Sample records for self-regulatory organizations notice
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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17 CFR 201.420 - Appeal of determinations by self-regulatory organizations.
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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
-
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...
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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...
-
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...
-
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...
-
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...
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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...
-
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...
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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...
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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...
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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...
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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...
-
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...
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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...
-
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...
-
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...
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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...
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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...
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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...
-
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...
-
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...
-
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...
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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...
-
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...
-
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...
-
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...
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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...
-
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...
-
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...
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2012-01-10
....15c3-5. Because these are NYSE Arca proprietary firms, the regulatory risk of extending the time to...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Trail System Rules, for Equity Trading Permit Holders That Are Not Financial Industry Regulatory...
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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...
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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...
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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...
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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...
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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...
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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...
-
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...
-
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...
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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...
-
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...
-
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...
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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...
-
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...
-
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...
-
2011-12-09
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Transaction Execution Fee and Credit Schedule in Rule 7018 December... 19b-4 thereunder,\\2\\ notice is hereby given that on November 30, 2011, The NASDAQ Stock Market LLC...
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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...
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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...
-
2012-06-18
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Participant Categories, Rebates and Fees for Adding and Removing Liquidity in... Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 \\2\\ thereunder, notice is hereby given that, on May 31...
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2011-08-08
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend Fees Assessed for Use of NASDAQ Pre-Trade Risk Management August 3, 2011. Pursuant...\\ notice is hereby given that, on July 25, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ...
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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...
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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...
-
2013-08-19
...-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... for a 40 Gigabit Liquidity Center Network Connection August 13, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is...
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2013-08-19
...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Provide for a 40 Gigabit Liquidity Center Network Connection August 13, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is...
-
2012-05-17
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees for Removing Liquidity in Select Symbols May 11, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice...
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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...
-
2012-05-24
...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Liquidity in Penny Pilot Issues May 18, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on May 8, 2012, NYSE Arca...
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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
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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...
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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...
-
2012-07-31
... change. All such Regulatory Bulletins will contain information regarding changes to the risk settings in...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule... Applicable to the Market Maker Risk Limitation Mechanism Will Be Between One and 100 Executions per Second...
-
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...
-
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...
-
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...
-
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...
-
2013-12-12
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the...\\ notice is hereby given that on November 27, 2013, The NASDAQ Stock Market LLC (``Nasdaq'' or ``Exchange... to vote generally in the election of directors (the ``Voting Stock''), voting together as a single...
-
2012-09-11
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Withdrawal of Proposed Rule Change To Modify Exchange Rule 3307 To Institute a Five Millisecond Delay in the Execution Time of Marketable Orders on... millisecond delay in the execution time of marketable orders on NASDAQ OMX PSX. Notice of the proposed rule...
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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...
-
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...
-
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...
-
2012-05-01
... settings via Regulatory Bulletin. The Mechanism protects Market Makers from the risk associated with an...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Options Rule 928NY Specifying That the Potential Range for the Settings Applicable to the Market Maker Risk...
-
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...
-
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...
-
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...
-
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...
-
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...
-
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...
-
2010-10-01
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on September 14, 2010, The NASDAQ Stock Market... voting on the election of a member of the board of directors of an issuer (except for a vote with respect...
-
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...
-
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...
-
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...
-
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...
-
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...
-
2013-10-22
...-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed... it is not proposing to modify any of the existing rebates or fees or the percentage thresholds at... will qualify for, providing Members with an increased certainty as to their monthly cost for trades...
-
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...
-
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...
-
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...
-
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...
-
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...
-
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...
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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...
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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...
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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...
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2013-02-06
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule... alert are different. During the order exposure period, those orders are, in effect, advertising in a... liquidity, because they are adding liquidity to the advertised orders. Accordingly, the Exchange believes...
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2012-03-14
... troubling trend of reduced participation in the equity markets by individual investors, and that nearly 30... different asset classes within a single strategy. NASDAQ also notes that cash equities and options markets...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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2010-09-24
...--NYSE Amex Equities (Anti-Money Laundering Compliance Program) replaced old Rule 445--NYSE Amex Equities...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... solicited or received with respect to the proposed rule change. III. Date of Effectiveness of the Proposed...
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2012-05-09
... \\21\\ routing strategy but that execute in the Nasdaq Market Center. Accordingly, such orders will be...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... given that on April 25, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the...
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2013-06-26
... of the Proposed Rule Change The Exchange proposes to delay the implementation of its new Options... waiving the 30-day operative delay, the Commission has considered the proposed rule's impact on efficiency...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule...
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2010-12-15
... last-sale price disseminated by a network processor over a five-minute rolling period measured...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the...
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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...
