WorldWideScience

Sample records for self-regulatory organizations fixed

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 75 FR 53368 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2010-08-31

    ... of the Fixed Income Clearing Corporation's Default or Insolvency August 26, 2010. Pursuant to Section... netting of the Government Securities Division (``GSD'') in the event of FICC's default or insolvency. II...

  9. 78 FR 36797 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer...

    Science.gov (United States)

    2013-06-19

    ... NYPC. In the proposed rule change, FICC acknowledged that it will have to alter its risk management... rule change so that it has sufficient time to evaluate the risk management implications of the proposed... Division and New York Portfolio Clearing, LLC June 13, 2013. On April 15, 2013, the Fixed Income Clearing...

  10. 75 FR 62899 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2010-10-13

    ... criteria specified in the Financial Accounting Standards Board's Interpretation No. 39, Offsetting of... Clarity With Respect to the Close Out Netting of the Government Securities Division in the Event of the Fixed Income Clearing Corporation's Default or Insolvency October 5, 2010. I. Introduction On August 12...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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…

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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,...

  16. 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

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

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

    Science.gov (United States)

    2010-12-22

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

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 78 FR 55305 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2013-09-10

    .... First, the Exchange proposes to waive the CMI and FIX Login ID fees for CMI and FIX Login IDs used to... systems. The Exchange assesses a fee of $500 per month for each CMI or FIX Login ID that a TPH uses to... CFLEX System through CBOE Command, and need to get either a CMI or FIX Login ID to do so.\\5\\ As such...

  11. 75 FR 69505 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-11-12

    ... Services fees relate to ports used to: Enter orders into the NASDAQ trading systems; receive market data... connectivity to the NASDAQ Options Market. (a) Financial Information Exchange (FIX) [Ports] [Price] [FIX Trading Port] [$500/port/month]. [FIX Port for Services Other than [$500/port/month]. Trading]. Ports...

  12. 78 FR 33880 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-06-05

    ... to send test symbols via their FIX and/or HP-API logical ports in order to test their software developed to take advantage of newly implemented exchange enhancements or to test their own software updates.... Although Members and non- Members currently have the ability to send live and test symbols via FIX and/or...

  13. 78 FR 33871 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-06-05

    ... to send test symbols via their FIX and/or HP-API logical ports in order to test their software developed to take advantage of newly implemented exchange enhancements or to test their own software updates.... Although Members and non- Members currently have the ability to send live and test symbols via FIX and/or...

  14. 78 FR 52228 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-22

    ... Association of Banks in Singapore (``ABS'') 11:00 a.m. spot USD/MYR fixing. On July 5, 2013, ABS announced... consistent with the Act. Comments may be submitted by any of the following methods: [[Page 52230

  15. 77 FR 39300 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-07-02

    ... itself, and to prevent the entry of erroneous orders. In addition, the Market Access Rule requires... participant's system using the FIX protocol. \\11\\ Edge XPRS is a high-performance order entry protocol. The... Change Relating to New Market Access Risk Management Service, EdgeRisk Controls SM June 26, 2012...

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

    Science.gov (United States)

    2012-07-02

    ... itself, and to prevent the entry of erroneous orders. In addition, the Market Access Rule requires... participant's system using the FIX protocol. \\11\\ Edge XPRS is a high-performance order entry protocol. The... Change Relating to New Market Access Risk Management Service, EdgeRisk Controls SM June 26, 2012...

  17. 76 FR 64409 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-10-18

    ... on the Exchange's Internet Web site at http://www.directedge.com . \\3\\ A Member is any registered... eliminate the FIX (ECN Translator) \\4\\ logical port fee effective as of October 1, 2011, as the ECN Translator is no longer being used by its Members and non-members.\\5\\ \\4\\ The ECN Translator allows a Member...

  18. 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...

  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 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...

  1. 78 FR 66405 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting...

    Science.gov (United States)

    2013-11-05

    ... FINRA members and not just ADF Participants.\\37\\ FINRA counters that the fixed ADF Deposit Amount is not... would also codify other current requirements into a single rule. See id., 78 FR at 46654. ADF Deposit... that the member anticipates submitting to the ADF; (ii) agree to submit the ADF Deposit Amount \\23\\ in...

  2. 78 FR 46652 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Science.gov (United States)

    2013-08-01

    ... through the ADF. \\15\\ FINRA's TRACE facility for reporting transactions in fixed- income securities has... of data that the member anticipates submitting to the ADF; Agrees to submit the ADF Deposit Amount... Deposit Amount is $250,000; however, the amount will be increased to $500,000 under certain circumstances...

