provides that the term ``Currency Trust Shares'' as used in these proposed rules means, unless... (Including Currencies)'') to: (i) Incorporate generic continued listing standards for Equity Index-Linked...; Commodity-Based Trust Shares; Currency Trust Shares; Commodity Index Trust Shares; Commodity Futures Trust...

  15. 78 FR 36612 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-06-18

    .... Example 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...

  16. 78 FR 72949 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change To...

    Science.gov (United States)

    2013-12-04

    ... otherwise misplaced order tickets; short sales that were instead sold long or vice versa; or the execution of an order on the wrong side of a market; (ii) the unauthorized or unintended purchase sale or...

  17. 78 FR 72944 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Approving a Proposed Rule Change To...

    Science.gov (United States)

    2013-12-04

    ... securities are purchased or sold; lost or otherwise misplaced order tickets; short sales that were instead... unauthorized or unintended purchase sale or allocation of securities or the failure to follow specific client...

  18. 75 FR 10332 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by BATS Exchange, Inc. to...

    Science.gov (United States)

    2010-03-05

    ... competitive pressures on Exchange data products and the Exchange's compelling need to attract order flow imposes significant competitive pressure on the Exchange to act equitably, fairly, and reasonably in... subject to significant competitive forces and the proposed fees represent responses to that competition...

  19. 77 FR 43887 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-07-26

    ... also FINRA Rule 3230(e). Outsourcing Telemarketing Proposed Rule 3.23(g) states that if a Member uses...-day operative delay, the Commission has considered the proposed rule's impact on efficiency...

  20. 77 FR 34431 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-06-11

    ... Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. (``Apex Clearing'') as an Exchange Member... unnecessary disruption, which could have a significant collateral impact to a number of other Members. The... Clearing & Outsourcing Solutions, Inc. Prior to the transaction, Ridge Clearing & Outsourcing Solutions...

  1. 75 FR 70325 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-11-17

    ... + BZX Exchange Destination Specific Orders orders \\7\\ (referred to by the Exchange as ``B2B'' orders... fee for executions at BZX Exchange through B2B, TRIM and SLIM to $0.0028 per share, consistent with...

  2. 76 FR 82011 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2011-12-29

    ... financial incentives, the Exchange is rewarding aggressive liquidity providers in the market. The Exchange... intends to file a proposal to adopt the financial incentives for the Competitive Liquidity Provider... seeking to provide incentives for quoting and to add competition to the existing group of liquidity...

  3. 78 FR 79030 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To...

    Science.gov (United States)

    2013-12-27

    ... Volatility Closing Auction price is based on rational and based on current market conditions. The Exchange... only differences between the processing of a Halt Auction and a Volatility Closing Auction are that: (1... rational and based on current market conditions. Finally, the Exchange reiterates that it retains...

  4. 75 FR 66180 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-10-27

    ... proposed rule change is available at the Exchange's Web site at http://www.batstrading.com , at the... a dark liquidity venue. This lower fee is based on the fact that various dark liquidity venues to... strategy used by the Exchange is to route through DRT to dark liquidity venues and then to other market...

  5. 76 FR 2729 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-01-14

    ... rule change is available at the Exchange's Web site at http://www.batstrading.com , at the principal... ``Dark Scan'' that the Exchange has ceased offering. (i) One Under Pricing for Certain Orders Executed at... which has a specific fee for an execution that occurs at NYSE. (ii) Elimination of Dark Scan The...

  6. 78 FR 4494 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendment Nos. 2 and 3...

    Science.gov (United States)

    2013-01-22

    ... failure to comply, as well as make several clarifying changes to the cure period rule; (3) amend language... 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''),\\9... that compensation committees be given the authority to retain or obtain the advice of a compensation...

  7. 78 FR 52810 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-26

    ... Series 56 examination program was developed in conjunction with FINRA, and is shared by the Boston... responsibility to prescribe standards of training, experience, and competence for Exchange Members and their... competence and knowledge generally applicable to proprietary trading. \\18\\ 15 U.S.C. 78f(b). \\19\\ 15 U.S.C...

