Citations for: In the Matter of the Application of the Nasdaq Stock Market LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission

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Citations

  • 17 CFR 240.15
  • 17 CFR 240.24
  • 17 CFR 240.17
  • 66 FR 31952
  • 66 FR 41056
  • 70 FR 42398
  • 70 FR 59097
  • 70 FR 48219
  • 70 FR 73810
  • 70 FR 77433
  • 69 FR 29611
  • 69 FR 3974
  • 69 FR 2761
  • 66 FR 26892
  • 63 FR 70844
  • 62 FR 25226
  • 62 FR 43385
  • 70 FR 76477
  • 70 FR 52460
  • 69 FR 47962
  • 69 FR 71126 : Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization (12/08/2004)
    Full Title:
    Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, December 08, 2004
    Type:
    Proposed Rule
  • 70 FR 7531 : Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 by the Chicago Stock Exchange, Inc. Relating to the Demutualization of the Chicago Stock Exchange, Inc. (02/14/2005)
    Full Title:
    Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 by the Chicago Stock Exchange, Inc. Relating to the Demutualization of the Chicago Stock Exchange, Inc.
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, February 14, 2005
    Type:
    Notice
  • 15 U.S.C. 78

Entries Referencing This

  • 71 FR 6117: Self-Regulatory Organizations; National Association of Securities Dealers, Inc; Notice of Filing of Proposed Rule Change Relating to Position Limits and Position Reporting Obligations for Conventional Index and Equity Options (02/06/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc; Notice of Filing of Proposed Rule Change Relating to Position Limits and Position Reporting Obligations for Conventional Index and Equity Options
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, February 06, 2006
    Type:
    Notice
  • 71 FR 6300: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Mechanism for Handling Sub-Penny Orders in Securities Listed on the New York Stock Exchange or the American Stock Exchange (02/07/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Mechanism for Handling Sub-Penny Orders in Securities Listed on the New York Stock Exchange or the American Stock Exchange
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, February 07, 2006
    Type:
    Notice
  • 71 FR 8007: Joint Industry Plan; Order Granting Approval of Category 1 Changes From Amendment No. 13 of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the National Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc. (02/15/2006)
    Full Title:
    Joint Industry Plan; Order Granting Approval of Category 1 Changes From Amendment No. 13 of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the National Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, February 15, 2006
    Type:
    Notice
  • 71 FR 8018: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto To Modify the Pricing for Non-Members Using Nasdaq's Brut and Inet Facilities (02/15/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto To Modify the Pricing for Non-Members Using Nasdaq's Brut and Inet Facilities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, February 15, 2006
    Type:
    Notice
  • 71 FR 8020: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Establish a Unified Pricing Schedule for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut and Inet Facilities (02/15/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Establish a Unified Pricing Schedule for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut and Inet Facilities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, February 15, 2006
    Type:
    Notice
  • 71 FR 8625: Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving a Proposed Rule Change Relating to the Operation of Primary Market Maker Memberships (02/17/2006)
    Full Title:
    Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving a Proposed Rule Change Relating to the Operation of Primary Market Maker Memberships
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, February 17, 2006
    Type:
    Notice
  • 71 FR 9395: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut and Inet Facilities (02/23/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut and Inet Facilities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, February 23, 2006
    Type:
    Notice
  • 71 FR 9398: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Extend the Time for Non-Member Broker/Dealers To Access the Brut and INET Facilities (02/23/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Extend the Time for Non-Member Broker/Dealers To Access the Brut and INET Facilities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, February 23, 2006
    Type:
    Notice
  • 71 FR 10734: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Allow Nasdaq To Take Certain Actions on Behalf of Its Issuers in Connection With Nasdaq's Transition to a National Securities Exchange (03/02/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Allow Nasdaq To Take Certain Actions on Behalf of Its Issuers in Connection With Nasdaq's Transition to a National Securities Exchange
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, March 02, 2006
    Type:
    Notice
  • 71 FR 11251: Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 3, and 5 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 6 and 8 Relating to the NYSE's Business Combination With Archipelago Holdings, Inc. (03/06/2006)
    Full Title:
    Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 3, and 5 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 6 and 8 Relating to the NYSE's Business Combination With Archipelago Holdings, Inc.