  3. 77 FR 10591 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and...

    Science.gov (United States)

    2012-02-22

    ... required to make deposits to the Clearing Fund with the amount of each Member's required deposit being fixed by NSCC in accordance with Procedure XV. The Clearing Fund Formula includes an Excess Capital Premium (``Premium''), which may be added to a Members deposit requirement when a Member's Clearing Fund...

  4. 76 FR 29019 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and...

    Science.gov (United States)

    2011-05-19

    ... Rules and Procedures (``Rules''), Members are required to make deposits to the Clearing Fund with the amount of each Member's required deposit being fixed by NSCC in accordance with one or more formulas (``Required Deposit'').\\2\\ A Member may satisfy its Required Deposit with a cash deposit, and NSCC may permit...

  5. 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...

  6. 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...

  7. 75 FR 62167 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Science.gov (United States)

    2010-10-07

    ... CBOE's rules and is a function of pricing options that have a fixed payout.\\7\\ To arrive at the total... of $0.05, $45.15 and $67.50 equate to premium amounts of $50, $45,150 and $67,500, respectively. \\5... represent a premium cost ($150 x 1,000 = $150,000) that exceeds than [sic] the exercise settlement amount of...

  8. 77 FR 518 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Science.gov (United States)

    2012-01-05

    ... two monthly login IDs (so, $600 for one), or a fee of $2,400 for a higher- volume user.\\6\\ The NASDAQ... a minimum of two monthly login IDs and does not have a separate fee for a higher-volume user. See.... 78f(b)(4). The proposed changes to increase the fees assessed for CMI Login IDs and FIX Login IDs are...

  9. 75 FR 47330 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Science.gov (United States)

    2010-08-05

    ...'') for any and all of the 1,250,000 outstanding 6.189% Fixed-to-Floating Rate Normal ITS issued by U.S... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62610; File No. SR-NYSEArca-2010-73] Self... Exchange Act of 1934 (the ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on July 28...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 77 FR 15155 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Amended...

    Science.gov (United States)

    2012-03-14

    ... criteria specified in the Financial Accounting Standards Board's Interpretation No. 39, Offsetting of... procedure so that if fails accrue at one rate and the rate changes, the fail will keep the original accrual...

  18. 77 FR 76311 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance...

    Science.gov (United States)

    2012-12-27

    ... OTS model, the concept of ``seasonality'' is directly incorporated into the prepayment model. The... seasonality through the pool factor. During the analysis and design phase of the new prepayment model, FICC...\\ requires that the objectives and principles for the risk management standards prescribed under Section 805...

  19. 77 FR 25522 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2012-04-30

    ... trades with final money calculations on the night of Auction Date, after the Treasury auction results... end of day netting process. However, when Interactive Messaging was implemented in 2000, this... efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). \\9\\ 17 CFR 200.30-3(a)(12). For the...

  20. 78 FR 71702 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2013-11-29

    ... is first made against the retained earnings of FICC attributable to the GSD (after application of the... percent of FICC's retained earnings or such higher amount as may be approved by the Board of Directors of...

  1. 78 FR 26832 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2013-05-08

    ... Background FATCA was enacted on March 18, 2010, as part of the Hiring Incentives to Restore Employment Act..., Switzerland, Spain, Norway Denmark, Italy and Germany have signed or initialed an IGA with the United States... terms, such as MBS product, coupon rate, maturity and settlement date, on a multilateral basis, i.e...

  2. 78 FR 36608 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2013-06-18

    ..., as part of the Hiring Incentives to Restore Employment Act, and became effective, subject to... proposed rule change filing, the United Kingdom, Mexico, Ireland, Switzerland, Spain, Norway Denmark, Italy... terms, such as MBS product, coupon rate, maturity and settlement date, on a multilateral basis, i.e...

  3. 78 FR 68496 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2013-11-14

    ... securities it issues and to support its broader debt management objective. The Floating Rate Notes will be... purposes and for forward margin and clearing fund calculations. Modification of the security database in... Notes eligible for processing.\\5\\ \\5\\ GSD issued Important Notice GOV012.13 on February 23, 2013 and...

  4. 78 FR 35334 - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Order Granting Approval of...

