Science.gov

Sample records for taiwan stock exchange

  1. Some new evidence on bond initial public offerings in the Taiwan Stock Exchange: An industrial perspective

    NASA Astrophysics Data System (ADS)

    Ke, Mei-Chu; Liang Liao, Tung; Hsu, Hong-Ming

    2007-05-01

    This study examines the determinants of types of bonds at the initial public offerings (IPOs) for the Taiwan Stock Exchange (TWSE). From an industrial perspective, R&D expenditures are mainly positively related to issuing straight bonds and future growth opportunities to convertible bonds for electronic firms. In the non-electronic industry, firms with significant financing needs are more likely to issue convertible bonds, whereas those without such requirement are more likely to issue straight bonds. It is also found that electronic firms convey a significant negative signal to the stock market, while non-electronic firms experience an insignificant stock price response surrounding the announcements of the bond IPO.

  2. Stock or stroke? Stock market movement and stroke incidence in Taiwan.

    PubMed

    Chen, Chun-Chih; Chen, Chin-Shyan; Liu, Tsai-Ching; Lin, Ying-Tzu

    2012-12-01

    This paper investigates the impact of stock market movement on incidences of stroke utilizing population-based aggregate data in Taiwan. Using the daily data from the Taiwan Stock Exchange Capitalization Weighted Stock Index and from the National Health Insurance Research Database during 2001/1/1-2007/12/31, which consist of 2556 observations, we examine the effects of stock market on stroke incidence - the level effect and the daily change effects. In general, we find that both a low stock index level and a daily fall in the stock index are associated with greater incidences of stroke. We further partition the data on sex and age. The level effect is found to be significant for either gender, in the 45-64 and 65 ? age groups. In addition, two daily change effects are found to be significant for males and the elderly. Although stockholdings can increase wealth, they can also increase stroke incidence, thereby representing a cost to health. PMID:22951009

  3. 26 CFR 1.1081-3 - Exchanges of stock or securities solely for stock or securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 26 Internal Revenue 11 2012-04-01 2012-04-01 false Exchanges of stock or securities solely for stock or securities. 1.1081-3 Section 1.1081-3 Internal Revenue INTERNAL REVENUE SERVICE, DEPARTMENT OF....c. Orders § 1.1081-3 Exchanges of stock or securities solely for stock or securities. The...

  4. 26 CFR 1.1081-3 - Exchanges of stock or securities solely for stock or securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 26 Internal Revenue 11 2013-04-01 2013-04-01 false Exchanges of stock or securities solely for stock or securities. 1.1081-3 Section 1.1081-3 Internal Revenue INTERNAL REVENUE SERVICE, DEPARTMENT OF....c. Orders § 1.1081-3 Exchanges of stock or securities solely for stock or securities. The...

  5. 26 CFR 1.1081-3 - Exchanges of stock or securities solely for stock or securities.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 26 Internal Revenue 11 2014-04-01 2014-04-01 false Exchanges of stock or securities solely for stock or securities. 1.1081-3 Section 1.1081-3 Internal Revenue INTERNAL REVENUE SERVICE, DEPARTMENT OF....c. Orders § 1.1081-3 Exchanges of stock or securities solely for stock or securities. The...

  6. Are stock market returns related to the weather effects? Empirical evidence from Taiwan

    NASA Astrophysics Data System (ADS)

    Chang, Tsangyao; Nieh, Chien-Chung; Yang, Ming Jing; Yang, Tse-Yu

    2006-05-01

    In this study, we employ a recently developed econometric technique of the threshold model with the GJR-GARCH process on error terms to investigate the relationships between weather factors and stock market returns in Taiwan using daily data for the period of 1 July 1997-22 October 2003. The major weather factors studied include temperature, humidity, and cloud cover. Our empirical evidence shows that temperature and cloud cover are two important weather factors that affect the stock returns in Taiwan. Our empirical findings further support the previous arguments that advocate the inclusion of economically neutral behavioral variables in asset pricing models. These results also have significant implications for individual investors and financial institutions planning to invest in the Taiwan stock market.

  7. 8. Detail of viaduct, livestock exchange building to left, stock ...

    Library of Congress Historic Buildings Survey, Historic Engineering Record, Historic Landscapes Survey

    8. Detail of viaduct, livestock exchange building to left, stock yards autopark right. View to north. - South Omaha Union Stock Yards, Buckingham Road Viaduct, Twenty-ninth Street spanning Stockyard Cattle Pens, Omaha, Douglas County, NE

  8. Random matrix theory and portfolio optimization in Moroccan stock exchange

    NASA Astrophysics Data System (ADS)

    El Alaoui, Marwane

    2015-09-01

    In this work, we use random matrix theory to analyze eigenvalues and see if there is a presence of pertinent information by using MarÄŤenko-Pastur distribution. Thus, we study cross-correlation among stocks of Casablanca Stock Exchange. Moreover, we clean correlation matrix from noisy elements to see if the gap between predicted risk and realized risk would be reduced. We also analyze eigenvectors components distributions and their degree of deviations by computing the inverse participation ratio. This analysis is a way to understand the correlation structure among stocks of Casablanca Stock Exchange portfolio.

  9. Non-equilibrium stochastic model for stock exchange market

    NASA Astrophysics Data System (ADS)

    Kim, Yup; Kwon, Ikhyun; Yook, Soon-Hyung

    2013-12-01

    We study the effect of the topology of industrial relationship (IR) between the companies in a stock exchange market on the universal features in the market. For this we propose a stochastic model for stock exchange markets based on the behavior of technical traders. From the numerical simulations we measure the return distribution, P(R), and the autocorrelation function of the volatility, C(T), and find that the observed universal features in real financial markets are originated from the heterogeneity of IR network topology. Moreover, the heterogeneous IR topology can also explain Zipf-Pareto’s law for the distribution of market value of equity in the real stock exchange markets.

  10. Implicit exchanges in family caregiving for frail elders in Taiwan.

    PubMed

    Hsu, Hui-Chuan; Shyu, Yea-Ing Lotus

    2003-10-01

    In this study, the authors use in-depth interviews with inductive analysis to develop a conceptual framework for exploring social exchanges and their implicit calculations for caregivers in Taiwan. They interviewed 12 caregivers, based on theory-based sampling and maximum variation. They found some components of implicit exchanges of the caregivers, and drew a framework to describe it. At the beginning of care, motivations were mostly from obligation accompanied by reciprocity or repaying motives. In the process of caregiving, some unique, implicit cultural implicit exchanges were found, such as karma, a demonstrative behavior to investment, equitable share of responsibility, and the pressure or rewards from public opinion. These implicit exchanges might be intermediary factors in helping caregivers cope with their burden or even in influencing their continuation of care. The findings are implicated to help family caregivers continue their care and not damage their quality of care. PMID:14556420

  11. Testing for contagion under asymmetric dynamics: Evidence from the stock markets between US and Taiwan

    NASA Astrophysics Data System (ADS)

    Wang, Kuan-Min; Nguyen Thi, Thanh-Binh

    2007-03-01

    This article is an attempt to test, through the use of forward forecasting test on dynamic conditional correlation (DCC), for contagion between Taiwan and US stocks under asymmetry. The process includes three steps. The first step uses the iterated cumulative sums of squares (ICSS) algorithm to detect the structural breaks of market return. The second step creates dummy variables for breaks, estimates EGARCH model of conditional generalized error distribution, and computes dynamic conditional correlation coefficients of DCC multivariate GARCH model. The third step employs one-step and N-step forecast test to check for contagion effect. The evidences prove the asymmetric leverage effect of Taiwan weighted stock index and New York-NYSE Composite Index. Interestingly, we discovered that there are two kinds of contagion, “positive” and “negative”, between markets.

  12. Modeling Philippine Stock Exchange Composite Index Using Time Series Analysis

    NASA Astrophysics Data System (ADS)

    Gayo, W. S.; Urrutia, J. D.; Temple, J. M. F.; Sandoval, J. R. D.; Sanglay, J. E. A.

    2015-06-01

    This study was conducted to develop a time series model of the Philippine Stock Exchange Composite Index and its volatility using the finite mixture of ARIMA model with conditional variance equations such as ARCH, GARCH, EG ARCH, TARCH and PARCH models. Also, the study aimed to find out the reason behind the behaviorof PSEi, that is, which of the economic variables - Consumer Price Index, crude oil price, foreign exchange rate, gold price, interest rate, money supply, price-earnings ratio, Producers’ Price Index and terms of trade - can be used in projecting future values of PSEi and this was examined using Granger Causality Test. The findings showed that the best time series model for Philippine Stock Exchange Composite index is ARIMA(1,1,5) - ARCH(1). Also, Consumer Price Index, crude oil price and foreign exchange rate are factors concluded to Granger cause Philippine Stock Exchange Composite Index.

  13. Cluster fusion-fission dynamics in the Singapore stock exchange

    NASA Astrophysics Data System (ADS)

    Teh, Boon Kin; Cheong, Siew Ann

    2015-10-01

    In this paper, we investigate how the cross-correlations between stocks in the Singapore stock exchange (SGX) evolve over 2008 and 2009 within overlapping one-month time windows. In particular, we examine how these cross-correlations change before, during, and after the Sep-Oct 2008 Lehman Brothers Crisis. To do this, we extend the complete-linkage hierarchical clustering algorithm, to obtain robust clusters of stocks with stronger intracluster correlations, and weaker intercluster correlations. After we identify the robust clusters in all time windows, we visualize how these change in the form of a fusion-fission diagram. Such a diagram depicts graphically how the cluster sizes evolve, the exchange of stocks between clusters, as well as how strongly the clusters mix. From the fusion-fission diagram, we see a giant cluster growing and disintegrating in the SGX, up till the Lehman Brothers Crisis in September 2008 and the market crashes of October 2008. After the Lehman Brothers Crisis, clusters in the SGX remain small for few months before giant clusters emerge once again. In the aftermath of the crisis, we also find strong mixing of component stocks between clusters. As a result, the correlation between initially strongly-correlated pairs of stocks decay exponentially with average life time of about a month. These observations impact strongly how portfolios and trading strategies should be formulated.

  14. Multivariate Comparative Analysis of Stock Exchanges: The European Perspective

    NASA Astrophysics Data System (ADS)

    Koralun-BereĹşnicka, Julia

    The aim of the research is to perform a multivariate comparative analysis of 20 European stock exchanges in order to identify the main similarities between the objects. Due to the convergence process of capital markets in Europe the similarities between stock exchanges could be expected to increase over time. The research is meant to show whether and how these similarities change. Consequently, the distances between clusters of similar stock exchanges should become less significant, which the analysis also aims at verifying. The basis of comparison is a set of 48 monthly variables from the period January, 2003 to December, 2006. The variables are classified into three categories: size of the market, equity trading and bonds. The paper aims at identifying the clusters of alike stock exchanges and at finding the characteristic features of each of the distinguished groups. The obtained categorization to some extent corresponds with the division of the European Union into “new” and “old” member countries. Clustering method, performed for each quarter separately, also reveals that the classification is fairly stable in time. The factor analysis, which was carried out to reduce the number of variables, reveals three major factors behind the data, which are related with the earlier mentioned categories of variables.

  15. A threshold model for Australian Stock Exchange equities

    NASA Astrophysics Data System (ADS)

    Bertram, William K.

    2005-02-01

    In this paper, we present a threshold model to describe the phenomena of zero return enhancement that is present in Australian Stock Exchange data. We examine the intraday behaviour of the ASX data and construct a new measure for the market activity using principal component analysis. We use this measure to create a business time scale that keeps the level of zero return enhancement constant throughout trading hours. Operating in this new time scale we fit the model to data for small and large time scales and find that the model affords an excellent approximation of the distribution of stock returns.

  16. From Buttonwood to Silicon--A Bicentennial Look at the New York Stock Exchange.

    ERIC Educational Resources Information Center

    Pahl, Ronald H.

    1992-01-01

    Introduces a journal issue devoted to the New York Stock Exchange. Describes the formation and development of the stock exchange and Wall Street. Discusses the connection between politics and finance and the economic changes in formerly socialist nations. Suggests that the New York Stock Exchange may have to convert to a computer trading system.…

  17. From Buttonwood to Silicon--A Bicentennial Look at the New York Stock Exchange.

    ERIC Educational Resources Information Center

    Pahl, Ronald H.

    1992-01-01

    Introduces a journal issue devoted to the New York Stock Exchange. Describes the formation and development of the stock exchange and Wall Street. Discusses the connection between politics and finance and the economic changes in formerly socialist nations. Suggests that the New York Stock Exchange may have to convert to a computer trading system.…

  18. 77 FR 521 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated and National Stock...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-05

    ... Proposed Acquisition of the National Stock Exchange, Inc. by CBOE Stock Exchange, LLC December 29, 2011. I...,\\2\\ proposed rule changes in connection with the proposed acquisition of NSX by CBOE Stock Exchange...), 76 FR 75577 (December 2, 2011) (SR-CBOE-2011-107) (``CBOE Notice'') and 65842 (November 28, 2011),...

  19. 26 CFR 1.356-4 - Exchanges for section 306 stock.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... exchange for section 306 stock, an amount equal to the fair market value of the property plus the money, if... of common stock having a fair market value of $80 and one $100 bond having a fair market value of... 26 Internal Revenue 4 2010-04-01 2010-04-01 false Exchanges for section 306 stock. 1.356-4...

  20. 26 CFR 1.356-4 - Exchanges for section 306 stock.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 26 Internal Revenue 4 2011-04-01 2011-04-01 false Exchanges for section 306 stock. 1.356-4 Section... stock. If, in a transaction to which section 356 is applicable, other property or money is received in exchange for section 306 stock, an amount equal to the fair market value of the property plus the money,...

  1. 76 FR 46866 - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-03

    ..., 2006), 71 FR 42693 (July 27, 2006) (SR-CHX-2005-34). The Exchange also proposes to require that any... COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing of Proposed... .01 Thereunder Regarding the Cancellation of the Stock Leg of Stock- Option Transactions Done on...

  2. 26 CFR 1.356-4 - Exchanges for section 306 stock.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 26 Internal Revenue 4 2014-04-01 2014-04-01 false Exchanges for section 306 stock. 1.356-4 Section... section 306 stock. If, in a transaction to which section 356 is applicable, other property or money is received in exchange for section 306 stock, an amount equal to the fair market value of the property...

  3. 26 CFR 1.356-4 - Exchanges for section 306 stock.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 26 Internal Revenue 4 2012-04-01 2012-04-01 false Exchanges for section 306 stock. 1.356-4 Section... section 306 stock. If, in a transaction to which section 356 is applicable, other property or money is received in exchange for section 306 stock, an amount equal to the fair market value of the property...

  4. 26 CFR 1.356-4 - Exchanges for section 306 stock.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 26 Internal Revenue 4 2013-04-01 2013-04-01 false Exchanges for section 306 stock. 1.356-4 Section... section 306 stock. If, in a transaction to which section 356 is applicable, other property or money is received in exchange for section 306 stock, an amount equal to the fair market value of the property...

  5. Structural and topological phase transitions on the German Stock Exchange

    NASA Astrophysics Data System (ADS)

    Wiliński, M.; Sienkiewicz, A.; Gubiec, T.; Kutner, R.; Struzik, Z. R.

    2013-12-01

    We find numerical and empirical evidence for dynamical, structural and topological phase transitions on the (German) Frankfurt Stock Exchange (FSE) in the temporal vicinity of the worldwide financial crash. Using the Minimal Spanning Tree (MST) technique, a particularly useful canonical tool of the graph theory, two transitions of the topology of a complex network representing the FSE were found. The first transition is from a hierarchical scale-free MST representing the stock market before the recent worldwide financial crash, to a superstar-like MST decorated by a scale-free hierarchy of trees representing the market’s state for the period containing the crash. Subsequently, a transition is observed from this transient, (meta)stable state of the crash to a hierarchical scale-free MST decorated by several star-like trees after the worldwide financial crash. The phase transitions observed are analogous to the ones we obtained earlier for the Warsaw Stock Exchange and more pronounced than those found by Onnela-Chakraborti-Kaski-Kertész for the S&P 500 index in the vicinity of Black Monday (October 19, 1987) and also in the vicinity of January 1, 1998. Our results provide an empirical foundation for the future theory of dynamical, structural and topological phase transitions on financial markets.

  6. Extreme value modelling of Ghana stock exchange index.

    PubMed

    Nortey, Ezekiel N N; Asare, Kwabena; Mettle, Felix Okoe

    2015-01-01

    Modelling of extreme events has always been of interest in fields such as hydrology and meteorology. However, after the recent global financial crises, appropriate models for modelling of such rare events leading to these crises have become quite essential in the finance and risk management fields. This paper models the extreme values of the Ghana stock exchange all-shares index (2000-2010) by applying the extreme value theory (EVT) to fit a model to the tails of the daily stock returns data. A conditional approach of the EVT was preferred and hence an ARMA-GARCH model was fitted to the data to correct for the effects of autocorrelation and conditional heteroscedastic terms present in the returns series, before the EVT method was applied. The Peak Over Threshold approach of the EVT, which fits a Generalized Pareto Distribution (GPD) model to excesses above a certain selected threshold, was employed. Maximum likelihood estimates of the model parameters were obtained and the model's goodness of fit was assessed graphically using Q-Q, P-P and density plots. The findings indicate that the GPD provides an adequate fit to the data of excesses. The size of the extreme daily Ghanaian stock market movements were then computed using the value at risk and expected shortfall risk measures at some high quantiles, based on the fitted GPD model. PMID:26587364

  7. 77 FR 67431 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-09

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate... Stock Exchange LLC Price List November 5, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange..., 2012, New York Stock Exchange LLC (the ``Exchange'' or ``NYSE'') filed with the Securities and...

  8. Application of artificial neural network models and principal component analysis method in predicting stock prices on Tehran Stock Exchange

    NASA Astrophysics Data System (ADS)

    Zahedi, Javad; Rounaghi, Mohammad Mahdi

    2015-11-01

    Stock price changes are receiving the increasing attention of investors, especially those who have long-term aims. The present study intends to assess the predictability of prices on Tehran Stock Exchange through the application of artificial neural network models and principal component analysis method and using 20 accounting variables. Finally, goodness of fit for principal component analysis has been determined through real values, and the effective factors in Tehran Stock Exchange prices have been accurately predicted and modeled in the form of a new pattern consisting of all variables.

  9. 77 FR 16298 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-20

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate... the New York Stock Exchange Price List March 14, 2012. Pursuant to Section 19(b)(1) of the Securities..., 2012, New York Stock Exchange LLC (``NYSE'' or ``Exchange'') filed with the Securities and...

  10. 77 FR 74536 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-14

    ... COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate... thereunder,\\2\\ notice is hereby given that on December 3, 2012, National Stock Exchange, Inc. (``NSX '' or... associated with Order Delivery Mode, as it did by capturing the difference between the rebate provided to...

  11. 78 FR 61413 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-03

    ... COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...\\ thereunder, notice is hereby given that on September 26, 2013, the Chicago Stock Exchange, Inc. (``CHX'' or... will not recoup the difference from the Participants that had been paid the Q2 MDR Rebate. Instead,...

  12. Creating a Global Stock Exchange: Does the Present National System Have a Future?

    ERIC Educational Resources Information Center

    Warner-Allen, Charles

    Sovereignty and national pride throw up potentially the biggest obstacles in the path of a global stock exchange, being all the more insurmountable because of their bases in emotional politics as opposed to economic logic. A global stock exchange could come about if New York, London and Tokyo could consolidate their current baton-passing activity…

  13. Economic sector identification in a set of stocks traded at the New York Stock Exchange: a comparative analysis

    NASA Astrophysics Data System (ADS)

    Coronnello, C.; Tumminello, M.; Lillo, F.; Miccichč, S.; Mantegna, R. N.

    2007-06-01

    We review some methods recently used in the literature to detect the existence of a certain degree of common behavior of stock returns belonging to the same economic sector. Specifically, we discuss methods based on random matrix theory and hierarchical clustering techniques. We apply these methods to a set of stocks traded at the New York Stock Exchange. The investigated time series are recorded at a daily time horizon. All the considered methods are able to detect economic information and the presence of clusters characterized by the economic sector of stocks. However, different methodologies provide different information about the considered set. Our comparative analysis suggests that the application of just a single method could not be able to extract all the economic information present in the correlation coefficient matrix of a set of stocks.

  14. 77 FR 44302 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-27

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule... July 13, 2012, New York Stock Exchange LLC (the ``Exchange'' or ``NYSE'') filed with the Securities and... only for proposed cross transactions that are for at least 10,000 shares or a quantity of stock...

  15. 75 FR 28842 - Self-Regulatory Organizations; Proposed Rule Change by Chicago Stock Exchange, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-24

    ... COMMISSION Self-Regulatory Organizations; Proposed Rule Change by Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Establish a Trading Halt for Individual Stocks Contained in the... Chicago Stock Exchange, Inc. (``CHX'' or the ``Exchange'') filed with the Securities and...