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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...
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2012-04-11
... Commission Chairman on what she viewed as a troubling trend of reduced participation in the equity markets by... investment strategy. NASDAQ also notes that cash equities and options markets are linked, with liquidity and...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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2011-01-14
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission.... Introduction On June 18, 2010, The NASDAQ Stock Market LLC (``Nasdaq'' or the ``Exchange'') filed with the... change. The Commission may extend the period for issuing an order approving or disapproving the proposed...
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2010-10-14
... availability of the credit to only DLPs providing displayed liquidity through the Nasdaq Market Center. A... market in ETFs and ILSs. As currently written, however, Rule 7018(i) provides a credit for any type of...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...
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2013-05-17
... actively in the NASDAQ Market Center justifiably earn the higher credit of $0.0005 per share executed. This...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Pilot Restrictions From NASDAQ's Qualified Market Maker and NBBO Setter...
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2010-05-06
...-Point Passive Liquidity Order (``MPL Order''). The text of the proposed rule change is available on the...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Mid- Point Passive Liquidity Order April 29, 2010. Pursuant to Section 19(b)(1) \\1...
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2011-12-02
... rule change by December 31, 2011, Phlx will submit a further proposed rule change to reflect such delay...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of a Recently Effective Modification to the Operation of the Minimum...
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2011-04-08
... each consolidated last-sale price disseminated by a network processor over a five minute rolling period...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the...
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2013-06-26
... subtracting an LRP value to a security's last sale price. The Exchange sets and disseminates a specific LRP... Exchange is increasing the highest price per share at which automatic execution is available, the Exchange...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of...
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2012-06-13
... option fails to achieve greater than 200 Average National Daily Customer Contracts. For these reasons...-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... (``Commission'') the proposed rule change as described in Items I, II, and III below, which Items have been...
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2011-08-24
... communications relating to the proposed rule change between the Commission and any person, other than those that...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... Ahead of Customer Orders With Certain Exceptions (Commonly Known as the Manning Rule) August 18, 2011...
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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...
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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...
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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...
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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...
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2010-09-24
... relevant part, old Rules 342.30(d) and (e) and Rule Interpretation 311(b)(5); Rule 3310 (Anti-Money...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of... to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for...
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2012-03-22
... Liquidity in Section I of the Exchange's Fee Schedule. The text of the proposed rule change is available on...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Certain Select Symbols From the Rebates and Fees for Adding and Removing Liquidity in...
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2011-07-07
...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Exchange Act of 1934, as amended (the ``Act''). Upon effectiveness of a plan filed pursuant to Rule 17d-2...(a) through 9.25, which concern advertising and sales literature, would be deleted and the text of...
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2013-03-20
... the locking or crossing market center. LIST is a routing strategy that is used by firms that wish for...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a... March 1, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and...
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2013-08-14
... market center. LIST is a routing strategy that is used by firms that wish for their orders to participate...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a... hereby given that on August 5, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with...
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2012-06-12
... Rule Change The Exchange proposes a rule change to delay the implementation date for its Excess Order...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for its Excess Order Fee June 6, 2012. Pursuant to Section 19(b...
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2012-08-07
... Proposed Rule Change The Exchange proposes a rule change to delay the implementation date for its rule...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of Non-Display of Primary Pegged Orders With an Offset Amount August 1...
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2010-08-10
... Gap Inc/The 331 ESI ITT Educational Services Inc. 280 TSL Trina Solar Ltd......... 332 NKE NIKE Inc...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... hereby given that on July 20, 2010, NYSE Arca, Inc. (``NYSE Arca'' or the ``Exchange'') filed with the...
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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...
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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...
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2011-10-17
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Regarding... September 28, 2011, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the Securities and Exchange... closely tailor their investment and risk management strategies and decisions. Furthermore, the Exchange...
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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...
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2013-06-19
... market quality by allowing it to set or join the NBBO, the NBBO Setter Incentive credit would be paid...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a... Credits June 13, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1...
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2012-01-09
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Rebates and Fees for Adding and Removing Liquidity in Select Symbols January 3, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), \\1\\ and Rule 19b-4...
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2012-02-01
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Rebates and Fees for Adding and Removing Liquidity in Select Symbols January 26, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\, and Rule 19b-4...
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2010-01-19
... market activity altogether. In today's evolving regulatory climate, the Exchange believes that the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61326; File No. SR-Phlx-2009-113] Self... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on...
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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...
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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...
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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...
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2011-06-13
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Risk Monitor Mechanism June 7, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of... NASDAQ Stock Market LLC (``NASDAQ'') filed with the Securities and Exchange Commission (``Commission...
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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...
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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...
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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...