    Science.gov (United States)

    2013-06-12

    ...'') each use the Board of Governors of the Federal Reserve's (``FRB'') National Settlement Service (``NSS... NSS service by FICC. Pursuant to the GSD and MBSD rules, if FICC receives an FRB indemnity claim, FICC... which FICC should allocate an indemnity claim made in connection with the use of the FRB's NSS. The MBSD...

  5. 78 FR 25129 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2013-04-29

    ... of the Federal Reserve System's (``FRB'') \\3\\ National Settlement Service (``NSS'').\\4\\ \\3\\ The... the FRB's NSS for Funds-Only Settlement \\6\\ and Cash Settlement \\7\\ purposes, respectively. GSD's Rule... the use of the NSS service by FICC. Pursuant to the GSD and MBSD rules, if FICC receives an FRB...

  6. 78 FR 22923 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amended...

    Science.gov (United States)

    2013-04-17

    ..., Senior Associate Counsel and Corporate Secretary, FICC, to Joseph P. Kamnik, Assistant Director, Division... regarding the structure and operations of FICC have been largely derived from information contained in FICC... thereafter.\\8\\ On October 16, 1987, the Government Securities Clearing Corporation (``GSCC''), filed with the...

  7. 76 FR 45638 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2011-07-29

    ... business activities. (In the example, Dealer C may need to return the securities to Party Y depending upon... interbank securities substitutions begin to be permitted, FICC will announce this to members by important... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64955; File No. SR-FICC-2011-05] Self...

  8. 77 FR 60165 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2012-10-02

    ... Securities Industry and Financial Markets Association (``SIFMA'') MBS Operations Committee. MBSD advised... safeguarding of securities and funds that are in the custody or control of such clearing agency, or for which... assure the safeguarding of securities and funds in FICC's custody or control, or for which FICC is...

  9. 76 FR 13683 - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing and...

    Science.gov (United States)

    2011-03-14

    ... request of The Securities Industry and Financial Markets Association (``SIFMA'') MBS Operations Committee... affect the safeguarding of securities or funds in the custody or control of FICC or for which it is... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64053; File No. SR-FICC-2011-01] Self...

  10. 77 FR 48572 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2012-08-14

    ... collateral repos, based on rate and term, throughout the day with inter-dealer broker netting members on a... issues arose from the inter-bank funds settlements related to the service, namely, the large interbank... equivalent value can be accomplished by simple debits and credits to the accounts of the GCF Repo dealer...

  11. 77 FR 38108 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2012-06-26

    ... inter-dealer broker netting members on a blind basis. Standardized, generic CUSIP numbers have been... from the inter-bank funds settlements related to the service, namely, the large interbank funds... value can be effected by simple debits and credits to the accounts of the GCF Repo dealer counterparties...

  12. 78 FR 26093 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2013-05-03

    ... the form of buy-sells eligible for processing at the GSD). FICC will submit a separate rule filing to... one-year look-back period and the use of a linear interpolation/front- weighting mechanism to arrive...

  13. 78 FR 30948 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance...

    Science.gov (United States)

    2013-05-23

    ...- sells eligible for processing at the GSD). FICC asserts that it will submit a separate rule filing to... percentile confidence level; the one-year look-back period and the use of a linear interpolation/front...

  14. 77 FR 30032 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2012-05-21

    ... the One-Pot Cross- Margining Program With New York Portfolio Clearing, LLC to Certain ``Market... a Set of Market Professional Cross-Margining Accounts would be required to enter into Clearing... FICC and NYPC will not permit Clearing Members to enter into Market Professional Agreements until all...

  15. 77 FR 20445 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2012-04-04

    ... Expand the One-Pot Cross- Margining Program With New York Portfolio Clearing, LLC to Certain ``Market...- Margining Accounts and a Set of Market Professional Cross-Margining Accounts would be required to enter into... nature is unnecessary, given that FICC and NYPC will not permit Clearing Members to enter into Market...

  16. 78 FR 77511 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2013-12-23

    ... the Floating Rate Notes and will continue to do so prior to making Floating Rate Notes eligible for... U.S. Department of the Treasury's Floating Rate Notes Eligible for Netting Service and GCF Repo... the U.S. Department of the Treasury (``Treasury Department'') floating rate notes eligible for the...

  17. 78 FR 60002 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2013-09-30

    ... change was published for comment in the Federal Register on August 23, 2013.\\3\\ The Commission received... DK notice.\\9\\ Reconciliation can also occur when the initiator rescinds its NOS submission before its... after the contractual settlement day. \\9\\ A ``DK'' notice is a statement that the member ``does not know...