  16. 77 FR 63406 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-16

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to Certain Fees and Credits Within the New York Stock..., New York Stock Exchange LLC (the ``Exchange'' or ``NYSE'') filed with the Securities and...

  17. Forecasting Tehran stock exchange volatility; Markov switching GARCH approach

    NASA Astrophysics Data System (ADS)

    Abounoori, Esmaiel; Elmi, Zahra (Mila); Nademi, Younes

    2016-03-01

    This paper evaluates several GARCH models regarding their ability to forecast volatility in Tehran Stock Exchange (TSE). These include GARCH models with both Gaussian and fat-tailed residual conditional distribution, concerning their ability to describe and forecast volatility from 1-day to 22-day horizon. Results indicate that AR(2)-MRSGARCH-GED model outperforms other models at one-day horizon. Also, the AR(2)-MRSGARCH-GED as well as AR(2)-MRSGARCH-t models outperform other models at 5-day horizon. In 10 day horizon, three models of AR(2)-MRSGARCH outperform other models. Concerning 22 day forecast horizon, results indicate no differences between MRSGARCH models with that of standard GARCH models. Regarding Risk management out-of-sample evaluation (95% VaR), a few models seem to provide reasonable and accurate VaR estimates at 1-day horizon, with a coverage rate close to the nominal level. According to the risk management loss functions, there is not a uniformly most accurate model.

  18. 75 FR 4436 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement a Cancellation Fee January 21, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange...

  19. 77 FR 76141 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-26

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Telemarketing Rules December 18, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange...

  20. 76 FR 19171 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-06

    ... Effectiveness of Proposed Rule Change To Enable the Use of a Replace Message To Modify the Display Quantity of a... Change National Stock Exchange, Inc. (``NSX '' or ``Exchange'') is proposing to enable a Replace Message..., the Exchange is proposing to enable the Replace Message under NSX Rule 11.11(d) to be used to...

  1. 76 FR 39451 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-06

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Concerning the CHX Connect Service June 29, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...

  2. Building a national electronic medical record exchange system - experiences in Taiwan.

    PubMed

    Li, Yu-Chuan Jack; Yen, Ju-Chuan; Chiu, Wen-Ta; Jian, Wen-Shan; Syed-Abdul, Shabbir; Hsu, Min-Huei

    2015-08-01

    There are currently 501 hospitals and about 20,000 clinics in Taiwan. The National Health Insurance (NHI) system, which is operated by the NHI Administration, uses a single-payer system and covers 99.9% of the nation's total population of 23,000,000. Taiwan's NHI provides people with a high degree of freedom in choosing their medical care options. However, there is the potential concern that the available medical resources will be overused. The number of doctor consultations per person per year is about 15. Duplication of laboratory tests and prescriptions are not rare either. Building an electronic medical record exchange system is a good method of solving these problems and of improving continuity in health care. In November 2009, Taiwan's Executive Yuan passed the 'Plan for accelerating the implementation of electronic medical record systems in medical institutions' (2010-2012; a 3-year plan). According to this plan, a patient can, at any hospital in Taiwan, by using his/her health insurance IC card and physician's medical professional IC card, upon signing a written agreement, retrieve all important medical records for the past 6 months from other participating hospitals. The focus of this plan is to establish the National Electronic Medical Record Exchange Centre (EEC). A hospital's information system will be connected to the EEC through an electronic medical record (EMR) gateway. The hospital will convert the medical records for the past 6 months in its EMR system into standardized files and save them on the EMR gateway. The most important functions of the EEC are to generate an index of all the XML files on the EMR gateways of all hospitals, and to provide search and retrieval services for hospitals and clinics. The EEC provides four standard inter-institution EMR retrieval services covering medical imaging reports, laboratory test reports, discharge summaries, and outpatient records. In this system, we adopted the Health Level 7 (HL7) Clinical Document Architecture (CDA) standards to generate clinical documents and Integrating the Healthcare Enterprise (IHE) Cross-enterprise Document Sharing (XDS) profile for the communication infrastructure. By December of 2014, the number of hospitals that provide an inter-institution EMR exchange service had reached 321. Hospitals that had not joined the service were all smaller ones with less than 100 beds. Inter-institution EMR exchange can make it much easier for people to access their own medical records, reduce the waste of medical resources, and improve the quality of medical care. The implementation of an inter-institution EMR exchange system faces many challenges. This article provides Taiwan's experiences as a reference. PMID:26001420

  3. 78 FR 60945 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-02

    ... stock trading pauses contained in Article 20, Rule 10(c)(4). The Exchange has designated this proposal... rule applicable to Clearly Erroneous Executions and to remove references to individual stock trading.... 68802 (February 1, 2013), 78 FR 9092 (Feb. 7, 2013) (SR-CHX-2013-04). On September 10, 2010,...

  4. 75 FR 2175 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-14

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule... December 22, 2009, the Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities...

  5. 78 FR 75952 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-13

    ....19b-4. \\3\\ See Securities Exchange Act Release No. 70728 (October 25, 2013), 78 FR 64043. II... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to Proposed..., 2013, the New York Stock Exchange, LLC (``NYSE'' or ``Exchange'') filed with the Securities...

  6. 75 FR 59310 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-27

    ... Exchange Act Release No. 62732 (Aug 16, 2010), 75 FR 51512 (``Notice''). In its proposal, NYSE proposed to... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change..., 2010, New York Stock Exchange LLC (``NYSE'' or the ``Exchange'') filed with the Securities and...

  7. 75 FR 2899 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-19

    ...), 74 FR 64797 (hereinafter referred to as ``Notice''). II. Description of the Proposal The Exchange... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change..., New York Stock Exchange LLC (``NYSE'' or ``Exchange'') filed with the Securities and...

  8. 78 FR 59992 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-30

    ... a regulated foreign exchange following the consummation of the Reverse Merger.. However, such... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and...

  9. 78 FR 1290 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-08

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Telemarketing Rules December 18, 2012. Correction In...

  10. 78 FR 132 - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-02

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of Proposed Rule Change With Respect to the Amendment of the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc. December 26, 2012....

  11. 76 FR 51439 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-18

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11.19(c) Relating to Clearly Erroneous Transactions August 11, 2011. Pursuant to Section...

  12. 78 FR 4180 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-18

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Fee Schedule Relating to Port Charges January 15, 2013. Pursuant to Section 19(b)(1) \\1\\ of...

  13. 76 FR 77048 - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-09

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Order Approving Proposed Rule Change With Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. December 5, 2011. I. Introduction On October 11,...

  14. 77 FR 5080 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-01

    ...) regarding SR-CHX-2010-23. \\6\\ See Securities Exchange Act Release No. 64228 (April 7, 2011), 75 FR 20792... Rule 19b-4 \\2\\ thereunder, notice is hereby given that on January 23, 2012, the Chicago Stock Exchange... Release No. 34-62886 (September 10, 2010), 75 FR 56613 (September 16, 2010) approving SR-CHX-2010- 13....

  15. 77 FR 51076 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-23

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add Rule 3.21 Regarding Telephone Solicitation August 17, 2012. Pursuant to Section...

  16. 76 FR 50784 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-16

    ... stocks to the pilot rule.\\8\\ \\4\\ See Securities Exchange Act Release No. 62252 (June 10, 2010), 75 FR... (September 10, 2010), 75 FR 56618 (September 16, 2010) approving SR-CHX-2010-14. \\6\\ See Securities Exchange Act Release No. 34-63498 (December 9, 2010), 75 FR 78310 December 15, 2010) approving...

  17. 75 FR 36746 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-28

    ... Securities Exchange Act Release No. 62252 (June 10, 2010), 75 FR 34186 (June 16, 2010) (SR-NSX-2010- 05). The... COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule...\\ notice is hereby given that on June 17, 2010, National Stock Exchange, Inc. filed with the Securities...

  18. 76 FR 75573 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-02

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate..., on November 18, 2011, the New York Stock Exchange LLC (``NYSE'' or the ``Exchange'') filed with the... equivalent rating by another NRSRO, to a pari passu or junior issue. \\4\\ The only difference in...

  19. 75 FR 36759 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-28

    ...), 75 FR 34186 (June 16, 2010) (SR-NYSE-2010-39). As described above, the Exchange is proposing to... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule... is hereby given that, on June 17, 2010, New York Stock Exchange LLC (``NYSE'' or the...

  20. 78 FR 42813 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-17

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate... on June 28, 2013, New York Stock Exchange LLC (``NYSE'' or ``Exchange'') filed with the Securities... to the extent permitted by applicable state and federal law and rules (including...

  1. 77 FR 1769 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-11

    ... applicable month as follows: \\3\\ \\3\\ See Securities Exchange Act Release No. 65062 (August 9, 2011), 76 FR... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC To Amend the Schedule of Rebates Paid to Supplemental...

  2. 77 FR 56895 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-14

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List To Make Changes to Certain Transaction Fees To Eliminate...

  3. 26 CFR 1.1081-3 - Exchanges of stock or securities solely for stock or securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... THE TREASURY (CONTINUED) INCOME TAX (CONTINUED) INCOME TAXES Exchanges in Obedience to S.e.c. Orders... corporation must be acting in obedience to an order of the Securities and Exchange Commission directed to...

  4. 26 CFR 1.1081-3 - Exchanges of stock or securities solely for stock or securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... THE TREASURY (CONTINUED) INCOME TAX (CONTINUED) INCOME TAXES (CONTINUED) Exchanges in Obedience to S.e... transferee corporation must be acting in obedience to an order of the Securities and Exchange...

  5. 76 FR 7236 - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Boston Stock Exchange...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-09

    ... Release No. 59858 (May 4, 2009), 74 FR 22191 (May 12, 2009) (SR-NASDAQ-2009-039). Prior to the closing of... share, for $21.82 per share (approximately $497 million in aggregate) from Borse Dubai Limited (``Borse Dubai'') (``Stock Repurchase''). Also on December 16, 2010, Nomura International plc (``Nomura'')...

  6. The use of the Hurst exponent to predict changes in trends on the Warsaw Stock Exchange

    NASA Astrophysics Data System (ADS)

    Domino, Krzysztof

    2011-01-01

    The local properties of the time series of the evolution of share prices of 126 significant companies traded on the Warsaw Stock Exchange during the period between 1991-2008 have been investigated. The analysis was applied to daily financial returns. I have used the local DFA to obtain the Hurst exponent (diffusion coefficient) while searching for negative correlations by which changes of long-term trends would be effected. A certain evidence, proving that after the signature of anti-correlation-the drop in the Hurst exponent-the change in the trend and in the return rate of an investment is probable, was pointed out. Hence after further investigation this method may be useful as a part of an investment strategy. As the Warsaw Stock Exchange is relatively smaller and younger than other significant world Stock Exchanges-and as the developing market is less efficient-the generalization for others markets needs further investigation.

  7. 26 CFR 1.1081-7 - Sale of stock or securities received upon exchange by members of system group.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... (the difference between the fair market value of the stock when acquired and the amount for which it... 26 Internal Revenue 11 2013-04-01 2013-04-01 false Sale of stock or securities received upon... to S.e.c. Orders § 1.1081-7 Sale of stock or securities received upon exchange by members of...

  8. 26 CFR 1.1081-7 - Sale of stock or securities received upon exchange by members of system group.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... (the difference between the fair market value of the stock when acquired and the amount for which it... 26 Internal Revenue 11 2012-04-01 2012-04-01 false Sale of stock or securities received upon... to S.e.c. Orders § 1.1081-7 Sale of stock or securities received upon exchange by members of...

  9. 26 CFR 1.1081-7 - Sale of stock or securities received upon exchange by members of system group.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... (the difference between the fair market value of the stock when acquired and the amount for which it... 26 Internal Revenue 11 2014-04-01 2014-04-01 false Sale of stock or securities received upon... to S.e.c. Orders § 1.1081-7 Sale of stock or securities received upon exchange by members of...

  10. 26 CFR 1.1081-7 - Sale of stock or securities received upon exchange by members of system group.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... (the difference between the fair market value of the stock when acquired and the amount for which it... 26 Internal Revenue 11 2011-04-01 2011-04-01 false Sale of stock or securities received upon... to S.e.c. Orders § 1.1081-7 Sale of stock or securities received upon exchange by members of...

  11. 75 FR 41560 - Self-Regulatory Organizations; New York Stock Exchange LLC and NYSE Amex LLC; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-16

    ..., 2009), 74 FR 28086 (June 12, 2009). 2. Proposed Amendment of NYSE Rule 134 and NYSE Amex Rule 134 Each... Organizations; New York Stock Exchange LLC and NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on June 17, 2010, New York Stock Exchange...

  12. Multifractal detrended cross-correlations between the Chinese exchange market and stock market

    NASA Astrophysics Data System (ADS)

    Cao, Guangxi; Xu, Longbing; Cao, Jie

    2012-10-01

    Based on the daily price data of the Chinese Yuan (RMB)/US dollar exchange rate and the Shanghai Stock Composite Index, we conducted an empirical analysis of the cross-correlations between the Chinese exchange market and stock market using the multifractal cross-correlation analysis method. The results demonstrate the overall significance of the cross-correlation based on the analysis of a statistic. Multifractality exists in cross-correlations, and the cross-correlated behavior of small fluctuations is more persistent than that of large fluctuations. Moreover, using the rolling windows method, we find that the cross-correlations between the Chinese exchange market and stock market vary with time and are especially sensitive to the reform of the RMB exchange rate regime. The previous reduction in the flexibility of the RMB exchange rate in July 2008 strengthened the persistence of cross-correlations and decreased the degree of multifractality, whereas the enhancement of the flexibility of the RMB exchange rate in June 2010 weakened the persistence of cross-correlations and increased the multifractality. Finally, several relevant discussions are provided to verify the robustness of our empirical analysis.

  13. 76 FR 67007 - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-28

    ... COMMISSION Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of Proposed Rule Change With Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. October 24... from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...

  14. 76 FR 13251 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-10

    ... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Exchange Rule 103B To Modify the Application of the Exchange's Designated Market Maker (``DMM'') Allocation Policy in the Event...

  15. 76 FR 12161 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-04

    ... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1600 (New York Block Exchange \\SM\\) To Add Provisions on Short Sales in Order...

  16. Do stock prices drive people crazy?

    PubMed

    Lin, Chung-Liang; Chen, Chin-Shyan; Liu, Tsai-Ching

    2015-03-01

    This is the first research to examine a potential relation between stock market volatility and mental disorders. Using data on daily incidences of mental disorders in Taiwan over 4000 days from 1998 through 2009 to assess the time-series relation between stock price movements and mental disorders, we observe that stock price fluctuation clearly affects the hospitalization of mental disorders. We find that during a 12-year follow-up period, a low stock price index, a daily fall in the stock price index and consecutive daily falls in the stock price index are all associated with greater of mental disorders hospitalizations. A 1000-point fall in the TAIEX (Taiwan Stock Exchange Capitalization Weighted Stock Index) increases the number of daily mental disorders hospitalizations by 4.71%. A 1% fall in the TAIEX in one single day increases daily hospitalizations for mental disorders by 0.36%. When the stock price index falls one consecutive day, it causes a daily increase of approximately 0.32% hospitalizations due to mental disorders on that day. Stock price index is found to be significant for both gender and all age groups. In addition, daily change is significant for both gender and middle-age groups, whereas accumulated change is significant for males and people aged 45-64. Stockholdings can help people accumulate wealth, but they can also increase mental disorders hospitalizations. In other words, stock price fluctuations do drive people crazy. PMID:24526705

  17. 77 FR 3527 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-24

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Add to and Amend Its Rules Regarding the Obligations of Institutional Brokers Registered With the Exchange January 18, 2012. Pursuant...

  18. 75 FR 36743 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-28

    ... Exchange Act Release No. 62252 (June 10, 2010), 75 FR 34186 (June 16, 2010) (SR-CHX-2010-10). The Exchange... COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule...\\, and Rule 19b-4 \\2\\ thereunder, notice is hereby given that on June 17, 2010, the Chicago...

  19. 78 FR 21457 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-10

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1000 April 4, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934...

  20. 76 FR 49513 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-10

    ....S. over-the-counter market, on another national securities exchange or on a regulated foreign... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed...

  1. 76 FR 79726 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-22

    ... the Rule. \\4\\ See Securities Exchange Act Release No. 63444 (Dec. 6, 2010), 75 FR 77024 (Dec. 10, 2011) (SR-NYSE-2010-74). \\5\\ See Securities Exchange Act Release No. 63736 (Jan. 19, 2011), 76 FR 4959 (Jan... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and...

  2. 77 FR 65028 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-24

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 102.01 and 103.00 of the Exchange's Listed Company Manual To Permit the Consideration...

  3. 77 FR 63404 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-16

    ... Schedule.'' See Securities Exchange Act Release No. 60868 (October 22, 2009), 74 FR 55883 (October 29, 2009... Securities Exchange Act Release No. 55742 (May 10, 2007), 72 FR 27893 (May 17, 2007) (SR-NYSE-2007-19). \\8... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and...

  4. 77 FR 24239 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-23

    ... not require information barriers for equities market makers. See, e.g., The NASDAQ Stock Market LLC... Market Makers at the Exchange April 17, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act... registered as market makers at the Exchange. The text of the proposed rule change is available at...

  5. 77 FR 70868 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending the Listed Company Manual Section 204.00 To Create a Uniform Method for a Company To Provide Notice to the Exchange When...

  6. 75 FR 4889 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-29

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend for 12 Months the Pilot Program Permitting the Exchange's Ownership Interest in BIDS Holdings L.P....

  7. Profitability of simple technical trading rules of Chinese stock exchange indexes

    NASA Astrophysics Data System (ADS)

    Zhu, Hong; Jiang, Zhi-Qiang; Li, Sai-Ping; Zhou, Wei-Xing

    2015-12-01

    Although technical trading rules have been widely used by practitioners in financial markets, their profitability still remains controversial. We here investigate the profitability of moving average (MA) and trading range break (TRB) rules by using the Shanghai Stock Exchange Composite Index (SHCI) from May 21, 1992 through December 31, 2013 and Shenzhen Stock Exchange Component Index (SZCI) from April 3, 1991 through December 31, 2013. The t-test is adopted to check whether the mean returns which are conditioned on the trading signals are significantly different from unconditioned returns and whether the mean returns conditioned on the buy signals are significantly different from the mean returns conditioned on the sell signals. We find that TRB rules outperform MA rules and short-term variable moving average (VMA) rules outperform long-term VMA rules. By applying White's Reality Check test and accounting for the data snooping effects, we find that the best trading rule outperforms the buy-and-hold strategy when transaction costs are not taken into consideration. Once transaction costs are included, trading profits will be eliminated completely. Our analysis suggests that simple trading rules like MA and TRB cannot beat the standard buy-and-hold strategy for the Chinese stock exchange indexes.

  8. [Development and validation of a questionnaire about the main variables affecting the individual investor's behavior in the Stock Exchange].

    PubMed

    Pascual-Ezama, David; San Martín Castellanos, Rafael; Gil-Gómez de Liańo, Beatriz; Scandroglio, Bárbara

    2010-11-01

    Development and validation of a questionnaire about the main variables affecting the individual investor's behavior in the Stock Exchange. There is a considerable lack of information about the methodology usually used in most of the studies about individual investor's behavior. The studies reviewed do not show the method used in the selection of the items or the psychometric properties of the questionnaires. Because of the importance of investment in the Stock Exchange nowadays, it seems relevant to obtain a reliable instrument to understand individual investor's behavior in the Stock Exchange. Therefore, the goal of the present work is to validate a questionnaire about the main variables involved in individual investors' behavior in the Stock Exchange. Based on previous studies, we elaborated a questionnaire using the Delphi methodology with a group of experts. The internal consistency (Cronbach alpha=.934) and validity evidence of the questionnaire show that it may be an effective instrument and can be applied with some assurance. PMID:21044546

  9. 75 FR 80101 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-21

    ..., Regulatory Policy and Management, NYSE Regulation, Inc., to Nathan Saunders, Special Counsel, Division of... Exchange believes that this rule proposal would not require technical programming and/or modification by... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and...

  10. 75 FR 59315 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing of a Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-27

    ... Release No. 62252 (June 10, 2010), 75 FR 34186 (June 16, 2010); Exchange Act Release No. 62883 (September 10, 2010), 75 FR 56608 (September 16, 2010). Under the proposal, the Exchange will require registered... issues subject to an individual stock trading trigger pause, a permissible quote is determined by...

  11. 76 FR 25727 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-05

    ... Exchange Act Release No. 54550 (September 29, 2006), 71 FR 59563 (October 10, 2006) (approving CHX's... COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule... proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I....

  12. 76 FR 51447 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-18

    ... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Article 20, Rule 10, Governing Clearly Erroneous Executions August 11, 2011. Pursuant to Section 19(b)(1) of the...