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17 CFR 201.421 - Commission consideration of determinations by self-regulatory organizations.
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...
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2010-03-04
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the... February 24, 2010, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed with the Securities... of the votes at any election of directors at which a quorum is present is duly elected to the Board...
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2013-08-16
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change to Assume... NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange'') filed with the Securities and Exchange...: Manipulation patterns that monitor solely NASDAQ activity, including patterns that monitor the Exchange's...
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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...
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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...
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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...
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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...
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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...
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2010-03-22
... to handle the additional traffic associated with the listing and trading of $1 strikes where the...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change To Establish Strike... 1012 (Series of Options Open for Trading) to establish strike-price intervals for options on Index...
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2012-04-24
.... Further, to address concerns about the potential manipulation of lower priced stocks to meet the initial...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting..., 2012. I. Introduction On January 3, 2012, The NASDAQ Stock Market LLC (``Exchange'' or ``Nasdaq...
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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...
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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...
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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...
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2010-05-24
... second by comparing each last consolidated sale price of a security (``Trigger Trade'') during the...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change Adding Rule 80C To Provide for a Trading Pause for Individual Securities When the Price Moves 10 Percent or More...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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2013-12-24
.... Bloomfield, et al., SEC Rel. No. 62750 (Aug 20, 2010), available at http://www.sec.gov/litigation/admin/2010... Industry Regulatory Authority, Inc., Regulatory Notice 09-05, available at http://www.finra.org/web/groups... post all comments on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml ). Copies...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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2012-02-24
... or less than issuers would pay at other exchanges. For instance, derivative securities products and... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66422; File No. SR-BATS-2012-010] Self... the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby...
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2013-10-22
... option, derivative, security-based swap, or other financial instrument overlying a security, the value of... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70626; File No. SR-EDGX-2013-36] Self...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...
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2013-10-22
... Rule 5270 defines the term ``related financial instrument'' as ``any option, derivative, security-based... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70625; File No. SR-EDGA-2013-29] Self...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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2011-01-28
... Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed... Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International... Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of...
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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...
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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...
-
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...
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2012-12-07
... default swaps and European Corporate Single-Name credit default swaps. Notice of the proposed rule change... Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Change To Add Rules Related to the Clearing of iTraxx Europe Index CDS and European Corporate Single-Name CDS December 3, 2012. On September...
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2013-09-23
... Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed... Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International... ``Committee'') \\3\\ of the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation, and...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
-
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...
-
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...
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75 FR 79049 - Notice of Issuance of Regulatory Guide
2010-12-17
... site under ``Regulatory Guides'' at http://www.nrc.gov/reading-rm/doc-collections/ . The regulatory... NUCLEAR REGULATORY COMMISSION [NRC-2008-0427] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 3.12...
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75 FR 45173 - Notice of Issuance of Regulatory Guide
2010-08-02
... ``Regulatory Guides'' at http://www.nrc.gov/reading-rm/doc-collections/ . In addition, regulatory guides are... NUCLEAR REGULATORY COMMISSION [NRC-2008-0638] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 1.151...
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76 FR 18262 - Notice of issuance of Regulatory Guide
2011-04-01
... site under ``Regulatory Guides'' at http://www.nrc.gov/reading-rm/doc-collections/ . The regulatory... NUCLEAR REGULATORY COMMISSION [NRC-2009-0277] Notice of issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 1.44...
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76 FR 14107 - Notice of Issuance of Regulatory Guide
2011-03-15
... site under ``Regulatory Guides'' at http://www.nrc.gov/reading-rm/doc-collections/ . The regulatory... NUCLEAR REGULATORY COMMISSION [NRC-2009-0276] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 1.43...
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76 FR 14108 - Notice of Issuance of Regulatory Guide
2011-03-15
... site under ``Regulatory Guides'' at http://www.nrc.gov/reading-rm/doc-collections/ . The regulatory... NUCLEAR REGULATORY COMMISSION [NRC-2009-0275] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 1.50...
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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...
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Emotion: The Self-regulatory Sense.