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, March 06, 2006
    Type:
    Notice
  • 71 FR 13645: Self-Regulatory Organizations; Notice of Filing of Proposed Minor Rule Violation Plan by The Nasdaq Stock Market LLC (03/16/2006)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing of Proposed Minor Rule Violation Plan by The Nasdaq Stock Market LLC
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, March 16, 2006
    Type:
    Notice
  • 71 FR 13646: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Odd Lot Transactions in the Nasdaq Market Center (03/16/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Odd Lot Transactions in the Nasdaq Market Center
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, March 16, 2006
    Type:
    Notice
  • 71 FR 14760: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Routing Charges for NASD Members (03/23/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Routing Charges for NASD Members
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, March 23, 2006
    Type:
    Notice
  • 71 FR 15784: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Establishing CTCI Station-Based Pricing for Members (03/29/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Establishing CTCI Station-Based Pricing for Members
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, March 29, 2006
    Type:
    Notice
  • 71 FR 15787: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Establishing CTCI Station-Based Pricing for Non-Members (03/29/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Establishing CTCI Station-Based Pricing for Non-Members
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, March 29, 2006
    Type:
    Notice
  • 71 FR 15792: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Amend NASD Rule 11890 (03/29/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Amend NASD Rule 11890
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, March 29, 2006
    Type:
    Notice
  • 71 FR 16839: Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Dual Listing (04/04/2006)
    Full Title:
    Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Dual Listing
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, April 04, 2006
    Type:
    Notice
  • 71 FR 18790: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Allow Nasdaq To Take Certain Actions on Behalf of Its Issuers in Connection With Nasdaq's Transition to a National Securities Exchange (04/12/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Allow Nasdaq To Take Certain Actions on Behalf of Its Issuers in Connection With Nasdaq's Transition to a National Securities Exchange
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, April 12, 2006
    Type:
    Notice
  • 71 FR 19573: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Nasdaq Market Center (04/14/2006)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Nasdaq Market Center
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, April 14, 2006
    Type:
    Notice
  • 71 FR 19597: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee for the Brut Workstation (04/14/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee for the Brut Workstation
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, April 14, 2006
    Type:
    Notice
  • 71 FR 19769: Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for The NASDAQ Stock Market LLC (04/17/2006)
    Full Title:
    Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for The NASDAQ Stock Market LLC
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, April 17, 2006
    Type:
    Notice
  • 71 FR 25260: Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving Proposed Rule Change and Amendments No. 1 and 2 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Relating to the Proposal to Reorganize From its Current Structure Into a Holding Company Structure (04/28/2006)
    Full Title:
    Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving Proposed Rule Change and Amendments No. 1 and 2 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Relating to the Proposal to Reorganize From its Current Structure Into a Holding Company Structure
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, April 28, 2006
    Type:
    Notice
  • 71 FR 25265: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Regarding Restrictions on Affiliation Between Nasdaq and Its Members (04/28/2006)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Regarding Restrictions on Affiliation Between Nasdaq and Its Members
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, April 28, 2006
    Type:
    Notice
  • 71 FR 25876: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Handling by INET and Brut of Sub-Penny Orders in Securities Listed on the New York Stock Exchange LLC or the American Stock Exchange LLC (05/02/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Handling by INET and Brut of Sub-Penny Orders in Securities Listed on the New York Stock Exchange LLC or the American Stock Exchange LLC
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, May 02, 2006
    Type:
    Notice
  • 71 FR 26579: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Regarding the Nasdaq Crossing Network (05/05/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Regarding the Nasdaq Crossing Network
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, May 05, 2006
    Type:
    Notice
  • 71 FR 27762: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Establish an Annual Administrative Fee for Market Data Distributors That Are Recipients of Nasdaq Proprietary Data Products (05/12/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Establish an Annual Administrative Fee for Market Data Distributors That Are Recipients of Nasdaq Proprietary Data Products
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, May 12, 2006
    Type:
    Notice
  • 71 FR 33024: Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by The NASDAQ Stock Market LLC To Require Securities Be Eligible for a Direct Registration System (06/07/2006)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by The NASDAQ Stock Market LLC To Require Securities Be Eligible for a Direct Registration System
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, June 07, 2006
    Type:
    Notice
  • 71 FR 34408: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Modify the Cure Period Available to an Issuer That Loses an Independent Director or Audit Committee Member (06/14/2006)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Modify the Cure Period Available to an Issuer That Loses an Independent Director or Audit Committee Member
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, June 14, 2006
    Type:
    Notice
  • 71 FR 34656: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Modify Nasdaq's Delisting Procedures To Conform to Recent Amendments To Commission Rules Regarding Removal From Listing and Withdrawal From Registration (06/15/2006)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Modify Nasdaq's Delisting Procedures To Conform to Recent Amendments To Commission Rules Regarding Removal From Listing and Withdrawal From Registration
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, June 15, 2006
    Type:
    Notice
  • 71 FR 36143: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. To Modify the Fees for Trading and Compliance Data and the Data Package Available to NASD Member Firms via NasdaqTrader.com (06/23/2006)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. To Modify the Fees for Trading and Compliance Data and the Data Package Available to NASD Member Firms via NasdaqTrader.com
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, June 23, 2006
    Type:
    Notice
  • 71 FR 38910: Order Modifying a Condition to Operation as a National Securities Exchange of the Nasdaq Stock Market LLC (07/10/2006)
    Full Title:
    Order Modifying a Condition to Operation as a National Securities Exchange of the Nasdaq Stock Market LLC
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, July 10, 2006
    Type:
    Notice
  • 71 FR 38922: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1, 2, 3 and 4 Thereto To Create the Nasdaq Global Select Market and Rename the Nasdaq National Market (07/10/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1, 2, 3 and 4 Thereto To Create the Nasdaq Global Select Market and Rename the Nasdaq National Market
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, July 10, 2006
    Type:
    Notice
  • 71 FR 39382: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Amendments No. 1 and 2 Regarding the Nasdaq Crossing Network (07/12/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Amendments No. 1 and 2 Regarding the Nasdaq Crossing Network
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, July 12, 2006
    Type:
    Notice
  • 71 FR 40759: Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Granting Approval of Plan for Allocation of Regulatory Responsibilities Between The NASDAQ Stock Market LLC and the National Association of Securities Dealers, Inc. (07/18/2006)
    Full Title:
    Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Granting Approval of Plan for Allocation of Regulatory Responsibilities Between The NASDAQ Stock Market LLC and the National Association of Securities Dealers, Inc.