  8. 78 FR 30376 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-05-22

    ... for ports used to enter orders in the Exchange's trading system and to receive data from the Exchange... primary data center and one port at the Exchange's secondary data center. Rather than stating that the fee... footnote that states that logical port fees are limited to logical ports in the Exchange's primary data...

  9. 78 FR 33136 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Approval to Proposed Rule...

    Science.gov (United States)

    2013-06-03

    ... retail brokers of implementing technology changes to identify orders as Retail or non-Retail. Furthermore... the proposal may cause an exponential increase in monitoring and recordkeeping burdens associated with...

  10. 78 FR 28663 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To...

    Science.gov (United States)

    2013-05-15

    ... Representative Director Vacancies A Member Representative Director is defined in relevant part in Article I of... the overall quality of the board. Under these circumstances, time is of the essence and waiting to...

  11. 78 FR 28695 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change...

    Science.gov (United States)

    2013-05-15

    ... Representative Director Vacancies A Member Representative Director is defined in relevant part in Article I of.... Under these circumstances, time is of the essence and waiting to elect a director(s) to fill a newly...

  12. 78 FR 40255 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Approval to Proposed Rule...

    Science.gov (United States)

    2013-07-03

    ... Representative Director is defined in relevant part in Article I of the Current By-Laws as a Director ``elected... of the essence and waiting to elect a director(s) to fill a newly created [[Page 40257

  13. 76 FR 18280 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Proposed Rule Change, as Modified...

    Science.gov (United States)

    2011-04-01

    ... improvement trends following implementation of the directed order program, an assessment of the quotation... for such payments, or at least a portion of such payments, to be provided in a transparent fashion to...

  14. 78 FR 17731 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2013-03-22

    ... foregoing proposed rule change: (1) Does not significantly affect the protection of investors or the public... also lead to investor confusion. The Exchange notes that the Commission approved Mini Options on SPY... level of retail investor participation in trading options on these underlying securities. Mini Options...

  15. 78 FR 40531 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change...

    Science.gov (United States)

    2013-07-05

    ... Products'' to incentivize competitive and aggressive quoting by market makers registered with the Exchange... market transactions in [shares] do not appear to result in the abuses that Rules 101 and 102 of...

  16. 77 FR 70500 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2012-11-26

    ....com , at the principal office of the Exchange, and at the Commission's Public Reference Room. II. Self... (CME) 6:00 p.m.-5:15 p.m. next day. Livestock 6.02 Lean Hogs 2.12 CME ** \\21\\ Live Cattle 3.90 CME...\\ Lean Hogs trade from 10:05 a.m. Monday to 2:55 p.m. Friday, with daily trading halts from 5:00 p.m. to...

  17. 76 FR 38714 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Approving a Proposed Rule Change To...

    Science.gov (United States)

    2011-07-01

    ... inconsistent with just and equitable principles of trade to engage in a pattern or practice of using Non... handling procedures because such orders are priced at the very inside of the market but are temporarily un... available liquidity for incoming orders and provide price improvement for market participants at times when...

  18. 78 FR 51250 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change To...

    Science.gov (United States)

    2013-08-20

    ... conducted on a daily basis, and (ii) a secondary data center, which is predominantly maintained for business... recipients, are required to connect directly to the Exchange at the primary or secondary data centers where... secondary data center (``Remote Data Centers''). PoP ports will be located at Remote Data Centers in order...

  19. 78 FR 40241 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To...

    Science.gov (United States)

    2013-07-03

    ... conducted on a daily basis, and (ii) a secondary data center, which is predominantly maintained for business... one or more data centers other than the Exchange's primary or secondary data center (``Remote Data... provide participants that may not have a presence at the Exchange's primary or secondary data center with...

  20. 75 FR 56613 - Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options...

    Science.gov (United States)

    2010-09-16

    ... occurred on May 6, and the lack of transparency surrounding the Exchanges' and FINRA's decision to break... designed to facilitate coordinated price discovery and provide time for investors to trade at rational... whether the proposed rule changes would achieve their stated goals of making the erroneous trade execution...