  13. 75 FR 4605 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-28

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Postponing the Implementation Date of Information Memo 10-03, Which Provides Updated Parameters for, and...

  14. 77 FR 71023 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-28

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C(9)(a)(1)(ii) To Delete the Requirement That the Order Acceptance Cut-Off Time Cannot...

  15. 75 FR 60152 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-29

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar September 23,...

  16. 78 FR 25118 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-29

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending NYSE Rule 104 To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers, To...

  17. 78 FR 62915 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2 To Specify That the Definition of an Approved Person Does Not Include a Governmental Entity...

  18. 76 FR 82024 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-29

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Rule 70 December 22,...

  19. 76 FR 40758 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-11

    ...) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to amend the NYSE's Listed Company Manual to set forth certain complimentary products and services... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a...

  20. 77 FR 7628 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Instituting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-13

    ... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, Adopting NYSE Rule 107C To Establish a...

  1. 78 FR 51781 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-21

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for Display Use of the NYSE BBO and NYSE Trades Market Data Products and Making...

  2. 75 FR 1438 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-11

    ... Gap Quote Policy January 4, 2010. I. Introduction On November 9, 2009, the New York Stock Exchange LLC... Information Memo that provides updated parameters for, and guidance on the application of, the Exchange's Gap.... 61048 (November 23, 2009), 74 FR 62863 (``Notice''). II. Description of the Proposal \\4\\ \\4\\ For a...

  3. 76 FR 56244 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-12

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 501.00 of the Listed Company Manual To Expand the Waiver Provision To Apply to Foreign...

  4. Correlations and clustering in the trading of members of the London Stock Exchange

    NASA Astrophysics Data System (ADS)

    Zovko, Ilija I.; Farmer, J. Doyne

    2007-12-01

    This paper analyzes correlations in patterns of trading of different members of the London Stock Exchange. The collection of strategies associated with a member institution is defined by the sequence of signs of net volume traded by that institution in hour intervals. Using several methods we show that there are significant and persistent correlations between institutions. In addition, the correlations are structured into correlated and anti-correlated groups. Clustering techniques using the correlations as a distance metric reveal a meaningful clustering structure with two groups of institutions trading in opposite directions.

  5. Emotions and Pair Trust in Asynchronous Hospitality Cultural Exchange for Students in Taiwan and Hong Kong

    ERIC Educational Resources Information Center

    Wang, Mei-jung; Chen, Hsueh Chu

    2012-01-01

    Social and emotional dynamics have an impact on students' learning processes in online-learning situations. This study explores university students' emotions and trust levels resulting from collaborative communication behaviors when they interacted as part of a Food and Tourism course in Taiwan and Hong Kong. More specifically, students' emotions…

  6. Estimating Carbon Stocks and Atmospheric Exchange of Depressional Marshes on the Central Florida Landscape

    NASA Astrophysics Data System (ADS)

    Benscoter, B.; McClellan, M. D.; Benavides, V.; Harshbarger, D.; Comas, X.

    2014-12-01

    Depressional marshes are ubiquitous throughout central and south Florida. Often distributed within a matrix of sandy pine flatwoods and hammocks, these wetlands have a seasonally variable water table, alternating between inundation and complete drydown. Though these landforms are typically small individually, they comprise a substantial component of the landscape and provide vital habitat for an array of flora and fauna. Given their fluctuating hydrology, conditions for soil and plant carbon (C) exchange mechanisms can vary greatly both spatially and temporally. In this study, we are developing a C budget for depressional marsh landforms by assessing ecosystem carbon exchange along an ecotone gradient and quantifying belowground C stocks using non-invasive geophysical methods (ground penetrating radar, GPR) at the Disney Wilderness Preserve (DWP) in Kissimmee, FL, USA. Using a series of closed chambers transecting the marsh from the center outward into the surrounding flatwoods, we are quantifying the effects of seasonal water table change on the magnitude of C exchange. Three dimensional GPR surveys were used to quantify peat layer thickness, and were constrained with direct core sampling to verify subsurface lithology and to assess peat C content. Using the relationship between landform surface area and belowground C volume, we assessed the cumulative C storage in depressional marshes across the DWP landscape. In conjunction with a nearby eddy covariance tower and seasonal hydrologic data, these response functions will help to evaluate the contribution of these small but widespread landscape features on regional C cycling.

  7. The Study of Energy and Water Exchanges above an Evergreen Forest in Taiwan

    NASA Astrophysics Data System (ADS)

    Chen, Y.; Li, M.; Wei, G.

    2006-12-01

    Energy and water exchanges above forest ecosystems are fundamental processes for characterizing land- atmosphere interactions in earth hydrological cycles. The objective of this study is to improve our understanding of the influence of atmospheric forcing on the rate and magnitude of forest energy and water fluxes. The Lien-Hua-Chih (LHC) observation site (23o55'52" N, 120o53'39" E, 773 m elevation) was established in the summer of 2006 in a natural evergreen forest. It is located inside an experimental watershed (No.4 watershed, 8.39 ha) managed by the Taiwan Forestry Research Institute and the averaged canopy height is about 17 m. Soil moistures/temperatures were measured at -10 cm, -30 cm, -50 cm, -70 cm, and - 90 cm. Soil heat flux plate was placed at -5 cm. A drainage gauge was installed at -50 cm to collect infiltrated water. Temperature and relative humidity sensors were placed every 5 m from ground surface to the top of the tower at 20 m, where net radiation and wind speed/directions were also installed. Long-term data of low response instruments were recorded every 30-minute averaged from 10-minute samplings. A nearby weather station provides daily pan evaporation and precipitation data. Prior to the construction of observation tower, soil moistures/temperatures at multiple depths of three different sites were measured since the summer of 2004. By neglecting horizontal soil water flow (e.g., small surface gradient) and infiltration (e.g., normally 2~3 days after rainfalls), the loss of soil water is equivalent to the amount of evapotranspiration (ET). For those days right after rainfalls cease, the ET is estimated by potential ET due to high soil moisture content. Since the response of soil water variations is relatively slow to the fluctuations of atmospheric forcing, only daily ET is estimated from daily soil water loss. The annual precipitation (P) of 2005 was 2674 mm and the annual ET estimated from soil water losses was 664 mm. The amount of winter ET is larger than that of winter P and the ET/P ratio of spring is 28%. For wet seasons of summer and autumn, the ratios are 16% and 17%, respectively. Although the ET/P ratios of summer and autumn are low, the amounts of ETs are higher than that of spring due to high precipitation of typhoons and strong radiations in summer and autumn. In additional to low frequency instruments, an eddy covariance (EC) system, including a 3-D sonic anemometer Young 81000 and a Krypton Hygrometer KH20, were periodically practiced for LH and SH measurements above canopy at 25 m. During wet seasons (summer and autumn), fogs and afternoon thunderstorms often caused failures of the EC system. For those days right after rainfall, the ETs estimated by EC are often larger than those estimated from soil water losses due to the contributions of substantial amounts of ETs from interceptions.

  8. 76 FR 52028 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-19

    ... individual stock trading pause pursuant to the Pause Pilot on the primary listing market and those... pursuant to NYSE Rule 80C(b). \\6\\ See Securities Exchange Act Release Nos. 62252 (June 10, 2010), 75 FR...-2010-10; SR-NSX-2010-05; and SR-CBOE-2010-047) and 62251 (June 10, 2010), 75 FR 34183 (June 16,...

  9. 76 FR 59756 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-27

    ... Markets, pursuant to delegated authority.\\7\\ \\7\\ 17 CFR 200.30-3(a)(31). Elizabeth M. Murphy, Secretary...'s Listed Company Manual To Adopt Additional Listing Requirements for Companies Applying To List... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a...

  10. 77 FR 54942 - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; NASDAQ OMX BX, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-06

    ...); 67486 (July 23, 2012), 77 FR 44299 (July 27, 2012) (SR-SCCP-2012-01). II. Background NASDAQ OMX is...; NASDAQ OMX BX, Inc.; the NASDAQ Stock Market LLC; NASDAQ OMX PHLX LLC; Stock Clearing Corporation of... OMX Group, Inc. August 30, 2012. I. Introduction On June 20, 2012, the NASDAQ Stock Market...

  11. The relationships between Shanghai stock market and CNY/USD exchange rate: New evidence based on cross-correlation analysis, structural cointegration and nonlinear causality test

    NASA Astrophysics Data System (ADS)

    Liu, Li; Wan, Jieqiu

    2012-12-01

    This paper explores the co-movement of Shanghai stock market and China Yuan (CNY) exchange rates. First, we find that stock price and exchange rate are significantly cross-correlated. Second, employing a cointegration test allowing for a structural break, we find that the Shanghai Composite Index (SCI) is not cointegrated with the exchange rate of CNY/USD. The so-called “cointegration” found in previous studies is just caused by the shock of the recent financial crisis. Third, using linear and nonlinear Granger causality tests, we find no causality between stock prices and exchange rates during the period before the recent financial crisis. After the financial crisis, a unidirectional causality behavior running from exchange rates to stock index is present.

  12. Evaluating Kuala Lumpur stock exchange oriented bank performance with stochastic frontiers

    SciTech Connect

    Baten, M. A.; Maznah, M. K.; Razamin, R.; Jastini, M. J.

    2014-12-04

    Banks play an essential role in the economic development and banks need to be efficient; otherwise, they may create blockage in the process of development in any country. The efficiency of banks in Malaysia is important and should receive greater attention. This study formulated an appropriate stochastic frontier model to investigate the efficiency of banks which are traded on Kuala Lumpur Stock Exchange (KLSE) market during the period 2005–2009. All data were analyzed to obtain the maximum likelihood method to estimate the parameters of stochastic production. Unlike the earlier studies which use balance sheet and income statements data, this study used market data as the input and output variables. It was observed that banks listed in KLSE exhibited a commendable overall efficiency level of 96.2% during 2005–2009 hence suggesting minimal input waste of 3.8%. Among the banks, the COMS (Cimb Group Holdings) bank is found to be highly efficient with a score of 0.9715 and BIMB (Bimb Holdings) bank is noted to have the lowest efficiency with a score of 0.9582. The results also show that Cobb-Douglas stochastic frontier model with truncated normal distributional assumption is preferable than Translog stochastic frontier model.

  13. Evaluating Kuala Lumpur stock exchange oriented bank performance with stochastic frontiers

    NASA Astrophysics Data System (ADS)

    Baten, M. A.; Maznah, M. K.; Razamin, R.; Jastini, M. J.

    2014-12-01

    Banks play an essential role in the economic development and banks need to be efficient; otherwise, they may create blockage in the process of development in any country. The efficiency of banks in Malaysia is important and should receive greater attention. This study formulated an appropriate stochastic frontier model to investigate the efficiency of banks which are traded on Kuala Lumpur Stock Exchange (KLSE) market during the period 2005-2009. All data were analyzed to obtain the maximum likelihood method to estimate the parameters of stochastic production. Unlike the earlier studies which use balance sheet and income statements data, this study used market data as the input and output variables. It was observed that banks listed in KLSE exhibited a commendable overall efficiency level of 96.2% during 2005-2009 hence suggesting minimal input waste of 3.8%. Among the banks, the COMS (Cimb Group Holdings) bank is found to be highly efficient with a score of 0.9715 and BIMB (Bimb Holdings) bank is noted to have the lowest efficiency with a score of 0.9582. The results also show that Cobb-Douglas stochastic frontier model with truncated normal distributional assumption is preferable than Translog stochastic frontier model.

  14. 78 FR 5236 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-24

    ...-related services through the Exchange's integrated billing system (``IBS''). \\3\\ Exchange Rule 1.5 defines... Exchange's IBS. Definition of Clearing Member The Exchange is proposing to: (1) define the term ``Clearing... through the Exchange's IBS, unless payment by check of bank transfer is agreed to between the Exchange...

  15. Dynamic C and N stocks - key factors controlling the C gas exchange of maize in a heterogenous peatland

    NASA Astrophysics Data System (ADS)

    Pohl, M.; Hoffmann, M.; Hagemann, U.; Giebels, M.; Albiac Borraz, E.; Sommer, M.; Augustin, J.

    2014-11-01

    Drainage and cultivation of fen peatlands creates complex small-scale mosaics of soils with extremely variable soil organic carbon (SOC) stocks and groundwater-level (GWL). To date, it remains unclear if such sites are sources or sinks for greenhouse gases like CO2 and CH4, especially if used for cropland. As individual control factors like GWL fail to account for this complexity, holistic approaches combining gas fluxes with the underlying processes are required to understand the carbon (C) gas exchange of drained fens. It can be assumed that the stocks of SOC and N located above the variable GWL - defined as dynamic C and N stocks - play a key role in the regulation of plant- and microbially mediated C gas fluxes of these soils. To test this assumption, the present study analysed the C gas exchange (gross primary production - GPP, ecosystem respiration - Reco, net ecosystem exchange - NEE, CH4) of maize using manual chambers for four years. The study sites were located near Paulinenaue, Germany. Here we selected three soils, which represent the full gradient in pedogenesis, GWL and SOC stocks (0-1 m) of the fen peatland: (a) Haplic Arenosol (AR; 8 kg C m-2); (b) Mollic Gleysol (GL; 38 kg C m-2); and (c) Hemic Histosol (HS; 87 kg C m-2). Daily GWL data was used to calculate dynamic SOC (SOCdyn) and N (Ndyn) stocks. Average annual NEE differed considerably among sites, ranging from 47 ± 30 g C m-2 a-1 at AR to -305 ± 123 g C m-2 a-1 at GL and -127 ± 212 g C m-2 a-1 at HS. While static SOC and N stocks showed no significant effect on C fluxes, SOCdyn and Ndyn and their interaction with GWL strongly influenced the C gas exchange, particularly NEE and the GPP:Reco ratio. Moreover, based on nonlinear regression analysis, 86% of NEE variability was explained by GWL and SOCdyn. The observed high relevance of dynamic SOC and N stocks in the aerobic zone for plant and soil gas exchange likely originates from the effects of GWL-dependent N availability on C formation and transformation processes in the plant-soil system, which promote CO2 input via GPP more than CO2 emission via Reco. The process-oriented approach of dynamic C and N stocks is a promising, potentially generalizable method for system-oriented investigations of the C gas exchange of groundwater-influenced soils and could be expanded to other nutrients and soil characteristics. However, in order to assess the climate impact of arable sites on drained peatlands, it is always necessary to consider the entire range of groundwater-influenced mineral and organic soils and their respective areal extent within the soil landscape.

  16. Estimation of a simple agent-based model of financial markets: An application to Australian stock and foreign exchange data

    NASA Astrophysics Data System (ADS)

    Alfarano, Simone; Lux, Thomas; Wagner, Friedrich

    2006-10-01

    Following Alfarano et al. [Estimation of agent-based models: the case of an asymmetric herding model, Comput. Econ. 26 (2005) 19-49; Excess volatility and herding in an artificial financial market: analytical approach and estimation, in: W. Franz, H. Ramser, M. Stadler (Eds.), Funktionsfähigkeit und Stabilität von Finanzmärkten, Mohr Siebeck, Tübingen, 2005, pp. 241-254], we consider a simple agent-based model of a highly stylized financial market. The model takes Kirman's ant process [A. Kirman, Epidemics of opinion and speculative bubbles in financial markets, in: M.P. Taylor (Ed.), Money and Financial Markets, Blackwell, Cambridge, 1991, pp. 354-368; A. Kirman, Ants, rationality, and recruitment, Q. J. Econ. 108 (1993) 137-156] of mimetic contagion as its starting point, but allows for asymmetry in the attractiveness of both groups. Embedding the contagion process into a standard asset-pricing framework, and identifying the abstract groups of the herding model as chartists and fundamentalist traders, a market with periodic bubbles and bursts is obtained. Taking stock of the availability of a closed-form solution for the stationary distribution of returns for this model, we can estimate its parameters via maximum likelihood. Expanding our earlier work, this paper presents pertinent estimates for the Australian dollar/US dollar exchange rate and the Australian stock market index. As it turns out, our model indicates dominance of fundamentalist behavior in both the stock and foreign exchange market.

  17. Taiwan: country profile.

    PubMed

    Spain, D

    1984-03-01

    This discussion of Taiwan focuses on population growth, regions and cities, ethnicity and religion, households and families, housing, education, labor force, income, communication, and sources of information. Taiwan, founded in 1949, took a census in 1980. Its household registration system is efficient and provides population data on a yearly basis. In 1981 the population totaled 18.1 million, an increase of about 20% from the 1971 total of 15 million. Taiwan's population grew 1.9% in 1981, a decline from the 2.2% growth rate of 1971. The birthrate is 23 births/1000 population and the death rate is 5/1000. Taiwan's birthrate is similar to that of China's and both are higher than those of Japan or Hong Kong. Almost 1/3 of Taiwan's population is under 15. Only 4% of the population is aged 65 or over. The entire country is divided into 48 commuting rings associated with specific central cities. The capital city of Taipei and Kaohsiung are special municipalities, and certain offshore islands of Fukien Province are included in population totals. The country is further divided into 5 administrative districts for the household registration system. The Han Chinese constitute 98% of Taiwan's population. Approximately 250,000 aborigines (less than 2% of the population) live in the mountainous central and eastern parts of the island. They are believed to be of Malayan stock. Taiwan's predominant religion is a mixture of Buddhism and Taoism, introduced centuries ago by the original settlers. The family household is composed mainly of family members, including lodgers and hired workers living in the same place under the same household head. Between 1971 and 1980, the number of households in Taiwan increased from 2.6 million to 3.7 million. In 1980, 99% of all households were family households. Average was 4.8 persons for family households and 26.5 persons for nonfamily households. There were 3.7 million housing units in Taiwan in 1980. Taiwan's literacy rate was 86% in 1980, up from 78% in 1970. Men's literacy rates are higher than women's. In June 1982, 6.9 million persons were in Taiwan's labor force, or 58% of all persons aged 15 and over. The largest category of workers in Taiwan are salaried employees and wage earners (47% of all workers in 1980). Taiwan's per capita grossnational product in 1981 was US$2360. Wages are highest in petroleum and coal manufacturing. Taiwan produces a large number of books, newspapers, and magazines for a country of its size. There is no shortage of demographic information in Taiwan. PMID:12279790

  18. 78 FR 21634 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-11

    ..., Commission, dated May 24, 2012. \\4\\ See Securities Exchange Act Release No. 67091 (May 31, 2012), 77 FR 33498..., dated January 17, 2013. \\12\\ See Securities Exchange Act Release No. 67091 (May 31, 2012), 77 FR 33498... Exchange Act of 1934, Exhibit A to Securities Exchange Act Release No. 67091 (May 31, 2012), 77 FR...

  19. 76 FR 74088 - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-30

    ... exchanges and FINRA. See Securities Exchange Act Release No. 62252 (June 10, 2010), 75 FR 34186 (June 16...-2010-05; and SR-CBOE- 2010-047) and Securities Exchange Act Release No. 62251 (June 10, 2010), 75 FR... and FINRA. See Securities Exchange Act Release No. 62884 (September 10, 2010), 75 FR 56618...

  20. Fractional Market Model and its Verification on the Warsaw STOCK Exchange

    NASA Astrophysics Data System (ADS)

    Kozłowska, Marzena; Kasprzak, Andrzej; Kutner, Ryszard

    We analyzed the rising and relaxation of the cusp-like local peaks superposed with oscillations which were well defined by the Warsaw Stock Exchange index WIG in a daily time horizon. We found that the falling paths of all index peaks were described by a generalized exponential function or the Mittag-Leffler (ML) one superposed with various types of oscillations. However, the rising paths (except the first one of WIG which rises exponentially and the most important last one which rises again according to the ML function) can be better described by bullish anti-bubbles or inverted bubbles.2-4 The ML function superposed with oscillations is a solution of the nonhomogeneous fractional relaxation equation which defines here our Fractional Market Model (FMM) of index dynamics which can be also called the Rheological Model of Market. This solution is a generalized analog of an exactly solvable fractional version of the Standard or Zener Solid Model of viscoelastic materials commonly used in modern rheology.5 For example, we found that the falling paths of the index can be considered to be a system in the intermediate state lying between two complex ones, defined by short and long-time limits of the Mittag-Leffler function; these limits are given by the Kohlrausch-Williams-Watts (KWW) law for the initial times, and the power-law or the Nutting law for asymptotic time. Some rising paths (i.e., the bullish anti-bubbles) are a kind of log-periodic oscillations of the market in the bullish state initiated by a crash. The peaks of the index can be viewed as precritical or precrash ones since: (i) the financial market changes its state too early from the bullish to bearish one before it reaches a scaling region (defined by the diverging power-law of return per unit time), and (ii) they are affected by a finite size effect. These features could be a reminiscence of a significant risk aversion of the investors and their finite number, respectively. However, this means that the scaling region (where the relaxations of indexes are described by the KWW law or stretched exponential decay) was not observed. Hence, neither was the power-law of the instantaneous returns per unit time observed. Nevertheless, criticality or crash is in a natural way contained in our FMM and we found its "finger print".