Peil, Katherine T
2014-03-01
While emotion is a central component of human health and well-being, traditional approaches to understanding its biological function have been wanting. A dynamic systems model, however, broadly redefines and recasts emotion as a primary sensory system-perhaps the first sensory system to have emerged, serving the ancient autopoietic function of "self-regulation." Drawing upon molecular biology and revelations from the field of epigenetics, the model suggests that human emotional perceptions provide an ongoing stream of "self-relevant" sensory information concerning optimally adaptive states between the organism and its immediate environment, along with coupled behavioral corrections that honor a universal self-regulatory logic, one still encoded within cellular signaling and immune functions. Exemplified by the fundamental molecular circuitry of sensorimotor control in the E coli bacterium, the model suggests that the hedonic (affective) categories emerge directly from positive and negative feedback processes, their good/bad binary appraisals relating to dual self-regulatory behavioral regimes-evolutionary purposes, through which organisms actively participate in natural selection, and through which humans can interpret optimal or deficit states of balanced being and becoming. The self-regulatory sensory paradigm transcends anthropomorphism, unites divergent theoretical perspectives and isolated bodies of literature, while challenging time-honored assumptions. While suppressive regulatory strategies abound, it suggests that emotions are better understood as regulating us, providing a service crucial to all semantic language, learning systems, evaluative decision-making, and fundamental to optimal physical, mental, and social health.
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Emotion: The Self-regulatory Sense
2014-01-01
While emotion is a central component of human health and well-being, traditional approaches to understanding its biological function have been wanting. A dynamic systems model, however, broadly redefines and recasts emotion as a primary sensory system—perhaps the first sensory system to have emerged, serving the ancient autopoietic function of “self-regulation.” Drawing upon molecular biology and revelations from the field of epigenetics, the model suggests that human emotional perceptions provide an ongoing stream of “self-relevant” sensory information concerning optimally adaptive states between the organism and its immediate environment, along with coupled behavioral corrections that honor a universal self-regulatory logic, one still encoded within cellular signaling and immune functions. Exemplified by the fundamental molecular circuitry of sensorimotor control in the E coli bacterium, the model suggests that the hedonic (affective) categories emerge directly from positive and negative feedback processes, their good/bad binary appraisals relating to dual self-regulatory behavioral regimes—evolutionary purposes, through which organisms actively participate in natural selection, and through which humans can interpret optimal or deficit states of balanced being and becoming. The self-regulatory sensory paradigm transcends anthropomorphism, unites divergent theoretical perspectives and isolated bodies of literature, while challenging time-honored assumptions. While suppressive regulatory strategies abound, it suggests that emotions are better understood as regulating us, providing a service crucial to all semantic language, learning systems, evaluative decision-making, and fundamental to optimal physical, mental, and social health. PMID:24808986
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75 FR 52999 - Notice of Issuance of Regulatory Guide
2010-08-30
... site under ``Regulatory Guides'' at http://www.nrc.gov/reading-rm/doc-collections/ . In addition... NUCLEAR REGULATORY COMMISSION [NRC-2009-0556] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 8.35...
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75 FR 45171 - Notice of Issuance of Regulatory Guide
2010-08-02
... ``Regulatory Guides'' at http://www.nrc.gov/reading-rm/doc-collections/ and through the NRC's Agencywide... NUCLEAR REGULATORY COMMISSION [NRC-2010-0072] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 3.13...
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75 FR 37842 - Notice of Issuance of Regulatory Guide
2010-06-30
... site under ``Regulatory Guides'' at http://www.nrc.gov/reading-rm/doc-collections/ . In addition... NUCLEAR REGULATORY COMMISSION [NRC-2009-0396] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 2.5...
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75 FR 43207 - Notice of Issuance of Regulatory Guide
2010-07-23
... NRC's public Web site under ``Regulatory Guides'' at http://www.nrc.gov/reading-rm/doc-collections... NUCLEAR REGULATORY COMMISSION [NRC-2009-0282] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 1.141...
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75 FR 33361 - Notice of Issuance of Regulatory Guide
2010-06-11
....gov/reading-rm/doc-collections/ . In addition, regulatory guides are available for inspection at the... NUCLEAR REGULATORY COMMISSION [NRC-2009-0308] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 1.28...
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75 FR 16525 - Notice of Issuance of Regulatory Guide
2010-04-01
... http://www.nrc.gov/reading-rm/doc-collections/ . In addition, regulatory guides are available for... NUCLEAR REGULATORY COMMISSION [NRC-2009-0413] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 1.11...
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75 FR 27599 - Notice of Issuance of Regulatory Guide
2010-05-17
...'' at http://www.nrc.gov/reading-rm/doc-collections/ . In addition, regulatory guides are available for... NUCLEAR REGULATORY COMMISSION [NRC-2009-0492] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of issuance and availability of Regulatory Guide 6.7...
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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...
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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...
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75 FR 16202 - Notice of Issuance of Regulatory Guide
2010-03-31
... Guides'' at http://www.nrc.gov/reading-rm/doc-collections/ . In addition, regulatory guides are available... NUCLEAR REGULATORY COMMISSION [NRC-2008-0644] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide (RG) 1.126...