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, July 18, 2006
    Type:
    Notice
  • 71 FR 41291: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 Thereto Relating to the Nasdaq Market Center (07/20/2006)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 Thereto Relating to the Nasdaq Market Center
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, July 20, 2006
    Type:
    Notice
  • 71 FR 41853: Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Listing Standards for Broad-Based Index Options (07/24/2006)
    Full Title:
    Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Listing Standards for Broad-Based Index Options
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, July 24, 2006
    Type:
    Notice
  • 71 FR 42145: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto To Add Generic Listing Standards for Index-Linked Securities (07/25/2006)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto To Add Generic Listing Standards for Index-Linked Securities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, July 25, 2006
    Type:
    Notice
  • 71 FR 42428: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change to Modify Nasdaq Data Feeds (07/26/2006)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change to Modify Nasdaq Data Feeds
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, July 26, 2006
    Type:
    Notice
  • 71 FR 42698: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Adopt New NASD Rule 5150 Relating to Trade-Throughs (07/27/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Adopt New NASD Rule 5150 Relating to Trade-Throughs
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, July 27, 2006
    Type:
    Notice
  • 71 FR 44749: Self-Regulatory Organizations; National Association of Securities Dealers, Inc; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Extend the Time for Non-Member Broker/Dealers To Access the Brut and INET Facilities (08/07/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Extend the Time for Non-Member Broker/Dealers To Access the Brut and INET Facilities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, August 07, 2006
    Type:
    Notice
  • 71 FR 45246: In the Matter of the Application of the Nasdaq Stock Market, Inc. and the NASDAQ Stock Market LLC for Section 12(b) Registration On Behalf of Certain Issuers (08/08/2006)
    Full Title:
    In the Matter of the Application of the Nasdaq Stock Market, Inc. and the NASDAQ Stock Market LLC for Section 12(b) Registration On Behalf of Certain Issuers
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, August 08, 2006
    Type:
    Notice
  • 71 FR 45359: In the Matter of the Application of the Nasdaq Stock Market, Inc. and the NASDAQ Stock Market LLC for an Exemption From Section 12(a) Allowing Trading of Certain Unregistered Securities (08/08/2006)
    Full Title:
    In the Matter of the Application of the Nasdaq Stock Market, Inc. and the NASDAQ Stock Market LLC for an Exemption From Section 12(a) Allowing Trading of Certain Unregistered Securities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, August 08, 2006
    Type:
    Notice
  • 71 FR 45882: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding the Pricing Schedule for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut and Inet Facilities (08/10/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding the Pricing Schedule for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut and Inet Facilities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, August 10, 2006
    Type:
    Notice
  • 71 FR 50955: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Modify Certain of Nasdaq's Corporate Governance Standards, Including the Definition of Independent Director (08/28/2006)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Modify Certain of Nasdaq's Corporate Governance Standards, Including the Definition of Independent Director
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, August 28, 2006
    Type:
    Notice
  • 71 FR 55042: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Exempt All Securities Included in the NASDAQ-100 Index From the Price Test Set Forth in NASDAQ Rule 3350(a) (09/20/2006)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Exempt All Securities Included in the NASDAQ-100 Index From the Price Test Set Forth in NASDAQ Rule 3350(a)
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, September 20, 2006
    Type:
    Notice
  • 71 FR 55243: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Reflect Nasdaq's Complete Separation From NASD Upon the NASDAQ Stock Market LLC's Operation as a National Securities Exchange for Non-Nasdaq Exchange-Listed Securities (09/21/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Reflect Nasdaq's Complete Separation From NASD Upon the NASDAQ Stock Market LLC's Operation as a National Securities Exchange for Non-Nasdaq Exchange-Listed Securities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, September 21, 2006
    Type:
    Notice
  • 71 FR 56202: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Adopt New NASD Rule 5150 Relating to Trade-Throughs (09/26/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Adopt New NASD Rule 5150 Relating to Trade-Throughs
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, September 26, 2006
    Type:
    Notice
  • 71 FR 58036: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Generic Listing and Maintenance Standards for Broad-Based Index Options (10/02/2006)
    Full Title:
    Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Generic Listing and Maintenance Standards for Broad-Based Index Options
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, October 02, 2006
    Type:
    Notice