  1. Diffusive exchange of PAHs across the air-water interface of the Kaohsiung Harbor lagoon, Taiwan.

    PubMed

    Fang, Meng-Der; Lee, Chon-Lin; Jiang, Jheng-Jie; Ko, Fung-Chi; Baker, Joel E

    2012-11-15

    Instantaneous air-water polycyclic aromatic hydrocarbons (PAHs) exchange fluxes were calculated in 22 pairs of ambient air and water samples from Kaohsiung Harbor lagoon, from December 2003 to January 2005. The highest net volatilization (3135 ng m(-2) day(-1)) and absorptive (-1150 ng m(-2) day(-1)) fluxes in the present study were obtained for the three-ring PAH phenanthrene on 7 April and 27 January 2004, respectively. All PAH diffusive fluxes for three-ring PAHs except phenanthrene were mainly volatilization exchange across the air-water interface. Phenanthrene and the four-ring PAHs were absorbed primarily from the atmosphere and deposited to the surface water, although some minor volatilization fluxes were also observed. Differences in flux magnitude and direction between the dry and wet seasons were also evident for PAHs. Strong absorptive/weaker volatilization PAH fluxes occurred in the dry season, but the opposite was found in the wet season. The mean daily PAH diffusive fluxes were an in flux of -635 ng m(-2) day(-1) in the dry season and an efflux of 686 ng m(-2) day(-1) in the wet season. The integrated absorbed and emitted fluxes of PAHs for harbor lagoon surface waters in the dry and wet seasons were 3.1 kg and 3.4 kg, respectively. Different from water bodies located in temperate zone, phenanthrene diffusive fluxes in Kaohsiung Harbor lagoon was favored in volatilization from surface waters during the wet season (April to September) because of scavenging by precipitation and dilution by prevailing southwesterly winds. In addition, this study used both of salinity and temperature to improve estimation of Henry's law constants (H) of PAHs in a tropical coastal area and show that correction for salinity produced 13-15% of differences in H values. PMID:22789653

  2. Seasonality of diffusive exchange of polychlorinated biphenyls and hexachlorobenzene across the air-sea interface of Kaohsiung Harbor, Taiwan.

    PubMed

    Fang, Meng-Der; Ko, Fung-Chi; Baker, Joel E; Lee, Chon-Lin

    2008-12-15

    Gaseous and dissolved concentrations of polychlorinated biphenyls (PCBs) and hexachlorobenzene (HCB) were measured in the ambient air and water of Kaohsiung Harbor lagoon, Taiwan, from December 2003 to January 2005. During the rainy season (April to September), gaseous PCB and HCB concentrations were low due to both scavenging by precipitation and dilution by prevailing southwesterly winds blown from the atmosphere of the South China Sea. In contrast, trace precipitation and prevailing northeasterly winds during the dry season (October to March) resulted in higher gaseous PCB and HCB concentrations. Instantaneous air-water exchange fluxes of PCB homologues and HCB were calculated from 22 pairs of air and water samples from Kaohsiung Harbor lagoon. All net fluxes of PCB homologues and HCB in this study are from water to air (net volatilization). The highest net volatile flux observed was +172 ng m(-)(2) day(-1) (dichlorobiphenyls) in December, 2003 due to the high wind speed and high dissolved concentration. The PCB homologues and HCB fluxes were significantly governed by dissolved concentrations in Kaohsiung Harbor lagoon. For low molecular weight PCBs (LMW PCBs), their fluxes were also significantly correlated with wind speed. The net PCB and HCB fluxes suggest that the annual sums of 69 PCBs and HCB measured in this study were mainly volatile (57.4 x 10(3) and 28.3 x 10(3) ng m(-2) yr(-1), respectively) and estimated yearly, 1.5 kg and 0.76 kg of PCBs and HCB were emitted from the harbor lagoon surface waters to the ambient atmosphere. The average tPCB flux in this study was about one-tenth of tPCB fluxes seen in New York Harbor and in the Delaware River, which are reported to be greatly impacted by PCBs. PMID:18977513

  3. 76 FR 81000 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-27

    ... the securities information processor (``SIP'').\\5\\ In addition, the Exchange monitors, in real time, its data transmissions to the SIP such that, in the event of delay or interruption, the Exchange...

  4. 78 FR 19047 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-28

    ... Exchange Act Release No. 68056 (October 16, 2012), 77 FR 64571 (October 22, 2012) (SR-NSX-2012-16). Users... footnote 432 to Securities Exchange Act Release No. 51808 (June 9, 2005), 70 FR 37496 (June 29, 2005... (February 26, 2004), 69 FR 11126 (March 9, 2004) (Regulation NMS Proposing Release). Exchange Rule...

  5. 78 FR 27461 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Granting Approval of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-10

    .... \\3\\ See Securities Exchange Act Release No. 68807 (Feb. 1, 2013), 78 FR 9094 (Feb. 7, 2013) (``Notice..., 2013 (``NSX Response''). \\6\\ See Securities Exchange Act Release No. 69183 (Mar. 19, 2013), 78 FR 18377... NSX Rule 11.13(b)(1). \\7\\ See Securities Exchange Act Release No. 54391 (Aug. 31, 2006), 71 FR...

  6. 77 FR 71022 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-28

    .... \\3\\ See Securities Exchange Act Release No. 66007 (December 20, 2011) 76 FR 81000 (December 27, 2011... Feed. See Securities Exchange Act Release No. 66511 (March 5, 2012) 77 FR 14450 (March 9, 2012) (SR-NSX... Effectiveness of Proposed Rule Change To Clarify the Operation of the Exchange's Depth-of-Book Feed November...

  7. 78 FR 4910 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Granting Approval of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-23

    ... Securities Exchange Act Release No. 68039 (October 11, 2012), 77 FR 63914 (``Notice''). \\5\\ See Securities Exchange Act Release No. 68313 (November 28, 2012), 77 FR 71853 (December 4, 2012). \\6\\ The Commission.... 9199, Securities Exchange Act Release No. 64149 (March 30, 2011), 76 FR 18966 (April 6, 2011)...

  8. 77 FR 28909 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-16

    ..., 2011), 76 FR 20412 (April 12, 2011) (SR-NSX-2011-02). The Exchange had previously established other...), 74 FR 65576 (December 10, 2009) (SR-NSX-2009-07); Securities Exchange Act Release No. 58935 (November 13, 2008), 73 FR 69703 (November 19, 2008) (SR-NSX-2008-19); and Securities Exchange Act Release...

  9. 78 FR 62782 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... 8, 2014. \\4\\ See Securities Exchange Act Release No. 68803 (February 1, 2013); 78 FR 9078 (February... Exchange Act Release No. 62886 (September 10, 2010); 75 FR 56613 (September 16, 2010); SR-NSX-2010-06 . \\6\\ Id. \\7\\ See Securities Exchange Act Release No. 69087 (March 14, 2013), 78 FR 16325 (March 14,...

  10. 77 FR 4597 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-30

    ... Securities Exchange Act Release No. 62886 (September 10, 2010), 75 FR 56613 (September 16, 2010) (SR-NSX-2010-07). \\4\\ See Securities Exchange Act Release No 63484 (December 9, 2010), 75 FR 78330 (December 15, 2010) (SR-NSX-2010-16). \\5\\ See Securities Exchange Act Release No. 64242 (April 7, 2011), 76 FR...

  11. 77 FR 8927 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-15

    ... FR 312 (``Notice''). II. Description of the Proposal The Exchange proposes to add Interpretation and... Participant's trading privileges on the Exchange. Currently, Rule 2 authorizes the Exchange's CRO to suspend a... (September 13, 2006), 71 FR 55037 (September 20, 2006) (SR-CHX-2005-06). III. Discussion The Commission...

  12. 75 FR 14219 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-24

    ... Discretionary Voting on the Elections of Directors March 18, 2010. Pursuant to Section 19(b)(1) of the... Proposed Rule Change CHX proposes to amend Article 8, Rule 14 regarding proxy voting by Participants which... regarding proxy voting by Participants which hold stock on behalf of the beneficial owner. Specifically,...

  13. 26 CFR 1.1036-1 - Stock for stock of the same corporation.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 26 Internal Revenue 11 2011-04-01 2011-04-01 false Stock for stock of the same corporation. 1.1036...) INCOME TAX (CONTINUED) INCOME TAXES (CONTINUED) Common Nontaxable Exchanges § 1.1036-1 Stock for stock of..., of common stock for common stock, or of preferred stock for preferred stock, in the same...

  14. 26 CFR 1.1036-1 - Stock for stock of the same corporation.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 26 Internal Revenue 11 2012-04-01 2012-04-01 false Stock for stock of the same corporation. 1.1036...) INCOME TAX (CONTINUED) INCOME TAXES (CONTINUED) Common Nontaxable Exchanges § 1.1036-1 Stock for stock of..., of common stock for common stock, or of preferred stock for preferred stock, in the same...

  15. 26 CFR 1.1036-1 - Stock for stock of the same corporation.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 26 Internal Revenue 11 2013-04-01 2013-04-01 false Stock for stock of the same corporation. 1.1036...) INCOME TAX (CONTINUED) INCOME TAXES (CONTINUED) Common Nontaxable Exchanges § 1.1036-1 Stock for stock of..., of common stock for common stock, or of preferred stock for preferred stock, in the same...

  16. 26 CFR 1.1036-1 - Stock for stock of the same corporation.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 26 Internal Revenue 11 2014-04-01 2014-04-01 false Stock for stock of the same corporation. 1.1036...) INCOME TAX (CONTINUED) INCOME TAXES (CONTINUED) Common Nontaxable Exchanges § 1.1036-1 Stock for stock of..., of common stock for common stock, or of preferred stock for preferred stock, in the same...

  17. 76 FR 36596 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-22

    ... Release No. 64370 (April 29, 2011); 76 FR 25727 (``Notice''). II. Description The Exchange proposed to make additional rules subject to punishment under its MRP. These rules relate to: (1) Failure to notify the Exchange of a request to withdraw capital contribution (Article 3, Rule 6(b)); (2) failure...

  18. 78 FR 8638 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-06

    ... reviewed together. See Securities Exchange Act Release No. 67090 (May 31, 2012), 77 FR 33531 (June 6, 2012... 31, 2012), 77 FR 33531 (June 6, 2012) (SR-NSX-2011-11). The Exchange adopted the proposed changes to... Effectiveness of Proposed Rule Change To Delay the Operative Date of Rule 11.20A Regarding Market-Wide...

  19. 78 FR 69734 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-20

    ....201. See Securities Exchange Act Release No. 61595 (February 26, 2010), 75 FR 11232 (March 10, 2010) and Securities Exchange Act Release No. 63247 (Nov. 4, 2010), 75 FR 68702 (Nov. 9, 2010). \\7\\ On June... Act Release No. 34-69874 (June 27, 2013); 78 FR 40248 (July 3, 2013); SR-NSX-2013-13. The text of...

  20. 77 FR 68873 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-16

    ... applicable). \\5\\ See Securities and Exchange Act Release No. 59974 (May 26, 2009), 74 FR 26453 (June 2, 2009)(SR-NSX-2009-03) and Securities Exchange Act Release No. 67816 (September 10, 2012), 77 FR 56886... Midpoint Peg Zero Display Reserve Orders, and (iii) correct typographical inconsistencies within the...

  1. 78 FR 21485 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-10

    ...) under the Act.\\4\\ \\3\\ See Appendix A to Securities Exchange Act Release No. 67091 (May 31, 2012) 77 FR... Exchange Act Release No. 67091 (May 31, 2012) 77 FR 33498 (June 6, 2012) (Order approving, on a Pilot Basis... Act Release No. 69087 (March 8, 2013), 78 FR 16325 (March 14, 2012) (SR-NSX-2013-09) The Plan...

  2. 77 FR 49848 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-17

    ... Effectiveness of Proposed Rule Change To Modify the Text of NSX Rule 11.15 To Clarify the Manner in Which... text of NSX Rule 11.15 to clarify the manner in which certain orders are routed by the Exchange to other market centers. The text of the proposed rule change is available on the Exchange's Web site...

  3. 75 FR 48402 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-10

    ... basis. See, e.g., Securities Exchange Act Release No. 59136 (December 22, 2008), 73 FR 80484 (December... Release No. 59963 (May 21, 2009), 74 FR 25787 (May 29, 2009) (SR-BATS-2009-012) and Securities Exchange Act Release No. 58685 (September 30, 2008), 73 FR 58277 (October 6, 2008) (SR-ISE-2008-73) (in...

  4. 77 FR 10792 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-23

    ... Effectiveness of Proposed Rule Change To Amend its Fee Schedule To Provide for a New Cross Connection Charge and...'' (i.e. not physical) connectivity. The Exchange will also further specify that one port charge is... connection charges will clarify the Fee Schedule. The Exchange also proposes deleting the subheading...

  5. 78 FR 3058 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-15

    ... through the Exchange's Depth-of-Book market data product.\\6\\ \\5\\ 17 CFR 611. \\6\\ ECNs can also use Order... Notifications per month. \\7\\ See Securities Exchange Act Release No. 68391 (December 10, 2012), 77 FR 74536... trading platform to interact with the National Market System. Order Delivery Mode provides ECNs with...

  6. 78 FR 69900 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-21

    ... addition to BAC, NOK, and SIRI. See Exchange Act Release No. 34-69941; 78 FR 41966; SR-NSX-2013-14. \\13\\ See Exchange Act Release No. 34-70525; 78 FR 60954; SR-NSX- 2013-18. In its previous filings with...''); Google Inc. (``GOOG''); Bank of America Corp (``BAC''); Nokia Corporation (``NOK''); and Sirius...

  7. 78 FR 40788 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-08

    ... Securities Exchange Act Release No. 68182 (November 8, 2012), 77 FR 68167 (November 15, 2012) (SR-CHX-2012-16). \\5\\ See Securities Exchange Act Release No. 68894 (February 15, 2013), 78 FR 11258 (February 15, 2013... DSP securities will increase from $0.00220/share to $0.00250/share, Tapes A and B Non-DSP...

  8. 77 FR 10013 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-21

    ... Release No. 65615 (Oct. 24, 2011), 76 FR 67239 (Oct. 31, 2011) (SR-CHX-2011-17). Currently, the National..., Securities Exchange Act Release No. 65792 (Nov. 18, 2011), 76 FR 72739 (Nov. 25, 2011) (SR-CHX-2011-31). \\7... Exchange Act Release No. 58362, 73 FR 49511 (SR-CHX-2008-13) (Aug. 14, 2008) (adopting a Trade...

  9. 77 FR 69522 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-19

    ... (February 10, 2003), 68 FR 7635 (February 14, 2003) (SR-NASD-2003-09), see also, Securities Exchange Act Release No. 55379 (March 1, 2007), 72 FR 10283 (March 7, 2007) (SR-NASD-2007-017). While the Exchange... participation; and (3) implement an Onboarding Fee for new Order Delivery participants. The text of the...

  10. 78 FR 35082 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-11

    ... Authority. \\5\\ See Securities Exchange Act Release No. 68219 (November 13, 2012), 77 FR 69673 (November 20... Effectiveness of Proposed Rule Change To Amend the Order Cancellation Fee June 5, 2012. Pursuant to Section 19(b... adjustments to ensure equitable application of the Order Cancellation Fee.\\6\\ To this end, the Exchange...

  11. 78 FR 8673 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-06

    ... 31, 2012), 77 FR 33531 (June 6, 2012) (SR-CHX-2011-30). The Exchange anticipates that the initial... Securities Exchange Act Release No. 67090 (May 31, 2012), 77 FR 33531 (June 6, 2012) (SR-CHX-2011-30). The... submitted by any of the following methods: Electronic Comments Use the Commission's Internet comment...

  12. 78 FR 9981 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-12

    ..., 2012), 77 FR 47479 (August 8, 2012) (SR-CHX-2012-12). ] CHX Article 20, Rule 2 requires the Exchange to... Act Release No. 62252 (June 10, 2010), 75 FR 34186 (June 16, 2010) (File Nos. SR-BATS-2010-014; SR... Securities Exchange Act Release No. 62251 (June 10, 2010), 75 FR 34183 (June 16, 2010)...

  13. 77 FR 72423 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-05

    ...). See also Exchange Act Release No. 58546 (September 15, 2008) 73 FR 54440 (September 19, 2008) (SR...) 72 FR 11069 (March 12, 2007) (SR-Nasdaq- 2007-020). \\10\\ Unlike the BATS Modified Destination... is available on the Exchange's Web site at http://www.nsx.com , at the principal office of...

  14. 78 FR 75633 - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-12

    ... converting noteholders. \\11\\ See Securities Exchange Act Release No. 60845 (October 20, 2009), 74 FR 55078... Release No. 61000 (November 13, 2009), 74 FR 61390 (November 24, 2009) (SR- BSECC-2009-005); see also Securities Exchange Act Release No. 61001 (November 13, 2009), 74 FR 61391 (November 24, 2009)...

  15. 78 FR 14867 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-07

    ... trading rules provide for a price-time priority market with two modes of order interaction: (1) Auto-Ex, and (2) Order Delivery. The Exchange's two modes of order interaction are described in NSX Rule 11.13... that use Auto-Ex and those that use the Exchange's Order Delivery mode of interaction (``Order...

  16. 78 FR 66791 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-06

    ...). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 70381 (September 12, 2013), 78 FR... does not currently offer order routing. See Notice, supra note 3, 78 FR at 57432 n.10. Proposed.... See Securities Exchange Act Release No. 55884 (June 8, 2007), 72 FR 32926 (June 14, 2007)....

  17. 77 FR 2103 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-13

    ... Management System January 9, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act...'s Brokerplex order entry, recordation, and management system. The text of this proposed rule change... Exchange-owned order and trade entry, recordation and management system developed and operated by the...

  18. 76 FR 50533 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-15

    ... FR 56613 (September 16, 2010) (SR-NSX-2010-07). \\4\\ See Securities Exchange Act Release No. 63484 (December 9, 2010), 75 FR 78330 (December 15, 2010) (SR-NSX-2010-16). \\5\\ See Securities Exchange Act Release No. 34-64242 (April 7, 2011), 76 FR 20763 (April 15, 2011) (SR-NSX-2011-05). 2. Statutory...

  19. 78 FR 16325 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-14

    ... FR 33498 (June 6, 2012). \\4\\ 17 CFR 240.19b-4(f)(6)(iii). II. Self-Regulatory Organization's...\\ See Securities Exchange Act Release No. 67091 (May 31, 2012) 77 FR 33498 (June 6, 2012) (Order...\\ See Securities Exchange Act Release No. 67090 (May 31, 2012), 77 FR 33531 (June 6, 2012)...

  20. 75 FR 78310 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-15

    ... Securities Exchange Act Release No. 62214 (June 10, 2010), 75 FR 34183 (June 16, 2010) approving SR-CHX-2010-10. \\4\\ See Securities Exchange Act Release No. 62884 (September 10, 2010), 75 FR 56618 (September 16... Effectiveness of Proposed Rule Change To Extend the Pilot Program Related to Individual Securities...

  1. 77 FR 5605 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-03

    ... (June 10, 2010), 75 FR 34186 (June 16, 2010) approving SR-CHX-2010-10. \\4\\ See Securities Exchange Act Release No. 62884 (September 10, 2010), 75 FR 56618 (September 16, 2010) approving SR-CHX-2010-14. \\5\\ See Securities Exchange Act Release No. 34-63498 (December 9, 2010), 75 FR 78310 (December 15, 2010) approving...

  2. 77 FR 47479 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-08

    ..., 2010), 75 FR 34186 (June 16, 2010) approving SR-CHX-2010-10. \\5\\ See Securities Exchange Act Release No. 62884 (September 10, 2010), 75 FR 56618 (September 16, 2010) approving SR-CHX-2010-14. \\6\\ See Securities Exchange Act Release No. 34-63498 (December 9, 2010), 75 FR 78310 December 15, 2010) approving...

  3. 76 FR 20393 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-12

    ..., applies. \\4\\ See Securities Exchange Act Release No. 62252 (June 10, 2010), 75 FR 34186 (June 16, 2010) approving SR-CHX-2010-10. \\5\\ See Securities Exchange Act Release No. 62884 (September 10, 2010), 75 FR...-63498 (December 9, 2010), 75 FR 78310 December 15, 2010) approving SR-CHX-2010-24. 2. Statutory...

  4. 78 FR 19034 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-28

    ... charged both the Order Delivery Notification Fee and Quotation Update Fee. Revenue obtained from the.... 68391 (December 10, 2012), 77 FR 74536 (December 14, 2012) (SR-NSX-2012-25). \\5\\ An Order Delivery... Exchange. \\9\\ See Securities Exchange Act Release No. 68215 (November 13, 2012), 77 FR 69522 (November...