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75 FR 81675 - Notice of Issuance of Regulatory Guide
2010-12-28
... through the NRC's public Web site under ``Regulatory Guides'' at http://www.nrc.gov/reading-rm/doc... NUCLEAR REGULATORY COMMISSION [NRC-2010-0031] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 4.16...
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75 FR 20399 - Notice of Issuance of Regulatory Guide
2010-04-19
... the NRC's public Web site under ``Regulatory Guides'' at http://www.nrc.gov/reading-rm/doc-collections... NUCLEAR REGULATORY COMMISSION [NRC-2009-0418] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 6.9...
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76 FR 31382 - Notice of Issuance of Regulatory Guide
2011-05-31
... the NRC's public Web site under ``Regulatory Guides'' at http://www.nrc.gov/reading-rm/doc-collections... NUCLEAR REGULATORY COMMISSION [NRC-2010-0287] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 8.2...
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2013-03-13
... it may be impossible to hedge to offset the risk created by trading options, the Exchange expects... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69069; File No. SR-NASDAQ-2013-043] Self... the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given...
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2010-02-19
... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To... Influence Market Prices, Other than Paid Advertising); and 9810 (Initiation of Proceeding) to reflect recent... (Payment Designed to Influence Market Prices, Other than Paid Advertising); and 9810 (Initiation of...
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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...
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75 FR 20868 - Notice of Issuance of Regulatory Guide
2010-04-21
... available through the NRC's public Web site under ``Regulatory Guides'' at http://www.nrc.gov/reading-rm/doc... NUCLEAR REGULATORY COMMISSION [NRC-2009-0351] Notice of Issuance of Regulatory Guide AGENCY: Nuclear Regulatory Commission. ACTION: Notice of Issuance and Availability of Regulatory Guide 1.68.2...
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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...
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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...
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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...
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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...
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2011-09-27
... Rule 6.51 governs the operation of an Exchange feature that allows agency orders to electronically... today under the existing rules) adjust their ``quoting'' behavior accordingly, similar to how they and... Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule...
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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...
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2012-04-10
... Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Transaction Execution Fee and Credit Schedule April 5, 2012. Pursuant to Section... hereby given that on March 23, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange'') filed...
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2011-05-18
... addresses BX Rule 3011 pertaining to anti-money laundering compliance programs. In SR-FINRA-2009-039,\\3... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To... received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because...
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2013-06-06
... these fee and rebate changes will help to attract order flow from BX Options Market Makers and Customers..., and all written communications relating to the proposed rule change between the Commission and any... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To...
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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...
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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...
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75 FR 20991 - Credit Reforms in Organized Wholesale Electric Markets; Notice of Technical Conference
2010-04-22
... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. RM10-13-000] Credit Reforms in Organized Wholesale Electric Markets; Notice of Technical Conference April 15, 2010. Take notice... related to the Commission's Notice of Proposed Rulemaking on Credit Reforms in Organized Wholesale...
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75 FR 26749 - Credit Reforms in Organized Wholesale Electric Markets; Notice of Technical Conference
2010-05-12
... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. RM10-13-000] Credit Reforms in Organized Wholesale Electric Markets; Notice of Technical Conference April 15, 2010. Take notice... related to the Commission's Notice of Proposed Rulemaking on Credit Reforms in Organized Wholesale...
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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...
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2012-08-07
... Proposed Rule Change The Exchange proposes a rule change to delay the implementation date for its rule... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Date of Non-Display of Primary Pegged Orders With an Offset Amount August 1...
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2012-03-22
... and benefit from BOX routing services for Public Customer Orders at no charge. While the changes to... communications relating to the proposed rule change between the Commission and any person, other than those that... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To...
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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...
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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...
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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...
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2012-06-08
... proposes a rule change to delay the implementation date for its Excess Order Fee. The text of the proposed... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Date for Its Excess Order Fee June 4, 2012. Pursuant to Section 19(b)(1) of the...
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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...
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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...
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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...
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2011-10-19
...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange is... connection with prior filings, the Commission has expressed concern that the affiliation of an exchange with...-100). Recognizing that the Commission has previously expressed concern regarding the potential for...
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2013-08-05
... period will result in higher numbers of exposed Complex Orders and thereby improve order execution... numbers of exposed Complex Orders, increase visibility and provide flexibility and thereby improve order... Organizations; BOX Options Exchange LLC; Notice of Filing of a Proposed Rule Change To Modify the Complex Order...
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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...
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2013-01-25
... Purpose of, and Statutory Basis for, the Advance Notice In its filing with the Commission, DTC included statements concerning the purpose of and basis for the advance notice and discussed any comments it received... cap is placed on a pending (recycling) queue until the net debit cap will not be exceeded by...