  • 71 FR 59173: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Amendment No. 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto to Align NASD Rules With Regulation NMS (10/06/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Amendment No. 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto to Align NASD Rules With Regulation NMS
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, October 06, 2006
    Type:
    Notice
  • 71 FR 65021: Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to Modify the Voluntary Withdrawal Procedures of Securities From Listing on the Exchange and, for Dually-Listed Issuers Voluntarily Withdrawing Listed Securities on the Exchange, To Eliminate the Requirement To Submit Resolutions by Their Board of Directors (11/06/2006)
    Full Title:
    Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to Modify the Voluntary Withdrawal Procedures of Securities From Listing on the Exchange and, for Dually-Listed Issuers Voluntarily Withdrawing Listed Securities on the Exchange, To Eliminate the Requirement To Submit Resolutions by Their Board of Directors
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, November 06, 2006
    Type:
    Notice
  • 71 FR 66571: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exempt Certain Cross Transactions From NASDAQ Rule 3350(a) (11/15/2006)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exempt Certain Cross Transactions From NASDAQ Rule 3350(a)
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, November 15, 2006
    Type:
    Notice
  • 71 FR 75068: Amendments to Regulation SHO and Rule 10a-1 (12/13/2006)
    Full Title:
    Amendments to Regulation SHO and Rule 10a-1
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, December 13, 2006
    Type:
    Proposed Rule
  • 71 FR 75597: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Integrate Brut and INET Facilities (12/15/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Integrate Brut and INET Facilities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, December 15, 2006
    Type:
    Notice
  • 71 FR 78239: Joint Industry Plan; Solicitation of Comments and Order Granting Temporary Summary Effectiveness to Request to Extend the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc., and to Request Permanent Approval of the Plan (12/28/2006)
    Full Title:
    Joint Industry Plan; Solicitation of Comments and Order Granting Temporary Summary Effectiveness to Request to Extend the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc., and to Request Permanent Approval of the Plan
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, December 28, 2006
    Type:
    Notice
  • 71 FR 78245: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposal Relating to Implementation of Certain Approved Rule Changes Reflecting the Complete Separation of Nasdaq from NASD (12/28/2006)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposal Relating to Implementation of Certain Approved Rule Changes Reflecting the Complete Separation of Nasdaq from NASD
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, December 28, 2006
    Type:
    Notice
  • 72 FR 8033: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Regarding the Proposed Combination Between NYSE Group, Inc. and Euronext N.V. (02/22/2007)
    Full Title:
    Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Regarding the Proposed Combination Between NYSE Group, Inc. and Euronext N.V.
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, February 22, 2007
    Type:
    Notice
  • 72 FR 8045: Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Regarding a Proposed Combination Between NYSE Group, Inc. and Euronext N.V. (02/22/2007)
    Full Title:
    Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Regarding a Proposed Combination Between NYSE Group, Inc. and Euronext N.V.
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, February 22, 2007
    Type:
    Notice
  • 72 FR 16391: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to Trading Three-Character Symbols (04/04/2007)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to Trading Three-Character Symbols
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, April 04, 2007
    Type:
    Notice
  • 72 FR 38641: Self-Regulatory Organizations; National Association of Securities Dealers, Inc; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Customer and the Industry Codes of Arbitration Procedure To Clarify NASD's Jurisdiction Concerning Members of Other Self-Regulatory Organizations (07/13/2007)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Customer and the Industry Codes of Arbitration Procedure To Clarify NASD's Jurisdiction Concerning Members of Other Self-Regulatory Organizations
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, July 13, 2007
    Type:
    Notice
  • 72 FR 42169: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Amend the By-Laws of NASD To Implement Governance and Related Changes To Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc. (08/01/2007)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Amend the By-Laws of NASD To Implement Governance and Related Changes To Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, August 01, 2007
    Type:
    Notice
  • 72 FR 44196: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change as Modified by Amendments No. 1, 3, and 4 Thereto To Reestablish a Quotation and Trading System, The PORTAL® Market, for Securities That Are Designated by Nasdaq as PORTAL Securities (08/07/2007)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change as Modified by Amendments No. 1, 3, and 4 Thereto To Reestablish a Quotation and Trading System, The PORTAL® Market, for Securities That Are Designated by Nasdaq as PORTAL Securities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, August 07, 2007
    Type:
    Notice