  5. 76 FR 67239 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice and Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-31

    ..., processing information with respect to, and facilitating transactions in securities, to remove impediments to.... 64937 (July 20, 2011), 76 FR 44638 (``Notice''). \\4\\ See letter to Elizabeth M. Murphy, Secretary... of Clearing Information for Transactions Executed Off-Exchange The Exchange shall make...

  6. 76 FR 44638 - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-26

    ... transactions executed on the Exchange shall be submitted for clearance to a Qualified Clearing Agency, and all such transactions shall be subject to the rules of the Qualified Clearing Agency.\\5\\ The Clearing Participant shall be responsible for the clearance of the Exchange transactions of such Clearing...

  7. 78 FR 4506 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-22

    ... Securities Exchange Act Release No. 66465 (February 24, 2012), 77 FR 12635 (March 1, 2012) (SR-FINRA-2012-09) ; see also Securities Exchange Act Release No. 60963 (November 6, 2009), 74 FR 59334 (November 17, 2009..., 2012), 77 FR 38866 (June 29, 2012) (SR-FINRA-2012-030). Central Registration Depository (``CRD'')...

  8. 76 FR 62126 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-06

    ... Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain... received. III. Date of Effectiveness of the Proposed Rule Changes and Timing for Commission Action...

  9. The technical analysis of the stock exchange and physics: Japanese candlesticks for solar activity

    NASA Astrophysics Data System (ADS)

    Dineva, C.; Atanasov, V.

    2013-09-01

    In this article, we use the Japanese candlesticks, a method popular in the technical analysis of the Stock/Forex markets and apply it to a variable in physics-the solar activity. This method is invented and used exclusively for economic analysis and its application to a physical problem produced unexpected results. We found that the Japanese candlesticks are convenient tool in the analysis of the variables in the physics of the Sun. Based on our observations, we differentiated a new cycle in the solar activity.

  10. 76 FR 61460 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-04

    ... Exchange Act Release No. 64547 (May 25, 2011), 76 FR 31647 (June 1, 2011). The Joint CFTC-SEC Advisory... (April 9, 1998), 63 FR 18477 (April 15, 1998) (SR-NYSE-98-06, SR-Amex-98-09, SR-BSE-98-06, SR-CHX-98-08... Exchange Act Release No. 64735 (June 23, 2011), 76 FR 38243 (June 29, 2011) (SR-BATS-2011-016;...

  11. The use of copula functions for modeling the risk of investment in shares traded on the Warsaw Stock Exchange

    NASA Astrophysics Data System (ADS)

    Domino, Krzysztof; BĹ‚achowicz, Tomasz

    2014-11-01

    In our work copula functions and the Hurst exponent calculated using the local Detrended Fluctuation Analysis (DFA) were used to investigate the risk of investment made in shares traded on the Warsaw Stock Exchange. The combination of copula functions and the Hurst exponent calculated using local DFA is a new approach. For copula function analysis bivariate variables composed of shares prices of the PEKAO bank (a big bank with high capitalization) and other banks (PKOBP, BZ WBK, MBANK and HANDLOWY in decreasing capitalization order) and companies from other branches (KGHM-mining industry, PKNORLEN-petrol industry as well as ASSECO-software industry) were used. Hurst exponents were calculated for daily shares prices and used to predict high drops of those prices. It appeared to be a valuable indicator in the copula selection procedure, since Hurst exponent’s low values were pointing on heavily tailed copulas e.g. the Clayton one.

  12. Comparing Tehran STOCK Exchange as AN Emerging Market with a Mature Market by Random Matrix Approach

    NASA Astrophysics Data System (ADS)

    Namaki, A.; Raei, R.; Jafari, G. R.

    We analyze cross-correlation between return fluctuations of stocks of an emerging market by using random matrix theory (RMT). We test the statistics of eigenvalues of cross-correlation (C) between stocks of the Tehran Price Index (TEPIX) as an emerging market and compare these with a mature market (US market). According to the "null hypothesis," a random correlation matrix constructed from mutually uncorrelated time series, the deviation from the Gaussian orthogonal ensemble of RTM is a good criterion. We find that a majority of the eigenvalues of C fall within the bulk (RMT bounds between λ+ and λ-) for the eigenvalues of the random correlation matrices. Further, we find that the distribution of eigenvector components for the eigenvectors corresponding to the largest deviating eigenvalues, display systematic deviations from the RMT prediction. Analyzing the components of the deviating eigenvectors by Inverse Participation Ratio, leads us to know that the largest eigenvalue corresponds to an influence common to the whole market. Our analysis of the other deviating eigenvectors shows distinct industries, whose identities corresponds to the structure of the Iran business environment.

  13. High-order fuzzy time-series based on multi-period adaptation model for forecasting stock markets

    NASA Astrophysics Data System (ADS)

    Chen, Tai-Liang; Cheng, Ching-Hsue; Teoh, Hia-Jong

    2008-02-01

    Stock investors usually make their short-term investment decisions according to recent stock information such as the late market news, technical analysis reports, and price fluctuations. To reflect these short-term factors which impact stock price, this paper proposes a comprehensive fuzzy time-series, which factors linear relationships between recent periods of stock prices and fuzzy logical relationships (nonlinear relationships) mined from time-series into forecasting processes. In empirical analysis, the TAIEX (Taiwan Stock Exchange Capitalization Weighted Stock Index) and HSI (Heng Seng Index) are employed as experimental datasets, and four recent fuzzy time-series models, Chen’s (1996), Yu’s (2005), Cheng’s (2006) and Chen’s (2007), are used as comparison models. Besides, to compare with conventional statistic method, the method of least squares is utilized to estimate the auto-regressive models of the testing periods within the databases. From analysis results, the performance comparisons indicate that the multi-period adaptation model, proposed in this paper, can effectively improve the forecasting performance of conventional fuzzy time-series models which only factor fuzzy logical relationships in forecasting processes. From the empirical study, the traditional statistic method and the proposed model both reveal that stock price patterns in the Taiwan stock and Hong Kong stock markets are short-term.

  14. 78 FR 72731 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-03

    ... Trading Permit.\\8\\ In practice, but not currently stated in CHX rules, a Participant Trading Permit holder... 1-4 illustrate how each one of the three MTP Actions and the MTP Inactivate would function. Example... and modifiers. See Securities Exchange Act Release No. 69538 (May 8, 2013), 78 FR 28671 (May 15,...

  15. 77 FR 69673 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-20

    ... Release No. 65268 (September 6, 2011), 76 FR 56246 (September 12, 2011) (SR-CHX-2011-25). The current... orders of the same issue as Wide orders, the Exchange sought to eliminate the practice of quoting in... three conditions are met.\\14\\ First, a W order is an order priced inferior to the National Best...

  16. 75 FR 25012 - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-06

    ...\\ Securities Exchange Act Release No. 61876 (April 8, 2010), 75 FR 19436 (April 14, 2010) (SR-NASDAQ-2010-025... (``Board''). Under Corporate Governance Guidelines adopted by the Board, however, any director in an... purpose. \\7\\ NASDAQ OMX also amended its Corporate Governance Guidelines to reflect the majority...

  17. 75 FR 47049 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-04

    .... 59963 (May 21, 2009), 74 FR 25787 (May 29, 2009) (SR-BATS-2009-012); and Securities Exchange Act Release No. 58685 (September 30, 2008), 73 FR 58277 (October 6, 2008) (SR-ISE- 2008-73). \\14\\ For the... Outside of Regular Trading Hours July 29, 2010. Pursuant to Section 19(b)(1) of the Securities...

  18. 76 FR 67509 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-01

    ...), 76 FR 59476 (``Notice''). II. Description of the Proposal Institutional Brokers are an elective sub... beginning in 2006. See Securities Exchange Act Release No. 54550 (September 29, 2006), 71 FR 59563 (October... in the Matching System until it is entered into the system.\\5\\ \\5\\ Id. 71 FR at 59567. Due to...

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-26

    ... Release No. 69903 (July 1, 2013), 78 FR 40788 (July 8, 2013) (SR-CHX-2013-12) (``Notice of Filing and... Order Cancellation Fee''); see also Securities Exchange Act Release No. 69903A (August 13, 2013), 78 FR... Release No. 70546 (October 3, 2013), 78 FR 61413 (September 27, 2013) (``Notice of Filing and...

  20. 78 FR 16311 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-14

    ... executable without repricing. \\8\\ Securities Exchange Act Release No. 64319 (Apr. 21, 2011), 76 FR 23634 (Apr... Effectiveness of a Proposed Rule Change Amending Article 1, Rule 2 (Order Types and Conditions); Article 20, Rule 4 (Eligible Orders); and Article 20, Rule 6 (Locked and Crossed Markets) To Modify the...

  1. 75 FR 55389 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-10

    ... the time within which an ETP Holders submitting displayed orders utilizing the Order Delivery mode of... Effectiveness of Proposed Rule Change To Amend Rule 11.13 Regarding Maximum Permissible Response Time for Users of Order Delivery September 1, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act...

  2. 78 FR 60954 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-02

    ... Act Release No. 34-69941; 78 FR 41966; SR-NSX-2013-14 . The text of the proposed rule change is... securities and for all other securities. \\10\\ Exchange Act Release No. 34-70382; 78 FR 57247; SR-CBOE- 2013.... (``MU'') from the list of Select Securities, and replace them with Apple Inc. (``AAPL'') and Google...

  3. 77 FR 69709 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-20

    ... effect upon filing pursuant to Section 19(b)(3)(A)(ii) of the Exchange Act \\8\\ and subparagraph (f)(2) of Rule 19b-4 \\9\\ thereunder, because, as provided in (f)(2), it changes ``a due, fee or other charge... Commission, 100 F Street NE., Washington, DC 20549-1090. All submissions should refer to File Number...

  4. 78 FR 11258 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-15

    ..., 2013. Currently, for agency executions on the Exchange through an Institutional Broker, Section E.3.a... Trading Session shall be paid to the Institutional Broker representing the Participant which originated... Early or Late Trading Sessions shall be paid to the Institutional Broker representing the...

  5. 76 FR 35257 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-16

    ... FR 57980 (Oct. 11, 2007). \\5\\ See e-mail, dated June 2, 2011, from David C. Whitcomb, Jr., General... Effectiveness of Proposed Rule Change To Add a Rule Concerning the CHX Book Feed June 10, 2011. Pursuant to..., Rule 1 (Book Feed) to include an explicit description of the Exchange's Book Feed information...

  6. 78 FR 9092 - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-07

    ... 31, 2012), 77 FR 33498 (June 6, 2012) (File No. 4-631) (Order Approving, on a Pilot Basis, the... September 30, 2013. \\5\\ See Securities Exchange Act Release No. 67572 (August 2, 2012), 77 FR 47481 (August... 10, 2010), 75 FR 56613 (September 16, 2010) (SR-CHX-2010-13). \\7\\ Id. Proposed Limit Up-Limit...

  7. 75 FR 6423 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-09

    ... Under One Dollar in the Auto Execution Mode of Order Interaction to 0.25% of Trade Value February 2... orders of securities priced under one dollar in the Auto Execution mode of order interaction (``AutoEx'') \\3\\ to 0.25% of trade value. \\3\\ The Exchange's two modes of order interaction are described in...

  8. 76 FR 57089 - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Order Approving a Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-15

    ... Exchange Act Release No. 64985 (July 28, 2011), 76 FR 46866 (``Notice''). \\4\\ See letters from Darren Story... interpretation of the general provisions of Rule 9. See Notice, supra note 3, 76 FR at 46866. \\6\\ See CHX Article 20, Rule 9(b)(6). See also Notice, supra note 3, 76 FR at 46866 (``A special trade indicator will...

  9. 76 FR 25396 - Self-Regulatory Organizations; The Boston Stock Exchange Clearing Corporation; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-04

    ... Parent Corporation, the NASDAQ OMX Group, Inc. April 27, 2011. Pursuant to Section 19(b)(1) of the... change relate to amendments to the By-Laws of BSECC's parent corporation, The NASDAQ OMX Group, Inc... election.\\6\\ \\5\\ Securities Exchange Act Release No. 34-64285 (April 8, 2011), 76 FR 21085 (April 14,...

  10. 75 FR 18562 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-12

    ... Effectiveness of Proposed Rule Change in Order To Amend the NSX Fee and Rebate Schedule and Rule 16.4 April 6... and Rebate Schedule (the ``Fee Schedule'') and Rule 16.4 with respect to the liquidity taking fee in... Exchange is proposing to modify the text of Rule 16.4 and the Fee Schedule with respect to displayed...

  11. 76 FR 7604 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-10

    .... Background As more fully discussed in the rule filing pursuant to which this order modifier was introduced,\\4...) instead of otherwise interacting. \\4\\ Securities Exchange Act Release No. 61781 (March 25, 2010), 75 FR... levels: the market participant level (pursuant to the ``MPID''), the FIX session level (pursuant to...

  12. 78 FR 13919 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-01

    ... Deceptive and Other Abusive Telemarketing Acts or Practices, To Correct a Citation Error February 12, 2013... telemarketing acts or practices, to correct a citation error. The text of this proposed rule change is available... Exchange proposes to amend Article 8, Rule 13(d)(1)(A), to correct a citation error. Currently, the...

  13. 75 FR 78279 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-15

    ...\\ See Securities Exchange Act Release No. 34-62886 (September 10, 2010), 75 FR 56613 (September 16, 2010... Program Related to Clearly Erroneous Execution Transactions December 9, 2010. Pursuant to Section 19(b)(1... and uniformity across markets concerning reviews of potentially clearly erroneous executions...

  14. 78 FR 28671 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-15

    ... (September 29, 2006), 71 FR 59563 (October 10, 2006) (SR-CHX-2006-05). \\23\\ The Exchange anticipates filing a... One Rule and to Clarify the Basic Requirements of All Orders Sent to the Matching System May 8, 2013... sent to the CHX Matching System (the ``Matching System''). The text of this proposed rule change...

  15. 76 FR 72739 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-25

    ... this year, the Exchange restricted the imposition of Trade Processing Fees on transactions executed... Trade Processing Fees as fees are charged for transactions entered by an Institutional Broker into the... to the proposed definition, Trade Processing Fees would be charged for transactions...

  16. 78 FR 70085 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-22

    ... FR 66791 (November 6, 2013) (Order Approving a Proposed Rule Change to Adopt Standards for the... amendments to CHX rules. \\8\\ See Securities Exchange Act Release No. 70381 (September 12, 2013), 78 FR 57431... Release No. 70597 (October 2, 2013), 78 FR 62728 (October 22, 2013) (SR-CHX-2013-14) (``Notice of...

  17. 76 FR 27735 - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-12

    ... transactions.\\9\\ \\9\\ Securities Exchange Act Release No. 55884 (June 8, 2007), 72 FR 32926 (June 14, 2007... Prohibition Against Trading Ahead of Customer Orders May 6, 2011. Pursuant to Section 19(b)(1) of the... of customer orders and the prohibition against trading ahead of customer orders. The text of...

  18. 75 FR 34186 - Self-Regulatory Organizations; BATS Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-16

    ...; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; The NASDAQ Stock Market LLC; Chicago Stock Exchange, Inc.; National Stock Exchange, Inc.; Chicago Board Options Exchange, Incorporated; Order... (``ISE''),\\1\\ New York Stock Exchange LLC (``NYSE''), NYSE Amex LLC (``NYSEAmex''), NYSE Arca,...

  19. Stock price forecasting for companies listed on Tehran stock exchange using multivariate adaptive regression splines model and semi-parametric splines technique

    NASA Astrophysics Data System (ADS)

    Rounaghi, Mohammad Mahdi; Abbaszadeh, Mohammad Reza; Arashi, Mohammad

    2015-11-01

    One of the most important topics of interest to investors is stock price changes. Investors whose goals are long term are sensitive to stock price and its changes and react to them. In this regard, we used multivariate adaptive regression splines (MARS) model and semi-parametric splines technique for predicting stock price in this study. The MARS model as a nonparametric method is an adaptive method for regression and it fits for problems with high dimensions and several variables. semi-parametric splines technique was used in this study. Smoothing splines is a nonparametric regression method. In this study, we used 40 variables (30 accounting variables and 10 economic variables) for predicting stock price using the MARS model and using semi-parametric splines technique. After investigating the models, we select 4 accounting variables (book value per share, predicted earnings per share, P/E ratio and risk) as influencing variables on predicting stock price using the MARS model. After fitting the semi-parametric splines technique, only 4 accounting variables (dividends, net EPS, EPS Forecast and P/E Ratio) were selected as variables effective in forecasting stock prices.

  20. 76 FR 74103 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-30

    ... No. 62252 (June 10, 2010), 75 FR 34186 (June 16, 2010) (File Nos. SR-BATS- 2010-014; SR-EDGA-2010-01... Exchange Act Release No. 62251 (June 10, 2010), 75 FR 34183 (June 16, 2010) (SR-FINRA-2010-025). \\4\\ The... (September 10, 2010), 75 FR 56618 (September 16, 2010) (File Nos. SR-BATS-2010-018; SR-BX-2010-044;...

  1. 76 FR 45626 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-29

    ... 610(c) of Regulation NMS. The Exchange is making parallel changes to the Trade Processing Fees set... comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ 15 U.S.C. 78s(b)(3)(A). \\4\\ 17 CFR 240.19b-4(f)(2). I. Self-Regulatory Organization's...

  2. 26 CFR 1.1081-7 - Sale of stock or securities received upon exchange by members of system group.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ..., if the proceeds derived from the sale of the stock or securities exceed the fair market value of such... and assets. The fair market value of such stock at the time of issuance was $90,000 and its basis to... (the difference between the fair market value of the stock when acquired and the amount for which...

  3. 26 CFR 1.1248-1 - Treatment of gain from certain sales or exchanges of stock in certain foreign corporations.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... corporation created in 1950, has outstanding 100 shares of one class of stock and uses the calendar year as... stock since G was created. Corporation Y, a United States person, owned 15 shares of the G stock from... sale. Because Y is a foreign corporation that is not a CFC, neither section 1248 nor section...

  4. 26 CFR 1.1248-1 - Treatment of gain from certain sales or exchanges of stock in certain foreign corporations.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... corporation created in 1950, has outstanding 100 shares of one class of stock and uses the calendar year as... stock since G was created. Corporation Y, a United States person, owned 15 shares of the G stock from... sale. Because Y is a foreign corporation that is not a CFC, neither section 1248 nor section...

  5. 26 CFR 1.1248-1 - Treatment of gain from certain sales or exchanges of stock in certain foreign corporations.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... corporation created in 1950, has outstanding 100 shares of one class of stock and uses the calendar year as... stock since G was created. Corporation Y, a United States person, owned 15 shares of the G stock from... sale. Because Y is a foreign corporation that is not a CFC, neither section 1248 nor section...

  6. 26 CFR 1.1248-1 - Treatment of gain from certain sales or exchanges of stock in certain foreign corporations.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... corporation created in 1950, has outstanding 100 shares of one class of stock and uses the calendar year as... stock since G was created. Corporation Y, a United States person, owned 15 shares of the G stock from... sale. Because Y is a foreign corporation that is not a CFC, neither section 1248 nor section...

  7. 26 CFR 1.1248-1 - Treatment of gain from certain sales or exchanges of stock in certain foreign corporations.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... corporation created in 1950, has outstanding 100 shares of one class of stock and uses the calendar year as... stock since G was created. Corporation Y, a United States person, owned 15 shares of the G stock from... sale. Because Y is a foreign corporation that is not a CFC, neither section 1248 nor section...

  8. Feeding and Stocking Up: Radio-Labelled Food Reveals Exchange Patterns in Ants

    PubMed Central

    Buffin, Aurélie; Denis, Damien; Van Simaeys, Gaetan; Goldman, Serge; Deneubourg, Jean-Louis

    2009-01-01

    Food sharing is vital for a large number of species, either solitary or social, and is of particular importance within highly integrated societies, such as in colonial organisms and in social insects. Nevertheless, the mechanisms that govern the distribution of food inside a complex organizational system remain unknown. Using scintigraphy, a method developed for medical imaging, we were able to describe the dynamics of food-flow inside an ant colony. We monitored the sharing process of a radio-labelled sucrose solution inside a nest of Formica fusca. Our results show that, from the very first load that enters the nest, food present within the colony acts as negative feedback to entering food. After one hour of the experiments, 70% of the final harvest has already entered the nest. The total foraged quantity is almost four times smaller than the expected storage capacity. A finer study of the spatial distribution of food shows that although all ants have been fed rapidly (within 30 minutes), a small area representing on average 8% of the radioactive surface holds more than 25% of the stored food. Even in rather homogeneous nests, we observed a strong concentration of food in few workers. Examining the position of these workers inside the nest, we found heavily loaded ants in the centre of the aggregate. The position of the centre of this high-intensity radioactive surface remained stable for the three consecutive hours of the experiments. We demonstrate that the colony simultaneously managed to rapidly feed all workers (200 ants fed within 30 minutes) and build up food stocks to prevent food shortage, something that occurs rather often in changing environments. Though we expected the colony to forage to its maximum capacity, the flow of food entering the colony is finely tuned to the colony's needs. Indeed the food-flow decreases proportionally to the food that has already been harvested, liberating the work-force for other tasks. PMID:19536275

  9. 75 FR 59316 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-27

    ... Release Nos. 62252 (June 10, 2010), 75 FR 34186 (June 16, 2010), and 62884 (September 10, 2010). Under the... other factors which are summarized below: For issues subject to an individual stock trading trigger pause, a permissible quote is determined by first looking at the applicable stock trading pause...