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Computational Genetic Regulatory Networks Evolvable, Self-organizing Systems
Knabe, Johannes F
2013-01-01
Genetic Regulatory Networks (GRNs) in biological organisms are primary engines for cells to enact their engagements with environments, via incessant, continually active coupling. In differentiated multicellular organisms, tremendous complexity has arisen in the course of evolution of life on earth. Engineering and science have so far achieved no working system that can compare with this complexity, depth and scope of organization. Abstracting the dynamics of genetic regulatory control to a computational framework in which artificial GRNs in artificial simulated cells differentiate while connected in a changing topology, it is possible to apply Darwinian evolution in silico to study the capacity of such developmental/differentiated GRNs to evolve. In this volume an evolutionary GRN paradigm is investigated for its evolvability and robustness in models of biological clocks, in simple differentiated multicellularity, and in evolving artificial developing 'organisms' which grow and express an ontogeny starting fr...
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2011-12-05
...-Regulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change The Exchange... executions, executions by symbol, add versus remove, buy versus sell, display versus non-display, number of... QView service is similar to the services offered by the BATS exchange through its online member portal...
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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...
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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
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2010-07-09
... Interview) as part of their new membership application. The proposed change would amend Form NMA's hyperlink...) other (as described by the applicant). Form NMA does not provide a definition of a ``high net worth... question by providing a hyperlink for the term ``high net worth'' to SEC Form D (Notice of Exempt Offering...
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2010-05-24
... the Exchange is the primary listing market if the price of such security moves 10% or more from a sale... the last consolidated sale price of a Listed Circuit Breaker Security (``Trigger Trade'') to a... Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Establish a Trading...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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2012-07-18
... ATP Holders via Regulatory Bulletin regarding the rule change. The Exchange plans to issue notice....\\7\\ \\7\\ See Notice, supra note 3, at 32158. III. Discussion The Commission finds that the proposed...
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2011-03-18
... persons. \\4\\ See Notice to Members 05-48 (July 2005) (Members' Responsibilities When Outsourcing... and regulations that impact their work. Operations Professionals would be required to complete... provide guidance on the impact of the proposed rule change on FINRA Rule 2310 (Direct Participation...
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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...
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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...
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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...
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2012-11-27
..., Sutherland Asbill & Brennan LLP, to Marcia E. Asquith, Senior Vice President and Corporate Secretary, dated June 4, 2012 (``Sutherland''). In the Notice, FINRA specifically requested comment on whether there is...\\ Sutherland. \\11\\ Sutherland. \\12\\ Sutherland. FINRA has considered these comments and believes a de minimis...
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2013-03-18
...-regulatory organization has prepared summaries, set forth in Sections A, B, and C below, of the most... Plan's goal to address extraordinary market volatility. Accordingly, when the underlying security is in... theory, the liquidity provided by requiring Market Makers to continue to quote during a Limit or Straddle...
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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,...
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2010-04-01
... disciplinary sanctions or summary suspensions by a self-regulatory organization. 240.19d-2 Section 240.19d-2... summary suspensions by a self-regulatory organization. If any self-regulatory organization imposes any... the appropriate regulatory agency may file with the Commission a written motion for a stay of...
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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...
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2012-03-26
... Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change to Its Risk Model To Reduce the... Model so That It Is Easier for Market Participants To Measure Their Risk March 20, 2012. Pursuant to... is hereby given that on March 8, 2012, ICE Clear Credit LLC (``ICC'') filed with the Securities and...
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2013-12-26
..., written notice to FINRA Market Operations of its intention to withdraw as a Registered Reporting ADF ECN... rejection by the ADF Trading Center. As such, an incoming order that fully posts to the book of that ADF... book of that ADF Trading Center, and is subsequently cancelled, corrected, etc., the order reporting...
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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…
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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...
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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...
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76 FR 59066 - Notice of Regulatory Review Plan
2011-09-23
... [No. 2011-N-10] Notice of Regulatory Review Plan AGENCY: Federal Housing Finance Agency. ACTION... of and requesting comments on the FHFA interim regulatory review plan for review of existing... comments on all aspects of the interim regulatory review plan, including legal and policy considerations...
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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...
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2011-09-14
... described, if applicable. This provision of the Notice would thus address many additional types of conflicts... conflicts of interest. Further, under the Notice, the Rule G-17 duty of fair dealing would require that the... disclose all material conflicts of interest such as those that may color its judgment and impair its...
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76 FR 35922 - Notice of Issuance of Regulatory Guide
2011-06-20
.... Proposed Revision 1 of Regulatory Guide (RG) 8.4, ``Personnel Monitoring Device--Direct-Reading Pocket...'' at http://www.nrc.gov/reading-rm/doc-collections/ . In addition, regulatory guides are available for... NUCLEAR REGULATORY COMMISSION [NRC-2010-0148] Notice of Issuance of Regulatory Guide AGENCY...