  • 72 FR 45848: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto, To Modify Pricing for Nasdaq Members Using the Nasdaq Market Center (08/15/2007)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto, To Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, August 15, 2007
    Type:
    Notice
  • 72 FR 58137: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change Relating to the Establishment of the NASDAQ Options Market LLC (10/12/2007)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change Relating to the Establishment of the NASDAQ Options Market LLC
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, October 12, 2007
    Type:
    Notice
  • 72 FR 65787: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to NYSE Rule 1500 (NYSE MatchPointSM (11/23/2007)
    Full Title:
    Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to NYSE Rule 1500 (NYSE MatchPointSM
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, November 23, 2007
    Type:
    Notice
  • 72 FR 74382: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Make Technical Amendments to the Uniform Application for Securities Industry Registration or Transfer (“Form U4”), the Uniform Termination Notice for Securities Industry Registration (“Form U5”) and the Uniform Branch Office Form (“Form BR”) (12/31/2007)
    Full Title:
    Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Make Technical Amendments to the Uniform Application for Securities Industry Registration or Transfer (“Form U4”), the Uniform Termination Notice for Securities Industry Registration (“Form U5”) and the Uniform Branch Office Form (“Form BR”)
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, December 31, 2007
    Type:
    Notice
  • 73 FR 903: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to NYSE Rule 1500 (NYSE MatchPoint SM (01/04/2008)
    Full Title:
    Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to NYSE Rule 1500 (NYSE MatchPoint SM
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, January 04, 2008
    Type:
    Notice
  • 73 FR 1901: Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Nasdaq Stockholders' Agreement Between the Nasdaq Stock Market, Inc. and Borse Dubai Limited (01/10/2008)
    Full Title:
    Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Nasdaq Stockholders' Agreement Between the Nasdaq Stock Market, Inc. and Borse Dubai Limited
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, January 10, 2008
    Type:
    Notice
  • 73 FR 10102: Exemption From Registration Under Section 12(G) of the Securities Exchange Act of 1934 for Foreign Private Issuers (02/25/2008)
    Full Title:
    Exemption From Registration Under Section 12(G) of the Securities Exchange Act of 1934 for Foreign Private Issuers
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, February 25, 2008
    Type:
    Proposed Rule
  • 73 FR 14521: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, To Establish Rules Governing the Trading of Options on the NASDAQ Options Market; Order Approving a Proposed Rule Change Relating to the LLC Agreement Establishing the NASDAQ Options Market LLC and Delegation Agreement Delegating to NOM LLC the Authority To Operate the NASDAQ Options Market; Order Granting an Application of The NASDAQ Stock Market LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act from the Requirements of Section 19(b) of the Exchange Act; and Order Granting an Exemption for the NASDAQ Options Market LLC from Section 11A(b) of the Exchange Act (03/18/2008)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, To Establish Rules Governing the Trading of Options on the NASDAQ Options Market; Order Approving a Proposed Rule Change Relating to the LLC Agreement Establishing the NASDAQ Options Market LLC and Delegation Agreement Delegating to NOM LLC the Authority To Operate the NASDAQ Options Market; Order Granting an Application of The NASDAQ Stock Market LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act from the Requirements of Section 19(b) of the Exchange Act; and Order Granting an Exemption for the NASDAQ Options Market LLC from Section 11A(b) of the Exchange Act
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, March 18, 2008
    Type:
    Notice
  • 73 FR 39359: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq Rules (07/09/2008)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq Rules
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, July 09, 2008
    Type:
    Notice
  • 73 FR 40409: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto To Remove From the Nasdaq Rules Fee Provisions Relating to Nasdaq's Mutual Fund Quotation Service (07/14/2008)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto To Remove From the Nasdaq Rules Fee Provisions Relating to Nasdaq's Mutual Fund Quotation Service
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, July 14, 2008
    Type:
    Notice
  • 73 FR 42850: Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the By-Laws of the NASDAQ OMX Group, Inc. in Connection With the Acquisitions of Boston Stock Exchange, Incorporated and Philadelphia Stock Exchange, Inc. (07/23/2008)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the By-Laws of the NASDAQ OMX Group, Inc. in Connection With the Acquisitions of Boston Stock Exchange, Incorporated and Philadelphia Stock Exchange, Inc.
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, July 23, 2008
    Type:
    Notice
  • 73 FR 42874: Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, Relating to Changes to Phlx's Governing Documents in Connection With the Acquisition of Phlx by The NASDAQ OMX Group, Inc. (07/23/2008)
    Full Title:
    Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, Relating to Changes to Phlx's Governing Documents in Connection With the Acquisition of Phlx by The NASDAQ OMX Group, Inc.