  10. 77 FR 12626 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-01

    ... Market Maker (``DMM'') unit that is registered in the stock of that issuer, to provide instead that a DMM... a member organization. \\7\\ For example, the rules of FINRA and The NASDAQ Stock Market, Inc. do not... change via Information Memo. Background The current rules governing the definition of and...

  11. 17 CFR 240.16a-9 - Stock splits, stock dividends, and pro rata rights.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Stock splits, stock dividends... Government Securities Dealers § 240.16a-9 Stock splits, stock dividends, and pro rata rights. The following... held as a result of a stock split or stock dividend applying equally to all securities of a...

  12. 17 CFR 240.16a-9 - Stock splits, stock dividends, and pro rata rights.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Stock splits, stock dividends... Government Securities Dealers § 240.16a-9 Stock splits, stock dividends, and pro rata rights. The following... held as a result of a stock split or stock dividend applying equally to all securities of a...

  13. 17 CFR 240.16a-9 - Stock splits, stock dividends, and pro rata rights.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Stock splits, stock dividends... Government Securities Dealers § 240.16a-9 Stock splits, stock dividends, and pro rata rights. The following... held as a result of a stock split or stock dividend applying equally to all securities of a...

  14. 17 CFR 240.16a-9 - Stock splits, stock dividends, and pro rata rights.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Stock splits, stock dividends... Government Securities Dealers § 240.16a-9 Stock splits, stock dividends, and pro rata rights. The following... held as a result of a stock split or stock dividend applying equally to all securities of a...

  15. 17 CFR 240.16a-9 - Stock splits, stock dividends, and pro rata rights.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Stock splits, stock dividends... Government Securities Dealers § 240.16a-9 Stock splits, stock dividends, and pro rata rights. The following... held as a result of a stock split or stock dividend applying equally to all securities of a...

  16. 78 FR 14378 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-05

    ....S. From Rented Space at the New York Mercantile Exchange to the Exchange's Facilities at 20 Broad... Futures U.S. (``IFUS'') \\4\\ from rented space at the New York Mercantile Exchange (``NYMEX'') to the... for, the Proposed Rule Change 1. Purpose The Exchange proposes to make trading space at 20...

  17. 78 FR 74200 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-10

    ... Exchange Act Release No. 62960 (September 21, 2010), 75 FR 59310 (September 27, 2010) (SR-NYSE-2010-56... directly from the Exchange. See, e.g., Securities Exchange Act Release No. 65973 (December 15, 2011), 76 FR..., Inc. See Securities Exchange Act Release No. 70206 (August 15, 2013), 78 FR 51765 (August 21,...

  18. 78 FR 21464 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-10

    ... change is available on the Exchange's Web site at www.nyse.com , at the principal office of the Exchange... cumulative volume for the security. \\4\\ See Securities Exchange Act Release No. 59606 (Mar. 19, 2009), 74 FR...\\ See id. at n.5; Securities Exchange Act Release No. 62038 (May 5, 2010), 75 FR 26825 (May 12,...

  19. 75 FR 4600 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-28

    ... exchanges, ECNs and the market for delayed data and would better reflect the perceived value of the NYSE...\\ See Securities Exchange Act Release No. 61145 (December 10, 2009), 74 FR 67287. II. Description of the... Exchange. \\4\\ See Securities Exchange Act Release No. 60004 (May 29, 2009), 74 FR 26905 (June 4, 2009)...

  20. 78 FR 77739 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-24

    ... Exchange Act Release No. 62960 (September 21, 2010), 75 FR 59310 (September 27, 2010) (SR-NYSE-2010-56... Exchange. See, e.g., Securities Exchange Act Release No. 65973 (December 15, 2011), 76 FR 79232 (December... Securities Exchange Act Release No. 70206 (August 15, 2013), 78 FR 51765 (August 21, 2013)...

  1. 78 FR 69907 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-21

    ... Exchange Act Release No. 62960 (September 21, 2010), 75 FR 59310 (September 27, 2010) (SR-NYSE-2010-56... from the Exchange. See, e.g., Securities Exchange Act Release No. 65973 (December 15, 2011), 76 FR... Arca, Inc. See Securities Exchange Act Release No. 70206 (August 15, 2013), 78 FR 51765 (August...

  2. Fuzzy time-series based on Fibonacci sequence for stock price forecasting

    NASA Astrophysics Data System (ADS)

    Chen, Tai-Liang; Cheng, Ching-Hsue; Jong Teoh, Hia

    2007-07-01

    Time-series models have been utilized to make reasonably accurate predictions in the areas of stock price movements, academic enrollments, weather, etc. For promoting the forecasting performance of fuzzy time-series models, this paper proposes a new model, which incorporates the concept of the Fibonacci sequence, the framework of Song and Chissom's model and the weighted method of Yu's model. This paper employs a 5-year period TSMC (Taiwan Semiconductor Manufacturing Company) stock price data and a 13-year period of TAIEX (Taiwan Stock Exchange Capitalization Weighted Stock Index) stock index data as experimental datasets. By comparing our forecasting performances with Chen's (Forecasting enrollments based on fuzzy time-series. Fuzzy Sets Syst. 81 (1996) 311-319), Yu's (Weighted fuzzy time-series models for TAIEX forecasting. Physica A 349 (2004) 609-624) and Huarng's (The application of neural networks to forecast fuzzy time series. Physica A 336 (2006) 481-491) models, we conclude that the proposed model surpasses in accuracy these conventional fuzzy time-series models.

  3. 77 FR 4604 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-30

    ... is currently reflected. \\4\\ See Securities Exchange Act Release No. 60356 (July 21, 2009), 74 FR...'') and/or in the New York Block Exchange \\SM\\ (``NYBX'' \\SM\\ or ``Facility'') (``NYBX IOC order'')....

  4. 78 FR 8662 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-06

    ... 31, 2012), 77 FR 33531 (June 6, 2012) (SR-NYSE-2011-48). The Exchange anticipates that the initial... recalculated quarterly. See Securities Exchange Act Release No. 39846 (April 9, 1998), 63 FR 18477 (April 15... Release No. 67090 (May 31, 2012), 77 FR 33531 (June 6, 2012) (SR-NYSE-2011-48). The Exchange adopted...

  5. 78 FR 5851 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-28

    ... are traded. \\4\\ See Securities Exchange Act Release No. 68137 (Nov. 1, 2012), 77 FR 66893 (Nov. 7... and internet issues. \\5\\ See Securities Exchange Act Release No. 68161 (Nov. 5, 2012), 77 FR 67704... of the temporary suspension). \\7\\ See Securities Exchange Act Release No. 68211 (Nov. 9, 2012), 77...

  6. 78 FR 13127 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-26

    ... are traded. \\5\\ See Securities Exchange Act Release No. 68137 (Nov. 1, 2012), 77 FR 66893 (Nov. 7... internet issues. \\6\\ See Securities Exchange Act Release No. 68161 (Nov. 5, 2012), 77 FR 67704 (Nov. 12... temporary suspension). \\8\\ See Securities Exchange Act Release No. 68211 (Nov. 9, 2012), 77 FR 69534...

  7. 76 FR 79232 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-21

    ....19b-4. \\3\\ See Securities Exchange Act Release No. 65629 (October 26, 2011), 76 FR 67507 (``Notice... and vendors.\\6\\ \\4\\ See Securities Exchange Act Release No. 62960 (September 21, 2010), 75 FR 59310..., 76 FR at 67508. \\6\\ Id. The Exchange anticipated that the potential additional Users would...

  8. 78 FR 57431 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-18

    ... Exchange Act Release No. 55884 (June 8, 2007), 72 FR 32926 (June 14, 2007). As discussed below, the... Exchange Act Release No. 55884 (June 8, 2007), 72 FR 32926 (June 14, 2007) (Order Exempting Certain Error... Securities Exchange Act Release No. 57620 (April 4, 2008), 73 FR 19271 (April 4, 2008) (``Order Modifying...

  9. 78 FR 10226 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-13

    ... the exchange facility. See Securities Exchange Act Release No. 63898 (February 11, 2011), 76 FR 9616... the Text of Rule 1600, Which Governs NYBX Functionality February 7, 2013. Pursuant to Section 19(b)(1... of the Proposed Rule Change The Exchange proposes to contemporaneously delete the text of Rule...

  10. 77 FR 2585 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-18

    ... lot rate. \\8\\ See Securities Exchange Act Release No. 62578 (July 27, 2010), 75 FR 45185 (August 2... Designated Market Makers for Providing Liquidity on the Exchange and To Delete References to Round and Odd... providing liquidity on the Exchange and to delete references to round and odd lot transactions. The text...

  11. 75 FR 31488 - Self-Regulatory Organizations; New York Stock Exchange, LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-03

    ... available the Exchange's best bids and offers and to establish fees for that service. The proposed rule...\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 61914 (April 15, 2010), 75 FR 21077. II... offers for all securities that are traded on the Exchange and for which NYSE reports quotes under the...

  12. 78 FR 23620 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-19

    ...\\ See Securities Exchange Act Release No. 68538 (December 27, 2012), 78 FR 335 (January 3, 2013) (SR...), 77 FR 66893 (November 7, 2012) (SR-NYSE-2012- 58). The Exchange subsequently filed to extend the temporary suspension. See Securities Exchange Act Release Nos. 68161 (Nov. 5, 2012), 77 FR 67704 (Nov....

  13. 76 FR 1653 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-11

    ...\\ See Securities Exchange Act Release No. 60436 (August 5, 2009), 74 FR 40252 (August 11, 2009) (File No... Release No. 57433 (March 5, 2008), 73 FR 13064 (March 11, 2008) (File No. SR-NYSE-2008-15). The Exchange... Exchange in the current month, (iv) create a tiered structure of credits to Supplemental...

  14. 77 FR 57625 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-18

    ... from another U.S. exchange.\\3\\ \\3\\ See Securities Exchange Act Release No. 65127 (Aug. 12, 2011), 76 FR.... companies that are already listed on a foreign exchange may not conduct a public offering in connection with... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND...

  15. 76 FR 70795 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice and Order Granting Accelerated...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-15

    ...), 76 FR 49513 (``Notice''). \\4\\ See Securities Exchange Act Release No. 65368 (September 21, 2011), 76... Securities Exchange Act Release No. 64633 (June 8, 2011), 76 FR 34781 (June 14, 2011) (SR-NASDAQ-2011-073... meaningful period of time. \\40\\ See Securities Exchange Act Release No. 65633 (August 4, 2011), 76 FR...

  16. 78 FR 20983 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-08

    ... Exchange Act Release No. 59606 (Mar. 19, 2009), 74 FR 13293 (Mar. 26, 2009) (SR-NYSE-2009-04). \\5\\ See id. at n.5; Securities Exchange Act Release No. 62038 (May 5, 2010), 75 FR 26825 (May 12, 2010) (SR-NYSE-2010-22). \\6\\ See Securities Exchange Act Release No. 67467 (July 19, 2012), 77 FR 43636 (July 25,...

  17. 78 FR 7840 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-04

    ... Volatility. \\3\\ See Securities Exchange Act Release No. 67556 (August 1, 2012), 77 FR 47156 (August 7, 2012... similar form. See Securities Exchange Act Release No. 62252 (June 10, 2010), 75 FR 34186 (June 16, 2010...; and SR-CBOE-2010-047) and Securities Exchange Act Release No. 62251 (June 10, 2010), 75 FR 34183...

  18. 75 FR 26825 - Self-Regulatory Organizations; New York Stock Exchange, LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-12

    ... CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 61779 (March 25, 2010), 75 FR 16537... Securities Exchange Act Release No. 59544 (March 9, 2009), 74 FR 11162 (March 16, 2009) (SR-NYSE-2008-131... Pilot Program. See Securities Exchange Act Release No. 61780 (March 25, 2010), 75 FR 16535 (April...

  19. 78 FR 75432 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-11

    ... Securities Exchange Act Release No. 70794 (October 31, 2013), 78 FR 66789 (November 6, 2013) (SR-CTA-2013-05... also Securities Exchange Act Release No. 70793 (October 31, 2013), 78 FR 66788 (November 6, 2013) (File... Securities Exchange Act Release No. 70898 (November 19, 2013), 78 FR 70386 (November 25, 2013)...

  20. 78 FR 4936 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Amendment No. 3...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-23

    ... filing in full. \\4\\ See Securities Exchange Act Release No. 68033 (October 10, 2012), 77 FR 63370 (``Notice''). \\5\\ See Securities Exchange Act Release No. 68311 (November 28, 2012), 77 FR 71852 (December 4..., Securities Exchange Act Release No. 64149 (March 30, 2011), 76 FR 18966 (April 6, 2011) (``Rule...

  1. 77 FR 11181 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-24

    ...-approved changes in Exchange rules, (ii) update the rules relating to conduct by Designated Market Makers (``DMM''), and (iii) add rules relating to conduct by DMMs. Background Under the Exchange's Minor Rule... Securities Exchange Act Release No. 58549 (September 15, 2008), 73 FR 54444 (September 19, 2008)...

  2. 77 FR 42024 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-17

    ... (``CADV'') for that security. \\3\\ See Securities Exchange Act Release No. 58877 (October 29, 2008), 73 FR.... \\4\\ See Securities Exchange Act Release No. 67154 (June 7, 2012), 77 FR 35455 (June 13, 2012) (SR... extended to February 2009. See Securities Exchange Act Release No. 57213 (January 28, 2008), 73 FR...

  3. 78 FR 48526 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-08

    ... Designated Market Maker. \\6\\ See Securities Exchange Act Release No. 68021 (October 9, 2012), 77 FR 63406.... 69926 (July 3, 2013), 78 FR 41154 (SR-NYSEArca-2013-67). The Exchange notes that the proposed change is... of the Supplemental Liquidity Provider (``SLP'') credits in its Price List. The Exchange proposes...

  4. 78 FR 47474 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-05

    ... (Mar. 19, 2009), 74 FR 13293 (Mar. 26, 2009) (SR-NYSE-2009-04). In April 2013, the Exchange began.... \\5\\ See Securities Exchange Act Release No. 69272 (Apr. 2, 2013), 78 FR 20983 (Apr. 8, 2013) (SR-NYSE... the need for such data.\\8\\ \\8\\ See Securities Exchange Act Release No. 51808 (June 9, 2005), 70...

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-21

    ...). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 68936 (February 15, 2013), 78 FR... Mellon, dated March 28, 2013. \\5\\ See Securities Exchange Act Release No. 69286 (April 3, 2013), 78 FR..., Commission, dated May 17, 2013. \\7\\ See Securities Exchange Act Release No. 69622 (May 23, 2013), 78 FR...

  6. 78 FR 51765 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-21

    ... Securities Exchange Act Release No. 62960 (September 21, 2010), 75 FR 59310 (September 27, 2010) (SR-NYSE... directly from the Exchange. See, e.g., Securities Exchange Act Release No. 65973 (December 15, 2011), 76 FR... Act Release No. 62961 (September 21, 2010), 75 FR 59299 (September 27, 2010)...

  7. 75 FR 8163 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-23

    ... Rule 19b- 4.\\8\\ \\4\\ See Securities Exchange Act Release No. 59229 (January 12, 2009) 74 FR 3119... FR 10107 (March 9, 2009) (SR-NYSE-2009-20); see Securities Exchange Act Release No. 59864 (May 5, 2009) 74 FR 22194 (May 12, 2009) (SR-NYSE-2009-44); see Securities Exchange Act Release No. 60278...

  8. 75 FR 3767 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-22

    ....\\7\\ \\4\\ See Securities Exchange Act Release No. 59229 (January 12, 2009) 74 FR 3119 (January 16, 2009) (SR-NYSE-2009-01). \\5\\ See Securities Exchange Act Release No. 59491 (March 3, 2009) 74 FR 10107 (March 9, 2009) (SR-NYSE-2009-20); see Securities Exchange Act Release No. 59864 (May 5, 2009) 74...

  9. 77 FR 67053 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-08

    ... definition of newly listed issuers. Under the existing rules, the Exchange uses global market value based on... Exchange proposes to amend the text that refers to global market value based on public offering price. The... conduct a public offering, then its global market value will be determined by the Exchange at the time...

  10. 78 FR 16551 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-15

    .... 56181 (August 1, 2007), 72 FR 44206 (August 7, 2007) (SR-NYSE-2007-70). The Exchange allocates the funds... 14, 2008), 73 FR 3503 (January 18, 2008) (SR-NYSE-2008-01). \\8\\ The Exchange is also proposing a non... FOCUS Fee March 11, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...

  11. Compression stockings

    MedlinePLUS

    You wear compression stockings to improve blood flow in your legs. Compression stockings gently squeeze your legs to move ... Wear your compression stockings all day. Your compression stockings should feel strong around your legs. You will ...

  12. Trading network predicts stock price.

    PubMed

    Sun, Xiao-Qian; Shen, Hua-Wei; Cheng, Xue-Qi

    2014-01-01

    Stock price prediction is an important and challenging problem for studying financial markets. Existing studies are mainly based on the time series of stock price or the operation performance of listed company. In this paper, we propose to predict stock price based on investors' trading behavior. For each stock, we characterize the daily trading relationship among its investors using a trading network. We then classify the nodes of trading network into three roles according to their connectivity pattern. Strong Granger causality is found between stock price and trading relationship indices, i.e., the fraction of trading relationship among nodes with different roles. We further predict stock price by incorporating these trading relationship indices into a neural network based on time series of stock price. Experimental results on 51 stocks in two Chinese Stock Exchanges demonstrate the accuracy of stock price prediction is significantly improved by the inclusion of trading relationship indices. PMID:24429767

  13. Trading Network Predicts Stock Price

    NASA Astrophysics Data System (ADS)

    Sun, Xiao-Qian; Shen, Hua-Wei; Cheng, Xue-Qi

    2014-01-01

    Stock price prediction is an important and challenging problem for studying financial markets. Existing studies are mainly based on the time series of stock price or the operation performance of listed company. In this paper, we propose to predict stock price based on investors' trading behavior. For each stock, we characterize the daily trading relationship among its investors using a trading network. We then classify the nodes of trading network into three roles according to their connectivity pattern. Strong Granger causality is found between stock price and trading relationship indices, i.e., the fraction of trading relationship among nodes with different roles. We further predict stock price by incorporating these trading relationship indices into a neural network based on time series of stock price. Experimental results on 51 stocks in two Chinese Stock Exchanges demonstrate the accuracy of stock price prediction is significantly improved by the inclusion of trading relationship indices.

  14. 77 FR 57627 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-18

    ... market price of the REIT's common stock, subject to the REIT's right to satisfy that redemption... an umbrella partnership real estate investment trust (``UPREIT'') structure are listed on the... annual basis. Many listed real estate investment trusts (``REITs'') form part of what is known as...

  15. 75 FR 21077 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-22

    .... Currently: (i) The Nasdaq Stock Market offers its best-bid-and-offer information under services that would...-only market data service that allows a vendor to redistribute on a real-time basis the same best-bid... the markets on which the securities are listed. The NYSE BBO Service would allow vendors,...

  16. 26 CFR 1.1036-1 - Stock for stock of the same corporation.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 26 Internal Revenue 11 2010-04-01 2010-04-01 true Stock for stock of the same corporation. 1.1036...) INCOME TAX (CONTINUED) INCOME TAXES Common Nontaxable Exchanges § 1.1036-1 Stock for stock of the same corporation. (a) Section 1036 permits the exchange, without the recognition of gain or loss, of common...

  17. 76 FR 41551 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-14

    ...). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 64522 (May 19, 2011); 76 FR 30418... on the Exchange. \\5\\ See Securities Exchange Act Release 55908 (June 14, 2007), 72 FR 34056 (June 20..., 2008) (SR-Amex-2008-62 and SR-NYSE-2008-60), 73 FR 57707 (October 3, 2008), and NYSE Rule 6A. Under...

  18. 76 FR 61450 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-04

    ... Rule 11.20. \\4\\ NSX Rule 11.19. \\5\\ See Securities Exchange Act Release No. 64547 (May 25, 2011), 76 FR...\\ See Securities Exchange Act Release No. 64735 (June 23, 2011), 76 FR 38243 (June 29, 2011) (SR-BATS... Release 65094 (August 10, 2011), 76 FR 50779 (August 16, 2011) (SR-NASDAQ-2011- 011). \\13\\ See...