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76 FR 28102 - Notice of Issuance of Regulatory Guide
2011-05-13
..., Probabilistic Risk Assessment Branch, Division of Risk Analysis, Office of Nuclear Regulatory Research, U.S... results of risk analyses are used to help justify regulatory action. As such, the principles, process, and... NUCLEAR REGULATORY COMMISSION [NRC-2009-0385] Notice of Issuance of Regulatory Guide AGENCY...
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2010-05-17
... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. RM10-13-000] Credit Reforms in Organized Wholesale Electric Markets; Further Notice Concerning Technical Conference May 10, 2010... technical conference related to the Commission's Notice of Proposed Rulemaking on Credit Reforms in...
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2010-08-25
... recent outsourcing of surveillance and other regulatory functions to FINRA.\\8\\ Specifically, to have... with NASD IM-1013-1 or NASD IM-1013-2, including limiting its business operations to ``permitted floor... NASD IM-1013-2 establish a waive-in membership application process for certain firms to become FINRA...
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76 FR 20052 - Notice of Issuance of Regulatory Guide
2011-04-11
... the NRC's public Web site under ``Regulatory Guides'' at http://www.nrc.gov/reading-rm/doc-collections... NUCLEAR REGULATORY COMMISSION [NRC-2010-0187] Notice of Issuance of Regulatory Guide AGENCY... Guide 1.149, ``Nuclear Power Plant Simulation Facilities for Use in Operator Training, License...
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2010-04-01
... filing with respect to proposed rule changes by self-regulatory organizations under Section 19(b)(7)(A... proposed rule changes by self-regulatory organizations under Section 19(b)(7)(A) of the Securities Exchange Act of 1934. This form shall be used by self-regulatory organizations, as defined in section 3(a)(25...
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2012-06-11
... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. AD06-6-000] Notice of Joint Meeting of the Nuclear Regulatory Commission and the Federal Energy Regulatory Commission The Federal Energy Regulatory Commission (FERC) and the Nuclear Regulatory Commission (NRC) will hold a joint meeting...
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2010-08-16
...) offering online viewing of notices and notice download capability, and (iii) providing up-to-date... Participants sign on to PTS) and through its Relationship Management newsletter. Participants will continue to... communications relating to the proposed rule change between the Commission and any person, other than those that...
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75 FR 18202 - Notice of Indo-U.S. Regulatory Workshop
2010-04-09
... regulatory challenges faced by commissioners from both nations. The FERC Commissioners, along with other... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission Notice of Indo-U.S. Regulatory Workshop April 1, 2010. Commissioner Philip D. Moeller will convene a workshop at the Federal Energy Regulatory...
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78 FR 61999 - Hydropower Regulatory Efficiency Act of 2013; Supplemental Notice of Workshop
2013-10-10
... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. AD13-9-000] Hydropower Regulatory Efficiency Act of 2013; Supplemental Notice of Workshop As announced in the Notices issued on September 3, 2013 and September 18, 2013, the Federal Energy Regulatory Commission (FERC or Commission...
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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...
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2012-10-09
..., regulatory and other risks of this business activity. These controls include financial risk management... 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...
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2013-10-22
... Advance Notice, as Previously Modified by Amendment Nos. 1 and 2, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs October... proposal by NSCC to amend its Rules & Procedures (the ``NSCC Rules'') to provide for supplemental liquidity...
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SELF-REGULATORY ABILITIES IN PROFESSIONAL ACTIVITY
Directory of Open Access Journals (Sweden)
G V Ozhiganova
2016-12-01
Full Text Available The self-regulation is considered by the author as a general ability of the person. The levels of self-regulation relating to any professional activity, and corresponding to these levels self-regulatory capacities are distinguished: 1 psychophysiological - the ability for self-regulation of emotional and psycho- physiological states; 2 socio-psychological - the ability for self-regulation in the process of social interaction; 3 psychological (the ability to regulate activities; the capacity for personal self-control;spiritual - the highest capacity for self-regulation due to the higher values and meanings of existence. Self-regulation at the highest spiritual level is considered in this research in connection with the actualization of higher self-regulatory capacities, leading to self-realization of the person including professional activity. Processes, levels, components of self-regulation, associated with different conditions of professional activities (for example, in extreme situations, as well as with different types of professions (teachers, sales managers, etc. are described. A particular attention is given to self- regulation in the teaching activities: levels, techniques of teachers’ self-regulatory skills are presented; the importance of teachers’ personal self-regulation is emphasized, because it determines self-development, self-improvement and self-fulfillment in their chosen profession, and is associated with the manifestation of higher self-regulatory capacities. It is noted that in the process of professional activities different levels and types of self-regulation are demanded. The self-regulation in professional activities is carried out due to various self-regulatory capabilities - from simple to complex, including the highest.