  18. 78 FR 52598 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2013-08-23

    .... The Commission is publishing this notice to solicit comments on the proposed rule change from... submits a DK \\6\\ notice to the initiator's submission or (c) the initiator deletes its previously.... \\6\\ Pursuant to the MBSD Rules, ``DK'' means a statement submitted to the Corporation by a member...

  19. 78 FR 42809 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2013-07-17

    ... proposed rule change was published for comment in the Federal Register on June 4, 2013.\\3\\ The Commission... omitted). \\21\\ As with bilateral trades, counterparties to a locked-in trade may submit a ``DK Notice..., unlike with bilateral trades, the GSD considers a DK Notice in the context of a locked-in trade to be ``a...

  20. 76 FR 77287 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2011-12-12

    ... accounting principles (``GAAP'') will be subject to increased minimum financial requirements.\\17\\ \\16... provisions in the current MBSD rules which reflect processes that will continue upon the introduction of the.... Overview With the introduction of CCP services and guaranteed settlement for transactions submitted to the...

  1. 75 FR 54929 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2010-09-09

    ... significant matters, and consequently an insolvency of such a member would be determined by applicable... state regulator and that are subject to a domestic insolvency regime are consistent with FICC's...

  2. 76 FR 54824 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2011-09-02

    ... risk management measures with respect to the GCF Repo service. First, FICC imposed a collateral premium.../DTCC. \\4\\ The main purpose of the TPR is to develop recommendations to address the risk presented by.... The TPR has mandated that the collateral used in tri-party repo and GCF Repo transactions be ``locked...

  3. 77 FR 32153 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Science.gov (United States)

    2012-05-31

    ... reference to the implied volatility of the 1-year option on the 10-year USD LIBOR swap rate and the historical volatility of the 10-year USD LIBOR swap rate. It is expected that GSD will provide its Members... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67059; File No. SR-FICC-2012-04] Self...

  4. 77 FR 40398 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule...

    Science.gov (United States)

    2012-07-09

    ...-year USD LIBOR swap rate and the historical volatility of the 10-year USD LIBOR swap rate. It is... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67336; File No. SR-FICC-2012-04] Self... the Ability of the Government Securities Division To Use Implied Volatility Indicators as Part of the...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 76 FR 53521 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-26

    ... OTTO DROP data feed is not a trading interface and does not accept order messages. \\15\\ SQF ports are... Information Exchange (FIX) Ports Quantity Price FIX Trading Port First 25 ports $500/port/month. Additional ports above 25... $250/port/month. FIX Port for Services Other than Trading. First 25 ports $500/port...

  20. 77 FR 1101 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-01-09

    ... Login ID and FIX Login ID to $500 per month for regular access and $1000 per month for Sponsored User... a FIX fee of $1200 for a minimum of two monthly login IDs (so, $600 for one), or a fee of $2,400 for... to increase the fees charged for a CMI Login ID and FIX Login ID to $500 per month for regular access...

  1. 78 FR 66396 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as...

    Science.gov (United States)

    2013-11-05

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

  2. 76 FR 27127 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-05-10

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

  3. 77 FR 14048 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-03-08

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

  4. 78 FR 6386 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-30

    ... routing orders to away markets plus the away market's transaction fee. With respect to the fixed costs... clearing and transaction charges incurred by the Exchange as well as certain other costs incurred by the... is reasonable to recoup these costs borne by the Exchange on each transaction. \\15\\ CBOE recently...

  5. 78 FR 6368 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-01-30

    ... routing orders to away markets plus the away market's transaction fee. With respect to the fixed costs... clearing and transaction charges incurred by the Exchange as well as certain other costs incurred by the... longer limit those transaction fees as it does today in certain circumstances.\\9\\ While clearing costs...

  6. 77 FR 39554 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-07-03

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

  7. 78 FR 45003 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2013-07-25

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

  8. 77 FR 63380 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-10-16

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

  9. 78 FR 11238 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-02-15

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

  10. 76 FR 24936 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2011-05-03

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

  11. 78 FR 20709 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-04-05

    ... certain Exchange costs related to routing orders to away markets plus the away market's transaction fee... are routed to C2 a Routing Fee which includes a fixed cost of $0.11 per contract plus a flat rate of... Substance of the Proposed Rule Change The Exchange proposes to amend Section V of the Pricing Schedule...