  19. 77 FR 36321 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-18

    ...-51; SR-NYSEAmex-2011-78; SR-NYSEArca-2011-72), 77 FR 3297. The Exchange explained the reasons for...-54), 70 FR 9688. Furthermore, the Exchange believes that the objectivity of Board members is... independence policy in connection with the previously proposed combination of NYSE Euronext and Deutsche B...

  20. 78 FR 63547 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-24

    ... Act Release Nos. 69427 (April 23, 2013), 78 FR 25118 (SR-NYSE-2013-21) (``NYSE Notice''); 69428 (April 23, 2013), 78 FR 25102 (SR-NYSEMKT-2013-25). On April 18, 2013, the Exchanges each filed Partial...\\ See Securities Exchange Act Release No. 69736, 78 FR 36284 (June 17, 2013) (SR-NYSE-2013-21);...

  1. 77 FR 43636 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-25

    ...\\ See Securities Exchange Act Release No. 59606 (Mar. 19, 2009); 74 FR 13293 (Mar. 26, 2009) (SR-NYSE... No. 62038 (May 5, 2010), 75 FR 26825 (May 12, 2010) (SR- NYSE-2010-22). The Exchange proposes to add...-user to download and analyze last sale data in order to make trading decisions. For these reasons,...

  2. 78 FR 73214 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-05

    ..., 2007), 72 FR 42146 (Aug. 1, 2007) (order approving the Agreement); Exchange Act Release No. 56147 (Jul. 26, 2007), 72 FR 42166 (Aug. 1, 2007) (order approving the incorporation of certain NYSE Rules as ``Common Rules''); Exchange Act Release No. 60409 (July 30, 2009), 74 FR 39353 (Aug. 6, 2009)...

  3. 76 FR 8386 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-14

    .... 61046 (November 20, 2009), 74 FR 62849 (December 1, 2009) (SR-NYSE-2009-114). 2. Statutory Basis The... (the ``Dodd-Frank Act''). \\3\\ See Securities Exchange Act Release No. 62874 (September 9, 2011) 75 FR... Effectiveness of Proposed Rule Change Amending the Forms of Broker Letters Set Forth in Exchange Rule 451...

  4. 77 FR 67034 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-08

    ... interest in BIDS. See Securities Exchange Act Release No. 59281 (January 22, 2009), 74 FR 5014 (January 28, 2009) (SR-NYSE-2008-120); see also Securities Exchange Act Release No. 61257 (December 30, 2009), 75 FR... reduce the per share charge from $0.0030 to $0.0005 for all executions of Midpoint Pegging Orders...

  5. 78 FR 73905 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-09

    .... \\3\\ 17 CFR 240.19b-4. \\4\\ See Securities Exchange Act Release No. 70628 (Oct. 8, 2013), 78 FR 62889... corporate governance tools and advisory services (the ``Enhanced Package''), which the Exchange states has a commercial value of approximately $45,000 annually, and corporate governance tools (the ``Basic...

  6. 77 FR 75683 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-21

    ..., 2012), 77 FR 66893 (Nov. 7, 2012) (SR-NYSE-2012-58). On November 5, 2012, although power had been... and Internet issues. \\6\\ See Securities Exchange Act Release No. 68161 (Nov. 5, 2012), 77 FR 67704... of the temporary suspension). \\8\\ See Securities Exchange Act Release No. 68211 (Nov. 9, 2012), 77...

  7. 77 FR 70862 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-27

    ... are traded. \\5\\ See Securities Exchange Act Release No. 68137 (Nov. 1, 2012), 77 FR 66893 (Nov. 7... was filed.\\8\\ \\6\\ See Securities Exchange Act Release No. 68161 (Nov. 5, 2012), 77 FR 67704 (Nov. 12... each number. Floor broker member organizations must maintain in their books and records all cell...

  8. 77 FR 67704 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-13

    ... cell phone service, many Exchange authorized and provided portable phones continue to not be functional... records all cell phone records that show both incoming and outgoing calls that were made during the period... with all member organization records, such cell phone records must be provided to Exchange...

  9. 75 FR 80088 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-21

    ... (January 22, 2009), 74 FR 5014 (January 28, 2009) (order approving SR-NYSE-2008- 120) (``Approval Order... Exchange and BIDS. \\6\\ See Approval Order, 74 FR at 5018. In discussing the pilot basis of the exception to... Exchange Act Release No. 61409 (January 22, 2010), 75 FR 4889 (January 29, 2010) (File No....

  10. 78 FR 41166 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-09

    ... Securities Exchange Act Release No. 68021 (October 9, 2012), 77 FR 63406 (October 16, 2012) (SR-NYSE-2012-50..., 2012. See Securities Exchange Act Release No. 68150 (November 5, 2012), 77 FR 67431 (November 9, 2012... Applicable ``Tier 3'' Supplemental Liquidity Provider Rate and the Member Organization Tier 1 and Tier...

  11. 77 FR 65040 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-24

    ... Exchange Act Release No. 66963 (May 10, 2012), 77 FR 28919 (May 16, 2012) (SR-NYSEArca-2012-22). \\21\\ For... Authority of the Exchange or Archipelago Securities LLC To Cancel Orders When a Technical or Systems Issue... Archipelago Securities LLC (``Arca Securities'') to cancel orders when a technical or systems issue occurs...

  12. 77 FR 41868 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-16

    ... FINRA Rule 3230.\\4\\ \\4\\ See Securities Exchange Act Release No. 66279 (January 30, 2012), 77 FR 5611... (July 26, 2007), 72 FR 42146 (August 1, 2007) (order approving the Agreement); Securities Exchange Act 56147 (July 26, 2007), 72 FR 42166 (August 1, 2007) (SR-NASD-2007-054) (order approving...

  13. 78 FR 70386 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-25

    ... significance.\\5\\ \\4\\ See Securities Exchange Release No. 34-70428 (Sept. 17, 2013), 78 FR 184 (Sept. 28, 2013... Securities Exchange Release No. 10787 (May 10, 1974), 39 FR 17799. The CTA Plan, pursuant to which markets... Effectiveness of Proposed Rule Change Revising Rule 61(a)(iii) To Harmonize the Existing Rule Text With...

  14. 76 FR 62122 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-06

    ...''). See also Notice, 76 FR at 53513, n.5 and accompanying text. \\7\\ See Notice. III. Discussion and... accompanying text. \\12\\ See Notice, 76 FR at 53514. First, the Exchange will maintain an agreement pursuant to... Commission Rules; \\13\\ \\13\\ See Notice, 76 FR at 53514, n.8 and accompanying text. The Exchange proposed...

  15. 76 FR 53015 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-24

    ... Exchange Act Release No. 63895 (February 11, 2011), 76 FR 9386 (February 17, 2011) (SR-FINRA-2009-090). The...\\ See Securities Exchange Act Release Nos. 56968 (Dec. 14, 2007), 72 FR 72432 (Dec. 20, 2007) (SR-NYSE-2007-114); 57682 (Apr. 17, 2008), 73 FR 22193 (Apr. 24, 2008) (SR-NYSE-2008-29); 59621 (Mar. 23,...

  16. 76 FR 79260 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-21

    ... Release No. 60835 (Oct. 16, 2009), 74 FR 54616 (Oct. 22, 2009) (SR-FINRA-2009-055). The Exchange's... Effectiveness of a Proposed Rule Change Adopting the Text of Financial Industry Regulatory Authority Rule 5210... Rule Change The Exchange proposes to adopt the text of Financial Industry Regulatory Authority...

  17. 76 FR 39946 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-07

    ... Securities Exchange Act Release No. 62970 (Sept. 22, 2010), 75 FR 59771 (Sept. 28, 2010) (order approving SR-FINRA-2010- 37). \\5\\ See Securities Exchange Act Release Nos. 56148 (July 26, 2007), 72 FR 42146 (August 1, 2007) (order approving the Agreement); 56147 (July 26, 2007), 72 FR 42166 (August 1, 2007)...

  18. 76 FR 53513 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-26

    .... 64896 (July 15, 2011), 76 FR 43740 (July 21, 2011) (SR-BX-2011-045). Currently, Arca Securities is an...)(2); see also Securities Exchange Act Release No. 64729 (June 23, 2011) 76 FR 38232, 38233 nn. 4-9...\\ See Securities Exchange Act Release No. 64013 (March 2, 2011), 76 FR 12774 (March 8, 2011)...

  19. 77 FR 71658 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-03

    ... 5, 2006), 71 FR 60208 (October 12, 2006) (SR-NYSE-2006-36). \\7\\ See Securities Exchange Act Release No. 61072 (November 30, 2009), 74 FR 64103 (December 7, 2009) (SR-NYSE-2009-106). As set forth in... Exchange Act Release Nos. 67584 (Aug. 2, 2012), 77 FR 47472 (Aug. 8, 2012) (SR-NASDAQ-2012-066)...

  20. 76 FR 64154 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-17

    ... federal securities laws. \\7\\ See Securities Exchange Act Release No. 63311 (November 12, 2010), 75 FR.... 53128 (Jan. 13, 2006), 71 FR 3550 (Jan. 23, 2006) (File No. 10-131). \\14\\ See Securities Exchange Act Release No. 64717 (June 21, 2011), 76 FR 37384 (June 27, 2011) (SR-FINRA-2011-029). \\15\\ NYSE Rule...

  1. 77 FR 56902 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-14

    .... 67759 (Aug. 30, 2012) 77 FR 54939 (Sep. 6, 2012) (SR-NYSE-2012-38). The Exchange proposes this rule... Effectiveness of Proposed Rule Change To Delete Non-Operable Text Within Its Price List Applicable to... The Exchange proposes to delete non-operable text within its Price List applicable to...

  2. 77 FR 76116 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-26

    ... Exchange Act Release No. 68017 (October 9, 2012), 77 FR 63404 (October 16, 2012) (SR-NYSE-2012-47). The... non-refundable. An issuer applying to list an equity security on the Exchange is subject to a... also charges a non-refundable $25,000 application fee to issuers on The NASDAQ Global Market....

  3. 78 FR 36284 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-17

    ...\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 69427 (April 23, 2013), 78 FR 25118. On... Period for Commission Action on Proposed Rule Change Amending NYSE Rule 104 To Codify Certain Traditional... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to...

  4. 75 FR 69491 - Self-Regulatory Organizations; Order Approving Proposed Rule Change by New York Stock Exchange...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-12

    ...). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 62955 (September 20, 2010), 75 FR... operation of the NYBX. \\4\\ See Securities Exchange Act Release No. 59282 (January 22, 2009), 74 FR 5009... (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ to change the execution of algorithm of the New York...

  5. 76 FR 12195 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-04

    ... SHO, Securities Exchange Act Release No. 61595 (Feb. 26, 2010), 75 FR 11232 (Mar. 10, 2010) (``Rule...)(47); and 17 CFR 242.600(b)(46). \\9\\ 17 CFR 242.201(b). \\10\\ Rule 201 Adopting Release, 75 FR 11232... in Securities Exchange Act Release No. 63247 (Nov. 4, 2010), 75 FR 68702 (Nov. 9, 2010). The May...

  6. 78 FR 2467 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-11

    .... See Securities Exchange Act Release No. 45112 (November 28, 2001), 66 FR 63086 (December 4, 2001) (SR-NYSE-2001- 47). \\6\\ See Securities Exchange Act Release No. 67247 (June 25, 2012), 77 FR 38866 (June 29..., fingerprint card and a combined payment of fees to FINRA. Through the CRD system, FINRA maintains...

  7. 78 FR 29165 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-17

    ... the Exchange after completion of a confidential eligibility review. Amendment to Section 104.01... replace the general information currently in that section with a general outline of the listing process... Listed On the Exchange.'' The following is a description of the listing process as set forth in...

  8. 78 FR 51788 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of and Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-21

    ... to be more descriptive of the listing process.\\8\\ If, upon completion of this review, the Exchange... detail below, the rule changes should increase transparency in the listing process as well as further... Exchange Act Release No. 69565 (May 13, 2013), 78 FR 29165 (``Notice''). \\4\\ See Letter to Elizabeth...

  9. 77 FR 69688 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-20

    ... (October 6, 2010), 75 FR 63232 (October 14, 2010) (SR-NYSE-2010-70) (the port fee ``Adopting Release''). See also Securities Exchange Act Release No. 66107 (January 5, 2012), 77 FR 1759 (January 11, 2012...., Securities Exchange Act Release No. 64542 (May 25, 2011), 76 FR 31659 (June 1, 2011) (SR-NYSE-2011-13)....

  10. 75 FR 25902 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-10

    ... Release No. 60534 (August 19, 2009), 74 FR 44410 (August 28, 2009) (order approving SR-FINRA-2009- 036) (``Release No. 34-60534''). \\5\\ See Securities Exchange Act Release No. 61743 (March 19, 2010), 75 FR 14650... effective December 15, 2008.\\7\\ \\7\\ See Securities Exchange Act Release Nos. 56148 (July 26, 2007), 72...

  11. 77 FR 54939 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-06

    ... effect until January 31, 2013. See Securities Exchange Act Release No. 58877 (October 29, 2008), 73 FR... 25, 2012), 77 FR 45388 (July 31, 2012) (SR-NYSE-2012-27). An SLP is a member organization that... Securities Exchange Act Release No. 62791 (August 30, 2010), 75 FR 54411 (September 7, 2010)...

  12. 77 FR 74034 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-12

    ... Certain Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a... Proposed Rule Change The Exchange proposes to modify the manner in which it calculates certain volume... to modify the manner in which it calculates certain volume, liquidity and quoting...

  13. 76 FR 76799 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-08

    ... Pilot'' or ``NMM Pilot''). See Securities Exchange Act Release No. 58845 (October 24, 2008), 73 FR 64379... Exchange Act Release No. 64761 (June 28, 2011), 76 FR 39147 (July 5, 2011) (SR-NYSE-2011-29). \\5\\ See NYSE...), 73 FR 71070 (November 24, 2008) (SR-NYSE-2008-115) at n.5. CADV is similarly used to...

  14. 76 FR 39147 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-05

    ...\\ See Securities Exchange Act Release No. 58845 (October 24, 2008), 73 FR 64379 (October 29, 2008) (SR-NYSE-2008-46); see also Securities Exchange Act Release Nos. 60756 (October 1, 2009), 74 FR 51628... FR 62368 (November 27, 2009) (SR-NYSE-2009-113) (extending Pilot to March 30, 2010); 61724 (March...

  15. 78 FR 335 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-03

    ... Securities Exchange Act Release No. 68137 (November 1, 2012), 77 FR 66893 (November 7, 2012) (SR-NYSE-2012... Act Release No. 68161 (November 5, 2012), 77 FR 67704 (November 13, 2012) (SR-NYSE-2012-61) and File... organization. The Exchange proposes to provide a monthly credit of $2,000 for the first and second Floor...

  16. 77 FR 77166 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-31

    ... the Rule. \\3\\ See Securities Exchange Act Release No. 63736 (Jan. 19, 2011), 76 FR 4959 (Jan. 27, 2011...), 75 FR 77024 (Dec. 10, 2011) (SR-NYSE-2010-74). The pilot program was extended and is currently...), 76 FR 79726 (December 22, 2011) (SR-NYSE-2011-63). Through this filing, the Exchange seeks to...

  17. 78 FR 9094 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-07

    ...\\ See Securities Exchange Act Release No. 54391 (August 31, 2006), 71 FR 52836 (September 7, 2006) (SR... via Order Delivery mode) that are resting on the NSX Book \\5\\ in accordance with the process described...\\ Exchange Rule 1.5 defines ``NSX Book'' as ``the System's electronic fie of orders.'' \\6\\ See NSX Rule...

  18. 75 FR 16535 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-01

    ... device. \\3\\ See Securities Exchange Act Release No. 59544 (March 9, 2009), 74 FR 11162 (March 16, 2009..., 2008), 73 FR 74770 (December 9, 2008) (SR-NYSEArca-2006-21) (``NYSE Arca Order''). In the NYSE Arca... Order into this order. \\13\\ See Securities Exchange Act Release No. 59544 (March 9, 2009), 74 FR...

  19. 78 FR 20973 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-08

    ... Trades \\6\\ are as follows: \\4\\ See Securities Exchange Act Release Nos. 59544 (Mar. 9, 2009), 74 FR 11162 (Mar. 16, 2009) (SR-NYSE-2008-131) and 62038 (May 5, 2010), 75 FR 26825 (May 12, 2010) (SR-NYSE-2010-22). \\5\\ See Securities Exchange Act Release No. 62181 (May 26, 2010), 75 FR 31488 (June 3, 2010)...

  20. 75 FR 16537 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-01

    ... the Commission's Public Reference Room. \\3\\ See Release No. 34-59544 (March 9, 2009); 74 FR 11162... Change To Make Permanent a Unit-of- Count Metric Alternative for NYSE OpenBook March 25, 2010. Pursuant... are required to report to the Exchange and on which the Exchange bases its fees for its NYSE...

  1. 77 FR 27508 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Designation...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-10

    ...\\ See Securities Exchange Act Release Nos. 65671 (November 2, 2011), 76 FR 69774 (SR-NYSE Amex-2011-84); and 65672 (November 2, 2011), 76 FR 69788 (SR-NYSE-2011-55). The Commission received 28 comments on...''). \\6\\ See Securities Exchange Act Release No. 66003, 76 FR 80445 (December 23, 2011). \\7\\ 17 CFR...

  2. 77 FR 45408 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-31

    .... \\4\\ See Securities Exchange Act Release No. 58845 (October 24, 2008), 73 FR 64379 (October 29, 2008) (SR-NYSE-2008-46). See also Securities Exchange Act Release Nos. 60756 (October 1, 2009), 74 FR 51628... FR 62368 (November 27, 2009) (SR-NYSE-2009-113) (extending Pilot to March 30, 2010); 61724 (March...

  3. 77 FR 10586 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Instituting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-22

    ... Exchange Act Release Nos. 65735 (November 10, 2011), 76 FR 71405 (SR-NYSEAmex-2011-86) and 65736 (November 10, 2011), 76 FR 71399 (SR-NYSE-2011-56). On December 22, 2011, the Commission extended the time... Proposals. \\5\\ See Securities Exchange Act Release No. 66036, 76 FR 82011 (December 29, 2011)....

  4. 77 FR 46137 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-02

    ... Act Release No. 67347 (July 3, 2012), 77 FR 40673 (July 10, 2012) (SR-NYSE-2011-55). Two new classes..., 2011), 76 FR 69788 (November 9, 2011) (SR-NYSE-2011-55). \\10\\ The Exchange notes that participation in... Market Structure, Securities Exchange Act Release No. 61358 (January 14, 2010), 75 FR 3594 (January...

  5. 77 FR 1759 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-11

    ... data center) of any logical port other than a Multicast PITCH Spin Server Port or GRP Port, but does... Securities Exchange Act Release No. 63057 (October 6, 2010), 75 FR 63232 (October 14, 2010) (SR-NYSE-2010-70.... See, e.g., Securities Exchange Act Release No. 64542 (May 25, 2011), 76 FR 31659 (June 1, 2011)...

  6. 78 FR 27261 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting Approval...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-09

    ... Securities Exchange Act Release Nos. 68747 (Jan. 28, 2013), 78 FR 7824 (SR-NYSE-2013-08); and 68746 (Jan. 28, 2013), 78 FR 7842 (SR-NYSEMKT-2013-07). \\4\\ See Letter to the Commission from Theodore R. Lazo... (SIFMA), dated March 11, 2013. \\5\\ See Securities Exchange Act Release No. 69187, 78 FR 18402 (March...

  7. 78 FR 3064 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-15

    ..., 2005.\\4\\ \\3\\ See Securities Exchange Act Release No. 31388 (October 30, 1992), 57 FR 53366 (November 9... governed by NYSE Rule 200. \\4\\ See Securities Exchange Act Release No. 51190 (February 11, 2005), 70 FR... Signature Program From $1,000 per Year to $1,300 per Year January 9, 2013. Pursuant to Section 19(b)(1)...

  8. 78 FR 3958 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-17

    ... subject to a number of reporting requirements set forth in the Exchange's Listed Company Manual (``Manual....02) or change in auditors (Section 204.03), but a company's failure to notify the Exchange... what method of notification is required when a company's corporate action (or any action of which...

  9. 78 FR 70987 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-27

    ...-location services in Securities Exchange Act Release No. 62960 (September 21, 2010), 75 FR 59310 (September...., Securities Exchange Act Release No. 65973 (December 15, 2011), 76 FR 79232 (December 21, 2011) (SR-NYSE-2011... Release No. 70206 (August 15, 2013), 78 FR 51765 (August 21, 2013) (SR-NYSE-2013-59). \\6\\ A User...