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2010-04-01
... filing with respect to proposed rule changes by all self-regulatory organizations. 249.819 Section 249..., SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and Forms for....819 Form 19b-4, for electronic filing with respect to proposed rule changes by all self-regulatory...
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2012-11-15
... importance and expense of the Exchange's regulatory efforts and competitive pricing pressures and to ensure... Exchange participates in a highly competitive market in which regulatory costs are continually increasing...
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2013-05-24
... Advance Notice, as Modified by Amendment No. 1, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources To Meet Its Liquidity Needs May 20, 2013. On March...
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2010-06-28
... regulatory functions, the Exchange shall retain ultimate legal responsibility for, and control of, such... perform certain of the Exchange's member regulatory functions, the Exchange shall retain ultimate legal responsibility for, and control of, such functions. As noted above, the Exchange will be consolidating...
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Nes, Lise Solberg; Carlson, Charles R.; Crofford, Leslie J.; de Leeuw, Reny; Segerstrom, Suzanne C.
2011-01-01
Ability to self-regulate varies and self-regulatory strength is a limited source that can be depleted or fatigued. Research on the impact of individual differences on self-regulatory capacity is still scarce, and this study aimed to examine whether personality factors such as dispositional optimism, conscientiousness, and self-consciousness can impact or buffer self-regulatory fatigue. Participants were patients diagnosed with chronic multi-symptom illnesses (N = 50), or pain free matched con...
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2013-08-05
... innovative pricing strategy. The Exchange notes that if the extension of the fee waiver results in a modest... to Market Makers including marketing fees, Options Regulatory Fees, market data, and membership... may apply to Market Makers including marketing fees, Options Regulatory Fees, market data, and...
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2013-06-12
... by adopting an innovative pricing strategy. The Exchange notes that if the fee waiver resulted in a... apply to Market Makers including marketing fees, Options Regulatory Fees, market data, and membership... Market Makers including marketing fees, Options Regulatory Fees, market data, and membership application...
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2012-08-28
... Exchange would announce via Regulatory Bulletin the applicable time period(s) for the Risk Limitation... Exchange would specify via Regulatory Bulletin the applicable time period(s) for the Risk Limitation... Risk Limitation Mechanisms, as well as any applicable time period(s) and order types, via Regulatory...
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2013-05-15
... ``any option, derivative, security-based swap, or other financial instrument overlying a security, the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69543; File No. SR-FINRA-2013-021] Self... (Front Running of Block Transactions) May 9, 2013. Pursuant to Section 19(b)(1) of the Securities...
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2011-07-29
... Proposed Rule Change 1. Purpose (a) Background In light of well publicized securities frauds that resulted... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64954; File No. SR-FINRA-2010-036] Self...-Case Referrals July 25, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...
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Tseng, Min-Chen; Chen, Chia-Cheng
2017-06-01
This study investigated the self-regulatory behaviors of arts students, namely memory strategy, goal-setting, self-evaluation, seeking assistance, environmental structuring, learning responsibility, and planning and organizing. We also explored approaches to learning, including deep approach (DA) and surface approach (SA), in a comparison between students' professional training and English learning. The participants consisted of 344 arts majors. The Academic Self-Regulation Questionnaire and the Revised Learning Process Questionnaire were adopted to examine students' self-regulatory behaviors and their approaches to learning. The results show that a positive and significant correlation was found in students' self-regulatory behaviors between professional training and English learning. The results indicated that increases in using self-regulatory behaviors in professional training were associated with increases in applying self-regulatory behaviors in learning English. Seeking assistance, self-evaluation, and planning and organizing were significant predictors for learning English. In addition, arts students used the deep approach more often than the surface approach in both their professional training and English learning. A positive correlation was found in DA, whereas a negative correlation was shown in SA between students' self-regulatory behaviors and their approaches to learning. Students with high self-regulation adopted a deep approach, and they applied the surface approach less in professional training and English learning. In addition, a SEM model confirmed that DA had a positive influence; however, SA had a negative influence on self-regulatory behaviors.
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2010-04-02
..., Saber Partners, LLC (``Saber Partners'') to Mr. Pica, dated July 9, 2008; Leslie M. Norwood, Managing... CEO, Saber Partners to Mr. Pica, dated July 9, 2008; Leslie M. Norwood, Managing Director and... Notice, Saber Partners identified this statistic as one that ``can give great insight into the liquidity...