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, July 23, 2008
    Type:
    Notice
  • 73 FR 42890: Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend and Restate Its Articles of Incorporation (07/23/2008)
    Full Title:
    Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend and Restate Its Articles of Incorporation
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, July 23, 2008
    Type:
    Notice
  • 73 FR 46650: Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to the Hybrid Opening System (08/11/2008)
    Full Title:
    Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to the Hybrid Opening System
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, August 11, 2008
    Type:
    Notice
  • 73 FR 46936: Self-Regulatory Organizations; Boston Stock Exchange, Incorporated; Boston Stock Exchange Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Amending the Certificate of Incorporation of Boston Stock Exchange, Incorporated; Notice of Filing of Amendment No. 1 to a Proposed Rule Change Relating to the Acquisition of the Boston Stock Exchange, Incorporated by The NASDAQ OMX Group, Inc., and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1; Notice of Filing of Amendment No. 1 to a Proposed Rule Change Relating to a Proposal To Transfer Boston Stock Exchange, Incorporated's Ownership Interest in Boston Options Exchange Group, LLC and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1; Notice of Filing of Amendment No. 1 to a Proposed Rule Change by the Boston Stock Exchange Clearing Corporation Relating to Amendment of Its Articles of Organization and By-Laws in Connection With the Planned Acquisition by The NASDAQ OMX Group, Inc., and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1 (08/12/2008)
    Full Title:
    Self-Regulatory Organizations; Boston Stock Exchange, Incorporated; Boston Stock Exchange Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Amending the Certificate of Incorporation of Boston Stock Exchange, Incorporated; Notice of Filing of Amendment No. 1 to a Proposed Rule Change Relating to the Acquisition of the Boston Stock Exchange, Incorporated by The NASDAQ OMX Group, Inc., and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1; Notice of Filing of Amendment No. 1 to a Proposed Rule Change Relating to a Proposal To Transfer Boston Stock Exchange, Incorporated's Ownership Interest in Boston Options Exchange Group, LLC and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1; Notice of Filing of Amendment No. 1 to a Proposed Rule Change by the Boston Stock Exchange Clearing Corporation Relating to Amendment of Its Articles of Organization and By-Laws in Connection With the Planned Acquisition by The NASDAQ OMX Group, Inc., and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, August 12, 2008
    Type:
    Notice
  • 73 FR 49497: In the Matter of the Application of BATS Exchange, Inc. for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission (08/21/2008)
    Full Title:
    In the Matter of the Application of BATS Exchange, Inc. for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, August 21, 2008
    Type:
    Notice
  • 73 FR 52752: Exemption From Registration Under Section 12(G) of the Securities Exchange Act of 1934 for Foreign Private Issuers (09/10/2008)
    Full Title:
    Exemption From Registration Under Section 12(G) of the Securities Exchange Act of 1934 for Foreign Private Issuers
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, September 10, 2008
    Type:
    Rule
  • 73 FR 56876: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish a PORTAL Reference Database and Related Fees (09/30/2008)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish a PORTAL Reference Database and Related Fees
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, September 30, 2008
    Type:
    Notice
  • 73 FR 57707: Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments No. 1 and 4 Thereto, Relating to the Acquisition of the Amex by NYSE Euronext; Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Acquisition of the Amex by NYSE Euronext (10/03/2008)
    Full Title:
    Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments No. 1 and 4 Thereto, Relating to the Acquisition of the Amex by NYSE Euronext; Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Acquisition of the Amex by NYSE Euronext
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, October 03, 2008
    Type:
    Notice
  • 73 FR 67218: Joint Industry Plan; Order Approving the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by the Chicago Stock Exchange, Inc., The Nasdaq Stock Market, Inc., National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.), National Stock Exchange, Inc., and Philadelphia Stock Exchange, Inc. (11/13/2008)
    Full Title:
    Joint Industry Plan; Order Approving the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by the Chicago Stock Exchange, Inc., The Nasdaq Stock Market, Inc., National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.), National Stock Exchange, Inc., and Philadelphia Stock Exchange, Inc.