  12. 78 FR 24263 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-04-24

    ... amend Routing Fees in Section V of the Pricing Schedule in order to recoup costs that the Exchange... Section V of the Pricing Schedule entitled ``Routing Fees.'' While changes to the Pricing Schedule... market and the Exchange assesses Customer orders a fixed fee plus the actual transaction fee dependent on...

  13. 78 FR 24282 - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-24

    ... Change NASDAQ proposes to amend Chapter XV, entitled ``Options Pricing,'' at Section 2 governing pricing... recoup costs that the Exchange incurs for routing and executing orders in equity options to various away... orders routed to any away market and the Exchange assesses Customer orders a fixed fee plus the actual...

  14. 78 FR 19791 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-04-02

    ... costs related to routing orders to away markets plus the away market's transaction fee. The Exchange... a fixed cost of $0.11 per contract plus a flat rate of $0.85 per contract, except with respect to... Change NASDAQ proposes to amend Chapter XV, entitled ``Options Pricing,'' at Section 2 governing pricing...

  15. 78 FR 14141 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-04

    ... the fixed cost of $0.11 per contract plus a flat rate of $0.85 per contract, except with respect to... ``Options Pricing,'' at Section 2. The text of the proposed rule change is available on the Exchange's Web... amend its Routing Fees at Chapter XV, Section 2(4) of the Exchange Rules in order to recoup costs...

  16. 78 FR 13928 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-03-01

    ... assessing certain Exchange costs related to routing orders to away markets plus the away market's... proposes to amend its non-Customer C2 Routing Fees to assess the fixed cost of $0.11 per contract plus a... the pricing structure is reasonable because, although not an approximation of the cost of routing to...

  17. 78 FR 13925 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-03-01

    ... Section V of the Pricing Schedule in order to recoup costs applicable to the C2 Options Exchange, Inc... proposes to amend its non-Customer C2 Routing Fees to assess the fixed cost of $0.11 per contract plus a... the pricing structure is reasonable because, although not an approximation of the cost of routing to...

  18. 78 FR 75661 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To...

    Science.gov (United States)

    2013-12-12

    ... economic positions in NASDAQ OMX. \\14\\ For purposes of determining Requisite Holders under proposed Section... transfers, in whole or in part, directly or indirectly, any of the economic consequences of ownership of... special meeting if NASDAQ OMX intends to hold a separate stockholders' meeting within 120 days. In fixing...

  19. 78 FR 11245 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-02-15

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

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

    Science.gov (United States)

    2012-12-26

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

  1. 75 FR 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...

  2. 77 FR 19041 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-03-29

    ... beginning on April 1, 2012. The Renewal fee is assessed to organizations and sole proprietorships that were... fee new fee amount amount Application Fee (Organizations) $4,000 $5,000 Application Fee (Sole...

  3. 78 FR 79044 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-12-27

    ... Proposed Rule Change to Offer Risk Management Tools Designed to Allow Member Organizations to Monitor and... member organizations to monitor and address exposure to risk. The text of the proposed rule change is... organization included statements concerning the purpose of, and basis for, the proposed rule change and...

  4. 76 FR 3682 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2011-01-20

    ... a ``member organization'' shall mean a corporation, partnership (general or limited), limited liability partnership, limited liability company, business trust or similar organization, transacting... or partnership that has the status of a member organization. \\7\\ See NASDAQ OMX PHLX Rule 1(n) which...

  5. 78 FR 51780 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer...

    Science.gov (United States)

    2013-08-21

    ..., Vice President, Center for Capital Markets Competitiveness, dated March 15, 2013; Dennis E. Nixon... Director, American Federation of Labor and Congress of Industrial Organizations Office of Investment, dated...

  6. 78 FR 75406 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2013-12-11

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

  7. 78 FR 52994 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-27

    ... believes that the change will provide members with an additional tool for managing the book of [[Page 52995... Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...

  8. 78 FR 48748 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-09

    ... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange... managing their orders in the event of symbol changes and changes in listing venue, by cancelling open...

  9. 77 FR 34442 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2012-06-11

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

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

    Science.gov (United States)

    2012-07-16

    ... organization has trained its personnel, and any entity assisting in its compliance, in procedures established... telephone calls to wireless telephone numbers.\\30\\ \\30\\ See also FINRA Rule 3230(e). Outsourcing... telemarketing services on its behalf, the member organization remains responsible for ensuring compliance with...

  11. 78 FR 19763 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-04-02

    ... assess the same Routing Fees to all non-Customer market participants. Under its flat fee structure... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend...

  12. 78 FR 29801 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change to...

    Science.gov (United States)

    2013-05-21

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

  13. 77 FR 61460 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2012-10-09

    ... Section 6(b)(6) and 6(b)(7) of the Act,\\7\\\\\\ which require an exchange to provide fair procedures for the... promote the settlement of disciplinary cases by allowing members and member organizations to make... protracted disciplinary proceeding. Phlx further believes that affording members and member organizations...

  14. 75 FR 42804 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc...

    Science.gov (United States)

    2010-07-22

    ... structure for those conducting business on PSX.\\7\\ \\6\\ See SR-Phlx-2010-79. PSX will not be used for trading... banking or securities business \\9\\ of a member organization who are to function as representatives shall... organization's investment banking or securities business. A member may, however, maintain or make application...

  15. 78 FR 33873 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-06-05

    ... transacting business on the Exchange remains substantially higher as is the case today. \\16\\ See the Chicago... transacting business on the Exchange. The Exchange assesses members and member organizations that are transacting business on the Exchange a Permit Fee of $2,100 per month. A member or member organization will be...

  16. 77 FR 23532 - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of a Proposed Rule Change...

    Science.gov (United States)

    2012-04-19

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

  17. 78 FR 79053 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-12-27

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

  18. 76 FR 13442 - Joint Industry Plan; Order Approving Amendment No. 25 to the Joint Self-Regulatory Organization...

    Science.gov (United States)

    2011-03-11

    ..., Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on... Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC...-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of Quotation and...

  19. 78 FR 66788 - Joint Industry Plan; Order Approving Amendment No. 30 to the Joint Self-Regulatory Organization...

    Science.gov (United States)

    2013-11-06

    ..., Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on... Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC...-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of Quotation and...

  20. 78 FR 47450 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2013-08-05

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

  1. 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...

  2. 78 FR 15394 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Science.gov (United States)

    2013-03-11

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

  3. 78 FR 2467 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-11

    ..., fingerprint card and a combined payment of fees to FINRA. Through the CRD system, FINRA maintains the..., the Exchange is adopting the identical fee for FINRA's review of a Form BD submitted by Non-FINRA Member Organizations. $15 for processing and posting to the CRD system each set of fingerprints submitted...

  4. 76 FR 46337 - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of...

    Science.gov (United States)

    2011-08-02

    ... Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase... the Rules of the Boston Options Exchange Group, LLC (``BOX'') to increase the position limit for... proposed change would have the effect of increasing the exercise limits for options on SPDRs[reg]. Chapter...

  5. 76 FR 30418 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2011-05-25

    ... organization could not trade in an index-based or derivative security (e.g., a right or warrant) that is quoted... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64522; File No. SR-NYSE-2011-22] Self... Premises in Certain OTC Bulletin Board and OTC Markets Securities May 19, 2011. Pursuant to Section 19(b)(1...

  6. 76 FR 41539 - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Amending...

    Science.gov (United States)

    2011-07-14

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

  7. 75 FR 12318 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-03-15

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets March 5, 2010. Pursuant...,\\2\\ notice is hereby given that on March 2, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or...

  8. 76 FR 55988 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-09-09

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...,\\2\\ notice is hereby given that, on August 31, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or... perfect the mechanism of a free and open market and a national market system, and, in general to protect...

  9. 76 FR 40971 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-07-12

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... June 27, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed with the Securities... NASDAQ Options Market (``NOM'') to amend Chapter VI, Trading Systems, Section 11, Order Routing, to...

  10. 75 FR 21069 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-04-22

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center April 16, 2010. Pursuant to... is hereby given that on April 13, 2010, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the...

  11. 76 FR 27699 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-05-12

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... given that on April 28, 2011 The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed with the... inside market and the midpoint for stocks at this price level is likely to be extremely small, and...

  12. 75 FR 9632 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-03-03

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for the NASDAQ Options Market (``NOM'') February 24, 2010. Pursuant... thereunder,\\2\\ notice is hereby given that, on January 27, 2010, The NASDAQ Stock Market LLC (``NASDAQ...

  13. 76 FR 12178 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-03-04

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Market Data to the Public at No Charge February 25, 2011. Pursuant to Section... hereby given that, on February 24, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ...

  14. 76 FR 46869 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-03

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... that, on July 22, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed with the...'') a proposal for the NASDAQ Options Market (``NOM'') to amend Chapter VI, Trading Systems, Section 1...