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, November 13, 2008
    Type:
    Notice
  • 73 FR 80468: Self-Regulatory Organizations; Boston Stock Exchange, Incorporated; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Establish New Rules for Membership, Member Conduct, and the Listing and Trading of Cash Equity Securities; Order Granting an Exemption for the Boston Stock Exchange, Incorporated From Section 11A(b) of the Securities Exchange Act of 1934 (12/31/2008)
    Full Title:
    Self-Regulatory Organizations; Boston Stock Exchange, Incorporated; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Establish New Rules for Membership, Member Conduct, and the Listing and Trading of Cash Equity Securities; Order Granting an Exemption for the Boston Stock Exchange, Incorporated From Section 11A(b) of the Securities Exchange Act of 1934
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, December 31, 2008
    Type:
    Notice
  • 74 FR 4799: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Create the Nasdaq Market Pathfinders Service and Establish Fees for the Service (01/27/2009)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Create the Nasdaq Market Pathfinders Service and Establish Fees for the Service
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, January 27, 2009
    Type:
    Notice
  • 74 FR 5008: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Trading Rules for the New York Block Exchange (01/28/2009)
    Full Title:
    Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Trading Rules for the New York Block Exchange
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, January 28, 2009
    Type:
    Notice
  • 74 FR 36797: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 2 To Redefine the Term “Member Organization” (07/24/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 2 To Redefine the Term “Member Organization”
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, July 24, 2009
    Type:
    Notice
  • 74 FR 36799: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 2 To Redefine the Term “Member Organization” (07/24/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 2 To Redefine the Term “Member Organization”
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, July 24, 2009
    Type:
    Notice
  • 75 FR 2908: Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Amend Rule 8.91-Limitations on Dealings of DPMs and Affiliated Persons of DPMs (01/19/2010)
    Full Title:
    Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Amend Rule 8.91-Limitations on Dealings of DPMs and Affiliated Persons of DPMs
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, January 19, 2010
    Type:
    Notice
  • 75 FR 5157: Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Establish Rules Governing the Trading of Options on the BATS Options Exchange (02/01/2010)
    Full Title:
    Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Establish Rules Governing the Trading of Options on the BATS Options Exchange
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, February 01, 2010
    Type:
    Notice
  • 75 FR 7530: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities (02/19/2010)
    Full Title:
    Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, February 19, 2010
    Type:
    Notice
  • 75 FR 8760: Order Granting Application for Exemption Pursuant to Section 36(a) of the Exchange Act by BATS Exchange, Inc. From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference (02/25/2010)
    Full Title:
    Order Granting Application for Exemption Pursuant to Section 36(a) of the Exchange Act by BATS Exchange, Inc. From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, February 25, 2010
    Type:
    Notice
  • 75 FR 11232: Amendments to Regulation SHO (03/10/2010)
    Full Title:
    Amendments to Regulation SHO
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, March 10, 2010
    Type:
    Rule
  • 75 FR 9455: Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend BATS Rule 5.5, Entitled “Information Barrier Procedures,” and To Add New BATS Rule 12.13, Entitled “Trading Ahead of Research Reports” (03/02/2010)
    Full Title:
    Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend BATS Rule 5.5, Entitled “Information Barrier Procedures,” and To Add New BATS Rule 12.13, Entitled “Trading Ahead of Research Reports”
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, March 02, 2010
    Type:
    Notice
  • 75 FR 13151: In the Matter of the Applications of EDGX Exchange, Inc., and EDGA Exchange, Inc. for Registration as National Securities Exchanges; Findings, Opinion, and Order of the Commission (03/18/2010)
    Full Title:
    In the Matter of the Applications of EDGX Exchange, Inc., and EDGA Exchange, Inc. for Registration as National Securities Exchanges; Findings, Opinion, and Order of the Commission
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, March 18, 2010
    Type:
    Notice
  • 75 FR 20738: Proposed Amendments to Rule 610 of Regulation NMS (04/20/2010)
    Full Title:
    Proposed Amendments to Rule 610 of Regulation NMS
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, April 20, 2010
    Type:
    Proposed Rule
  • 75 FR 23316: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities (05/03/2010)
    Full Title:
    Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, May 03, 2010
    Type:
    Notice
  • 75 FR 30082: Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Relating to the Demutualization of Chicago Board Options Exchange, Incorporated (05/28/2010)
    Full Title:
    Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Relating to the Demutualization of Chicago Board Options Exchange, Incorporated
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, May 28, 2010
    Type:
    Notice
  • 75 FR 32556: Consolidated Audit Trail (06/08/2010)
    Full Title:
    Consolidated Audit Trail
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, June 08, 2010
    Type:
    Proposed Rule
  • 75 FR 36144: Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change Relating to the Corporate Restructuring of C2 in Connection With the Demutualization of the Chicago Board Options Exchange, Incorporated (06/24/2010)
    Full Title:
    Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change Relating to the Corporate Restructuring of C2 in Connection With the Demutualization of the Chicago Board Options Exchange, Incorporated
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, June 24, 2010
    Type:
    Notice
  • 75 FR 51295: In the Matter of the Application of BATS Y-Exchange, Inc. for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission (08/19/2010)
    Full Title:
    In the Matter of the Application of BATS Y-Exchange, Inc. for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, August 19, 2010
    Type:
    Notice
  • 75 FR 56633: Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Establishment of NASDAQ OMX PSX as a Platform for Trading NMS Stocks (09/16/2010)
    Full Title:
    Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Establishment of NASDAQ OMX PSX as a Platform for Trading NMS Stocks
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, September 16, 2010
    Type:
    Notice
  • 75 FR 61806: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 to and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule A-3, on Membership on the Board, To Comply With the Dodd-Frank Wall Street Reform and Consumer Protection Act (10/06/2010)
    Full Title:
    Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 to and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule A-3, on Membership on the Board, To Comply With the Dodd-Frank Wall Street Reform and Consumer Protection Act
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, October 06, 2010
    Type:
    Notice
  • 75 FR 62160: Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval to a Proposed Rule Change Relating to a Proposed Price Improvement System, Price Improvement XL (10/07/2010)
    Full Title:
    Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval to a Proposed Rule Change Relating to a Proposed Price Improvement System, Price Improvement XL
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, October 07, 2010
    Type:
    Notice
  • 76 FR 24069: Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to NASDAQ OMX PHLX LLC's Limited Liability Company Agreement, By-Laws, Rules, Advices and Regulations (04/29/2011)
    Full Title:
    Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to NASDAQ OMX PHLX LLC's Limited Liability Company Agreement, By-Laws, Rules, Advices and Regulations
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, April 29, 2011
    Type:
    Notice
  • 76 FR 53921: Privacy Act of 1974; Department of Homeland Security ALL-034 Emergency Care Medical Records System of Records Notice (08/30/2011)
    Full Title:
    Privacy Act of 1974; Department of Homeland Security ALL-034 Emergency Care Medical Records System of Records Notice
    Agency:
    Department of Homeland Security
    Date Entered:
    Tuesday, August 30, 2011
    Type:
    Notice
  • 76 FR 61407: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Amendments to Rule A-3, on Membership on the Board (10/04/2011)
    Full Title:
    Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Amendments to Rule A-3, on Membership on the Board
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, October 04, 2011
    Type:
    Notice
  • 76 FR 64151: Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Amex Equities Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System (“OATS”) Rules, and Making Certain Conforming Changes (10/17/2011)
    Full Title:
    Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Amex Equities Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System (“OATS”) Rules, and Making Certain Conforming Changes
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, October 17, 2011
    Type:
    Notice
  • 76 FR 64154: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System (“OATS”) Rules, and Making Certain Conforming Changes (10/17/2011)
    Full Title:
    Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System (“OATS”) Rules, and Making Certain Conforming Changes
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, October 17, 2011
    Type:
    Notice
  • 76 FR 64406: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System (“OATS”) Rules, and Making Certain Conforming Changes (10/18/2011)
    Full Title:
    Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System (“OATS”) Rules, and Making Certain Conforming Changes
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, October 18, 2011
    Type:
    Notice
  • 77 FR 3297: Self-Regulatory Organizations; EDGA Exchange, Inc.; EDGX Exchange, Inc.; International Securities Exchange, LLC; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in Which Deutsche Börse AG and NYSE Euronext Would Become Subsidiaries of Alpha Beta Netherlands Holding N.V. (01/23/2012)
    Full Title:
    Self-Regulatory Organizations; EDGA Exchange, Inc.; EDGX Exchange, Inc.; International Securities Exchange, LLC; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in Which Deutsche Börse AG and NYSE Euronext Would Become Subsidiaries of Alpha Beta Netherlands Holding N.V.
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, January 23, 2012
    Type:
    Notice
  • 77 FR 22042: Self-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 (04/12/2012)
    Full Title:
    Self-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
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, April 12, 2012
    Type:
    Notice
  • 77 FR 26323: In the Matter of the Application of BOX Options Exchange LLC for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission (05/03/2012)
    Full Title:
    In the Matter of the Application of BOX Options Exchange LLC for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, May 03, 2012
    Type:
    Notice
  • 77 FR 26323: In the Matter of the Application of BOX Options Exchange LLC for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission (05/03/2012)
    Full Title:
    In the Matter of the Application of BOX Options Exchange LLC for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, May 03, 2012
    Type:
    Notice
  • 77 FR 39277: Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Establishment of a New Options Market, NASDAQ OMX BX Options (07/02/2012)
    Full Title:
    Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Establishment of a New Options Market, NASDAQ OMX BX Options
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, July 02, 2012
    Type:
    Notice
  • 77 FR 45706: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4626-Limitation of Liability (08/01/2012)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4626-Limitation of Liability
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, August 01, 2012
    Type:
    Notice
  • 77 FR 47681: Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Price Improvement Period (08/09/2012)
    Full Title:
    Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Price Improvement Period
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, August 09, 2012
    Type:
    Notice
  • 77 FR 67851: Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Proposed Rule Change To Amend the Price Improvement Period (11/14/2012)
    Full Title:
    Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Proposed Rule Change To Amend the Price Improvement Period
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, November 14, 2012
    Type:
    Notice
  • 77 FR 73065: In the Matter of the Application of Miami International Securities Exchange, LLC for Registration as a National Securities Exchange: Findings, Opinion, and Order of the Commission (12/07/2012)
    Full Title:
    In the Matter of the Application of Miami International Securities Exchange, LLC for Registration as a National Securities Exchange: Findings, Opinion, and Order of the Commission
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, December 07, 2012
    Type:
    Notice
  • 77 FR 73065: In the Matter of the Application of Miami International Securities Exchange, LLC for Registration as a National Securities Exchange: Findings, Opinion, and Order of the Commission (12/07/2012)
    Full Title:
    In the Matter of the Application of Miami International Securities Exchange, LLC for Registration as a National Securities Exchange: Findings, Opinion, and Order of the Commission
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, December 07, 2012
    Type:
    Notice
  • 77 FR 77141: Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Establish the Market Quality Program (12/31/2012)
    Full Title:
    Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Establish the Market Quality Program
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, December 31, 2012
    Type:
    Notice

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