  15. 77 FR 10794 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-02-23

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... February 13, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and... Change The NASDAQ Stock Market LLC proposes to modify Chapter XV, Section 2, governing pricing for NASDAQ...

  16. 75 FR 63229 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-10-14

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on October 1, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange'') filed... has received approval to launch NASDAQ OMX PSX (``PSX'') \\3\\ as a new platform for trading NMS stocks...

  17. 77 FR 4610 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-01-30

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on January 11, 2012, The NASDAQ Stock Market LLC (``Nasdaq'') filed with the Securities... impediments to and perfect the mechanism of a free and open market and a national market system, and, in...

  18. 75 FR 78789 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-12-16

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... is hereby given that on December 9, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange... market and a national market system, and, in general, to protect investors and the public interest. The...

  19. 75 FR 18932 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-04-13

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center April 6, 2010. Pursuant to... is hereby given that on March 30, 2010, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the...

  20. 75 FR 29596 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-05-26

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center May 19, 2010. Pursuant to... is hereby given that on May 14, 2010, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the...

  1. 76 FR 34783 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-06-14

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...,\\2\\ notice is hereby given that on May 26, 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or... telecommunication, inter-cabinet connectivity, connectivity to NASDAQ and market data connectivity related to an...

  2. 77 FR 19044 - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-03-29

    ...-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of..., 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and Exchange... halt, there is a 15-minute Display-Only Period during which market participants may enter quotes and...

  3. 78 FR 68122 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-13

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on October 28, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed... Section 2 governing pricing for NASDAQ members using the NASDAQ Options Market (``NOM''), NASDAQ's...

  4. 78 FR 71018 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-11-27

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on November 8, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange''), filed... service. This new low latency service decreases the time individual orders are processed and market data...

  5. 75 FR 10541 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-03-08

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on February 24, 2010, The NASDAQ Stock Market LLC (``Nasdaq'') filed with the... impediments to and perfect the mechanism of a free and open market and a national market system, and, in...

  6. 76 FR 71088 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-11-16

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... November 1, 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and... Change The NASDAQ Stock Market LLC proposes to create a new Rule 7056 entitled ``NASDAQ Options Fee...

  7. 76 FR 44076 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-07-22

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Stock Market Equities Trading Rules 4757 and 4758 and NASDAQ Options... NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed with the Securities and Exchange...

  8. 75 FR 6077 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-02-05

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... given that on January 29, 2010, The NASDAQ Stock Market LLC (``Nasdaq'' or the ``Exchange'') filed with... markets. Such assessments consider factors such as a destination's latency, fill rates, reliability, and...

  9. 75 FR 77022 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-12-10

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... is hereby given that on November 24, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange..., assesses fees for its real time market data. In general, a customer that receives a data feed directly from...

  10. 78 FR 31616 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-05-24

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of..., 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange'') filed with the Securities and... shall include: (1)-(14) No change. (15) ``Market Maker Peg Order'' is a limit order that, upon entry...

  11. 77 FR 1542 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-01-10

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center January 4, 2012. Pursuant to... is hereby given that on December 28, 2011, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the...

  12. 75 FR 57091 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-09-17

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center September 10, 2010. Pursuant...\\ notice is hereby given that on September 7, 2010, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the...

  13. 75 FR 77034 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-12-10

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of..., notice is hereby given that on December 3, 2010, The NASDAQ Stock Market LLC (``Nasdaq'' or ``Exchange...) Pricing Obligations. For NMS stocks (as defined in Rule 600 under Regulation NMS) a Market Maker shall...

  14. 75 FR 43591 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-07-26

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... given that on June 30, 2010, The NASDAQ Stock Market LLC (``Nasdaq'' or the ``Exchange'') filed with the... mechanism of a free and open market and a national market system, and, in general, to protect investors and...

  15. 76 FR 65306 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-10-20

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on October 6, 2011, the NASDAQ Stock Market, LLC (``NASDAQ'' or ``Exchange'') filed... experience a significant percentage price increase or decline. Once a stock is halted pursuant to the rule, a...

  16. 78 FR 28912 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-05-16

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... is hereby given that on April 30, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange... ``Options Pricing,'' at Section 2 governing pricing for NASDAQ members using the NASDAQ Options Market...

  17. 75 FR 33878 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-06-15

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center June 9, 2010. Pursuant to... is hereby given that on June 1, 2010, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the...

  18. 76 FR 35930 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-06-20

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Order Spread Protection Feature June 14, 2011. Pursuant to Section... hereby given that on June 8, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed...

  19. 78 FR 27466 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-05-10

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a..., 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and Exchange... for which the Exchange is the listing market, the System shall determine whether a transaction in a...

  20. 78 FR 49308 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-08-13

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on July 25, 2013 The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with... market data is transmitted by these new switches. The Exchange's proposal provides the co-located client...

  1. 78 FR 3480 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2013-01-16

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... is hereby given that on January 4, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange... historical latency of the member firm's order messages sent to and from the NASDAQ Market Center (``System...

  2. 76 FR 48186 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-08

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... is hereby given that, on July 27, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ... NASDAQ Stock Market and the NASDAQ Options Market. Currently, a member that provides shares of liquidity...

  3. 76 FR 34786 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-06-14

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... is hereby given that, on May 25, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ... markets in a large number of stocks and that contribute to price discovery by posting attributable quotes...

  4. 76 FR 48189 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-08

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... given that on July 26, 2011, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the Securities and... Nasdaq for connectivity to systems operated by NASDAQ, including the Nasdaq Market Center, the FINRA...

  5. 76 FR 50521 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2011-08-15

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to NASDAQ Options Market Rules August 9, 2011. Pursuant to... is hereby given that on August 2, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ...

  6. 78 FR 47037 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order...

    Science.gov (United States)

    2013-08-02

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

  7. 78 FR 62751 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2013-10-22

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

  8. 77 FR 77137 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change with...

    Science.gov (United States)

    2012-12-31

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

  9. 77 FR 77168 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2012-12-31

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

  10. 76 FR 45308 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed...

    Science.gov (United States)

    2011-07-28

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To... change should provide NOM Participants assistance in effectively managing their quotations. \\6\\ 15 U.S.C...,\\2\\ a proposed rule change to adopt a new risk monitor mechanism. The proposed rule change was...

  11. 78 FR 48736 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Science.gov (United States)

    2013-08-09

    ...-cancelled orders. Phlx believes that this change will assist market participants in managing their orders...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Rule Governing Modification of Orders on NASDAQ OMX PSX in the Event of an Issuer...

  12. 77 FR 22042 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Science.gov (United States)

    2012-04-12

    ... provide information regarding, for example, volume metrics, number of MQP Market Makers in target...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Establish the Market Quality Program April 6, 2012. Pursuant to...

  13. 77 FR 48570 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule...

    Science.gov (United States)

    2012-08-14

    ... Underlying Securities) of the NASDAQ Options Market rules.\\11\\ Additionally, the Target Component's and the...\\ Additionally, the Target Component's and the Benchmark Component's trading volume (in all markets in which the...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change Relating to the...

  14. 77 FR 68873 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer...

    Science.gov (United States)

    2012-11-16

    ... ``Benchmark Orders'' Under NASDAQ Rule 4751(f) November 9, 2012. On May 1, 2012, The NASDAQ Stock Market LLC...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission... proposed rule change to establish various ``Benchmark Orders'' under NASDAQ Rule 4751(f). The proposed rule...

  15. 77 FR 39314 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer...

    Science.gov (United States)

    2012-07-02

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Establish ``Benchmark Orders'' Under NASDAQ Rule 4751(f) June 26, 2012. On May 1, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the...

  16. 75 FR 5360 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change...

    Science.gov (United States)

    2010-02-02

    ..., 2009) (SR-ISE-2006-26) (order approving International Securities Exchange (``ISE'') proposal to.... Professional customers place and cancel orders in relation to an option's theoretical value in much the same... organizations will be required to review their customers' activity on at least a quarterly basis to determine...

  17. 77 FR 71026 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2012-11-28

    ... charge (i.e., free) for a non- electronic agency transaction of a Floor broker that executes against the...-electronic agency transaction between Floor brokers in the crowd in a security priced below $1; and (4) no charge for an agency cross trade (i.e., a trade where a member organization has customer orders to buy...

  18. 77 FR 30341 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Science.gov (United States)

    2012-05-22

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

  19. 75 FR 44830 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Science.gov (United States)

    2010-07-29

    ...\\ See Rule 7001(a). Competition for order flow is fierce among the national securities exchanges and... Organization's Statement on Burden on Competition NASDAQ does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes...

  20. 77 FR 38351 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Science.gov (United States)

    2012-06-27

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