  10. 77 FR 42788 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-20

    ... trade date (``T+1'').\\6\\ \\5\\ See Securities Exchange Act Release No. 59997 (May 28, 2009), 74 FR 28086... FR 41560 (July 16, 2010) (SR-NYSE-2010-48 and SR-NYSEAmex- 2010-61). Proposed Amendment of NYSE Rule... Contra Party to Unresolved Account Balances in the Exchange's Online Comparison System July 16,...

  11. 78 FR 1288 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-08

    ... Securities Exchange Act Release No. 58845 (October 24, 2008), 73 FR 64379 (October 29, 2008) (SR-NYSE-2008-46). See also Securities Exchange Act Release Nos. 60756 (October 1, 2009), 74 FR 51628 (October 7, 2009) (SR-NYSE-2009-100) (extending Pilot to November 30, 2009); 61031 (November 19, 2009), 74 FR...

  12. 76 FR 51449 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-18

    .... \\3\\ See Securities Exchange Act Release No. 64506 (May 17, 2011), 76 FR 29806 (``Notice''). \\4\\ See... those letters. \\6\\ See Securities Exchange Act Release No. 64809 (July 5, 2011), 76 FR 40758 (July 11... also, Falkner Letter (noting the smaller providers provide innovative and often times better...

  13. 76 FR 38232 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-29

    ...-2011-38. Background--Arca Securities Functions as Routing Broker Arca Securities currently is the... away market center for execution whenever such routing is ] required by Exchange Rules and federal securities laws.\\5\\ \\4\\ See Securities Exchange Act Release No. 55590 (April 5, 2007), 72 FR 18707 (April...

  14. 76 FR 42150 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-18

    ... order protection to achieve a standardized industry practice. Background On July 5, 2007, the Commission... underlying orders. \\4\\ See Securities Exchange Act Release No. 56017 (July 5, 2007), 72 FR 38110 (July 12... Securities Exchange Act Release No. 56968 (Dec. 14, 2007), 72 FR 72432 (Dec. 20, 2007) (SR-NYSE-2007-114)....

  15. 75 FR 36737 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-28

    ... to market participants, the Exchange may increase the order size eligible for automatic executions up... maximum order size accepted by Exchange systems to 25,000,000 shares. Background Currently, the maximum... possible issues resulting from routing orders in excess of 1,000,000 shares to another market as...

  16. 75 FR 1107 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-08

    ...\\ See Securities Exchange Act Release No. 59755 (April 13, 2009), 74 FR 18009 (April 20, 2009) (SR-NYSE... Amex LLC. See SR-NYSEAmex-2009-96. Background Pursuant to NYSE Rule 123C(8)(a)(1), the Exchange may... (October 9, 2009), 74 FR 53532 (October 19, 2009) (SR-NYSE-2009-104) (extending the operation of the...

  17. 78 FR 5213 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-24

    ...\\ See Securities Exchange Act Release No. 56148 (July 26, 2007), 72 FR 42146 (August 1, 2007) (File No... 22, 2010), 75 FR 36729 (June 28, 2010) (SR-NYSE-2010-46). To facilitate FINRA's performance of these... Exchange Act Release No. 58549 (September 15, 2008), 73 FR 54444 (September 19, 2008) (SR-NYSE-...

  18. 78 FR 36281 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-17

    ... introduced in October 2012. \\11\\ See Securities Exchange Act Release No. 68021 (October 9, 2012), 77 FR 63406... Exchange Act Release No. 58877 (October 29, 2008), 73 FR 65904-05 (November 5, 2008) (SR-NYSE-2008-108... June 1, 2013. An SLP is a member organization that electronically enters orders or quotes from off...

  19. 75 FR 17814 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-07

    .... \\3\\ See Securities Exchange Act Release No. 55590 (April 5, 2007), 72 FR 18707 (April 13, 2007.... 58680 (September 29, 2008), 73 FR 58283 (October 6, 2008) (order approving SR-NYSE-2008-76). \\4\\ See Securities Exchange Act Release No. 53238 (July 28, 2006), 71 FR 44758 (August 7, 2006) (order approving...

  20. 75 FR 1104 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-08

    .... \\3\\ See Securities Exchange Act Release No. 55590 (April 5, 2007), 72 FR 18707 (April 13, 2007.... 58680 (September 29, 2008), 73 FR 58283 (October 6, 2008) (order approving SR-NYSE-2008-76). \\4\\ See Securities Exchange Act Release No. 53238 (July 28, 2006), 71 FR 44758 (August 7, 2006) (order approving...

  1. 75 FR 55391 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-10

    ... (April 5, 2007), 72 FR 18707 (April 13, 2007) (notice of immediate effectiveness of SR-NYSE-2007-29); see also, Securities and Exchange Act Release No. 58680 (September 29, 2008), 73 FR 58283 (October 6, 2008... FR 44758 (August 7, 2006) (order approving SR-NYSEArca- 2006-13); see also, Securities Exchange...

  2. 78 FR 34693 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-10

    ... functionality. \\4\\ See Securities Exchange Act Release No. 69295 (April 4, 2013), 78 FR 21457 (April 10, 2013... Out the Functionality Associated With Liquidity Replenishment Points in Connection With the... the Exchange will phase out the functionality associated with liquidity ] replenishment points...

  3. 78 FR 15394 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-11

    ....19b-4. \\3\\ Securities Exchange Act Release No. 68678 (January 16, 2013), 78 FR 5213 (January 24, 2013...), 72 FR 42146 (August 1, 2007) (File No. 4-544) (Notice of Filing and Order Approving and Declaring... Securities Exchange Act Release No. 62355 (June 22, 2010), 75 FR 36729 (June 28, 2010)...

  4. 76 FR 20735 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ...\\ \\4\\ See Securities Exchange Act Release No. 62886 (September 10, 2010), 75 FR 56613 (September 16, 2010) (SR-NYSE-2010-47). See also Securities Exchange Act Release No. 63479 (December 9, 2010), 75 FR... Mechanism To Address Extraordinary Market Volatility, if Adopted, Applies April 7, 2011. Pursuant to...

  5. 77 FR 39292 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-02

    ... related fees.\\4\\ \\4\\ See Securities Exchange Act Release No. 62960 (September 21, 2010), 75 FR 59310... Act Release No. 65973 (December 15, 2011), 76 FR 79232 (December 21, 2011) (SR-NYSE-2011-53). The... thereto. See Securities Exchange Act Release No. 64060 (March 8, 2011), 76 FR 13686 (March 14, 2011)...

  6. 77 FR 50742 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-22

    ... Release No. 67262 (June 26, 2012), 77 FR 39292 (``Notice''). II. Description of the Proposed Rule Change... related fees. \\4\\ See Securities Exchange Act Release No. 62960 (September 21, 2010), 75 FR 59310... Securities Exchange Act Release No. 65973 (December 15, 2011), 76 FR 79232 (December 21, 2011)...

  7. 75 FR 10855 - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-09

    ... Exchange Release No. 59965 (May 21, 2009), 74 FR 25783 (May 29, 2009) (SR-NYSE-2009-25). However, in... Release No. 58549 (Sept. 15, 2008), 73 FR 54444 (Sept. 19, 2008) (SR-NYSE-2008-80) (deleting the term... revised rule text for Rule 476(a)(6), the Exchange would be able to bring a charge relating to failing...

  8. 78 FR 40260 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-03

    ... FR 29165. \\4\\ See Letter to Elizabeth M. Murphy, Secretary, Commission, from Shinichi Yuhara, dated... the Exchange's Web Site; and (ii) Adopt as New Rules Certain Provisions That Are Currently Included in... updated listing application materials that will be posted on the Exchange's Web site; and (ii) adopt...

  9. 76 FR 16019 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-22

    ... 22, 2006), 71 FR 16353 (March 31, 2006) (SR-NYSE-2004-05). \\9\\ See Securities Exchange Act Release No. 58845 (Oct. 24, 2008), 73 FR 64379 (Oct. 29. 2008) (SR-NYSE-2008-46). 2. Statutory Basis The Exchange... Effectiveness of Proposed Rule Change Amending NYSE Rule 36 To Permit Written Communications To Be...

  10. 76 FR 69788 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-09

    ..., 2010), 75 FR 3594 (January 21, 2010) (noting that dark pools and internalizing broker- dealers executed... Additional Retail Order Flow to the Exchange for NYSE-Listed Securities November 2, 2011. Pursuant to Section... additional retail order flow to the Exchange for NYSE-listed securities while also providing the...

  11. 76 FR 80445 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Designation...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-23

    ... Exchange Act Release Nos. 65671 (November 2, 2011), 76 FR 69774; 65672 (November 2, 2011), 76 FR 69788. \\4... Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the... Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchange for NYSE Amex...

  12. 75 FR 80870 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-23

    ...\\ See, Securities Exchange Act Rel. No. 54550 (Sept. 29, 2006), 71 FR 59563 (October 10, 2006) (SR-CHX... changed. \\7\\ See, Securities Exchange Act Rel. No. 54550 (Sept. 29, 2006), 71 FR 59563 (October 10, 2006... responsible for entering the terms of the order into an electronic database (for the purpose of...

  13. 78 FR 26818 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-08

    .... 69102 (Mar. 11, 2013), 78 FR 16561 (Mar. 15, 2013) (SR-NYSE-2013-17). The Exchange proposes to make STP... continue to reject all GTC and MTS-IOC orders with an STP modifier. In addition, the Exchange proposes...

  14. 78 FR 36279 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-17

    ... the Allocation Process June 11, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of... issuer must interview from the pool of DMM units eligible to participate in the allocation process. Rule...; or (2) the issuer delegates selection of the DMM unit to the Exchange.\\3\\ If the issuer...

  15. 75 FR 21071 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-22

    ...., (``NYFIX''). On November 30, 2009, NYFIX became an indirect wholly-owned subsidiary of the Exchange's... Exchange in connection with the acquisition of NYFIX, a Delaware corporation, by a wholly-owned subsidiary... Act Release No. 60969 (November 9, 2009), 74 FR 59294 (November 17, 2009) (order approving File No....

  16. 78 FR 30378 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-22

    ... Change Proposing an Amendment to the Bylaws of Its Wholly-Owned Subsidiary, NYSE Regulation, Inc. (``NYSE... the Proposed Rule Change The Exchange proposes to amend an amendment to the bylaws of its wholly-owned... and to the Bylaws of the Exchange's wholly owned subsidiary, NYSE Market, Inc.\\8\\ These changes...

  17. 75 FR 500 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-05

    ... Company. In addition, the Exchange, through its wholly-owned subsidiary, NYSE Market, Inc., owns less than...\\ See Securities Act Exchange Release No. 61043 (November 20, 2009), 74 FR 62612. On January 22, 2009.... 59281 (January 22, 2009), 74 FR 5014 (January 28, 2009) (order approving SR-NYSE-2008- 120)...

  18. 76 FR 40413 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-08

    ... Replenishment Point Value Range During the First Day of Trading of an Initial Public Offering on the Exchange... the first day of trading of an initial public offering (``IPO'') on the Exchange. The text of the...) to provide for a different LRP value range during the first day of trading of an IPO on the...

  19. 77 FR 312 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-04

    ... as part of this proposal. \\6\\ See Securities Exchange Act Release No. 54437 (Sept. 13, 2006), 71 FR... settlement of trades.\\3\\ On October 31, 2011, there were public news reports that MF Global was in...

  20. 76 FR 61457 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-04

    ... Securities Exchange Act Release No. 64547 (May 25, 2011), 76 FR 31647 (June 1, 2011). The Joint CFTC-SEC..., 1998), 63 FR 18477 (April 15, 1998) (SR-NYSE-98-06, SR-Amex-98-09, SR-BSE-98-06, SR-CHX-98-08, SR-NASD...\\ See Securities Exchange Act Release No. 64735 (June 23, 2011), 76 FR 38243 (June 29, 2011)...

  1. 76 FR 20767 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ..., applies. \\4\\ See Securities Exchange Act Release No. 63500 (December 9, 2010), 75 FR 78309 (December 15..., 2010), 75 FR 34186 (June 16, 2010) (File Nos. SR-BATS-2010-014; SR-EDGA-2010-01; SR-EDGX- 2010-01; SR.... 62251 (June 10, 2010), 75 FR 34183 (June 16, 2010) (SR-FINRA-2010-025). See also Securities Exchange...

  2. Comparable stocks, boundedly rational stock markets and IPO entry rates.

    PubMed

    Chok, Jay; Qian, Jifeng

    2013-01-01

    In this study, we examine how initial public offerings (IPO) entry rates are affected when stock markets are boundedly rational and IPO firms infer information from their counterparts in the market. We hypothesize a curvilinear relationship between the number of comparable stocks and initial public offerings (IPO) entry rates into the NASDAQ Stock Exchange. Furthermore, we argue that trading volume and changes in stock returns partially mediates the relationship between the number of comparable stocks and IPO entry rates. The statistical evidence provides strong support for the hypotheses. PMID:23690924

  3. Comparable Stocks, Boundedly Rational Stock Markets and IPO Entry Rates

    PubMed Central

    Chok, Jay; Qian, Jifeng

    2013-01-01

    In this study, we examine how initial public offerings (IPO) entry rates are affected when stock markets are boundedly rational and IPO firms infer information from their counterparts in the market. We hypothesize a curvilinear relationship between the number of comparable stocks and initial public offerings (IPO) entry rates into the NASDAQ Stock Exchange. Furthermore, we argue that trading volume and changes in stock returns partially mediates the relationship between the number of comparable stocks and IPO entry rates. The statistical evidence provides strong support for the hypotheses. PMID:23690924

  4. 77 FR 19396 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-30

    ... Reference Room. \\4\\ See Securities Exchange Act Release No. 65562 (October 14, 2011), 76 FR 65288 (October... FR 3297 (January 23, 2012) (File Nos. SR-EDGA-2011-34; SR- EDGX-2011-33; SR-ISE-2011-69; SR-NYSE-2011... Between NYSE Euronext and Deutsche B rse AG Will Not Become Effective March 26, 2012. Pursuant to...

  5. 75 FR 36138 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-24

    ... business. Market probes assist Floor brokers in representing customer orders efficiently and effectively... Exchange are automated, Floor brokers play an important role for customers in those transactions that... sophisticated customers is to provide market ``color'' to the extent permitted under applicable rules....

  6. 78 FR 62825 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... October 10, 2013 until the earlier of when cell phone service is restored or October 11, 2013. The text of.... The Exchange is working closely with the third-party carrier to restore such cell phone service. Rules... broker member organizations must maintain in their books and records all cell phone records that...

  7. 77 FR 145 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-03

    ..., 74 FR at 5018-5019. \\15\\ Id. at 5018. \\16\\ Id. at 5019. B. Self-Regulatory Organization's Statement... Act Release No. 59281 (January 22, 2009), 74 FR 5014 (January 28, 2009) (order approving SR-NYSE-2008... of the Exchange and BIDS. \\6\\ See Approval Order, 74 FR at 5018. In discussing the pilot basis of...

  8. 78 FR 4524 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-22

    ... Act Release No. 59281 (January 22, 2009), 74 FR 5014 (January 28, 2009) (SR-NYSE-2008-120) (the...\\ See Securities Exchange Act Release Nos. 61409 (January 22, 2010), 75 FR 4889 (January 29, 2010) (SR-NYSE-2010-04); 63545 (December 14, 2010), 75 FR 80088 (December 21, 2010) (SR-NYSE-2010- 82); and...

  9. 76 FR 67507 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-01

    ... Users. \\4\\ See Securities Exchange Act Release No. 62960 (September 21, 2010), 75 FR 59310 (September 27... Change Expanding the Scope of Potential ``Users'' of Its Co-Location Services To Include Any Market... proposes to expand the scope of potential ``Users'' of its co-location services to include any...

  10. 77 FR 40133 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Rule Change, as...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-06

    ... is no longer operational. \\10\\ See Securities Exchange Act Release No. 53539 (March 22, 2006), 71 FR.... 24, 2008), 73 FR 64379 (Oct. 29, 2008) (SR-NYSE-2008-46). A few of the current provisions of... Act Release No. 60974 (Nov. 9, 2009) 74 FR 59299 (Nov. 17, 2009) (SR-NYSE-2009-111) (``After the...

  11. 77 FR 51596 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting Approval...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-24

    ....19b-4. \\3\\ See Securities Exchange Act Release Nos. 67317 (June 29, 2012), 77 FR 40133 (SR-NYSE-2012-19) and 67318 (June 29, 2012), 77 FR 40129 (SR-NYSEMKT-2012-13) (hereinafter referred to collectively... (March 22, 2006), 71 FR 16353 (March 31, 2006) (SR-NYSE-2004-05) (Order Approving Proposed Rule Change...

  12. 77 FR 10788 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-23

    ... to FINRA Rule 4360.\\4\\ \\4\\ See Securities Exchange Act Release No. 63961 (February 24, 2011), 76 FR.... 56148 (July 26, 2007), 72 FR 42146 (August 1, 2007) (order approving the Agreement); 56147 (July 26, 2007), 72 FR 42166 (August 1, 2007) (SR-NASD-2007- 054) (order approving the incorporation of...

  13. 76 FR 39951 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-07

    ... effective December 15, 2008.\\5\\ \\4\\ See Securities Exchange Act Release No. 62970 (Sept. 22, 2010), 75 FR.... 56148 (July 26, 2007), 72 FR 42146 (August 1, 2007) (order approving the Agreement); 56147 (July 26, 2007), 72 FR 42166 (August 1, 2007) (SR-NASD-2007- 054) (order approving the incorporation of...

  14. 78 FR 46661 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-01

    ... (April 23, 2013), 78 FR 25118 (SR-NYSE-2013-21) (``NYSE Notice''); Release No. 69428 (April 23, 2013), 78 FR 25102 (SR-NYSEMKT-2013-25). On April 18, 2013, the Exchanges filed Partial Amendment No. 1 to the... Release No. 69736, 78 FR 36284 (June 17, 2013) (SR-NYSE-2013-21); Release No. 69733, 78 FR 36284...

  15. 76 FR 600 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-05

    ...-2010-121. \\5\\ See Securities Exchange Act Release Nos. 59755 (April 13, 2009), 74 FR 18009 (April 20, 2009) (SR-NYSE-2009-18) (order granting approval of the Pilot); 60809 (October 9, 2009), 74 FR 53532... (December 31, 2009), 75 FR 1107 (January 8, 2010) (SR-NYSE-2009-131) (extending the operation of the...

  16. 75 FR 168 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-04

    ... Exchange Act Release No. 61125 (December 7, 2009), 74 FR 66182 (December 14, 2009) (SR-NYSE- 2009-122). The... Effectiveness of Proposed Rule Change Amending NYSE Rules 116 and 123C To Allow More Than One Closing Print To... Expiration Procedures) to allow on a temporary basis more than one closing print to be reported to...

  17. 77 FR 45388 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-31

    ... No. 58877 (October 29, 2008), 73 FR 65904 (November 5, 2008) (SR-NYSE-2008-108) (establishing the SLP Pilot). See also Securities Exchange Act Release Nos. 59869 (May 6, 2009), 74 FR 22796 (May 14, 2009..., 2009), 74 FR 51628 (October 7, 2009) (SR-NYSE-2009-100) (extending the operation of the NMM and the...

  18. 77 FR 22032 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-12

    ... depth, or disparity between supply and demand exists or is reasonably to be anticipated.\\7\\ \\7\\ NYSE....19b-4. \\3\\ See Securities Exchange Act Release No. 66421 (February 17, 2012), 77 FR 11181 (``Notice... (September 15, 2008), 73 FR 54444 (September 19, 2008) (SR-NYSE-2008-80). See also NYSE Rule 476, which...

  19. 77 FR 30040 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-21

    ... it had included audited financial statements in its initial public offering registration statement in... file only two years of audited financial statements. The Exchange notes that this approach is similar... financial statements, the market capitalization and revenue requirements in (1) and (2) would...

  20. 76 FR 44390 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-25

    ...; (2) The VaR model must use an effective historical observation period of at least one year. The DMM.... 58845 (October 24, 2008), 74 FR 64379 (October 29, 2008) (SR-NYSE- 2008-46). \\9\\ See Securities Exchange Act Release No. 54205 (July 25, 2006); 71 FR 43260 (July 31, 2006) (SR-NYSE-2005-38)...

  1. 78 FR 4570 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 3...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-22

    ... Release No. 68011 (October 9, 2012), 77 FR 62541 (``Notice''). \\4\\ See Securities Exchange Act Release No. 68313 (November 28, 2012), 77 FR 71853 (December 4, 2012). \\5\\ See Letters to Elizabeth M. Murphy...., Director, Corporate & Commercial Law Program, University of Denver Sturm College of Law, dated October...

  2. 78 FR 54704 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-05

    ... Securities Exchange Act Release No. 62960 (September 21, 2010), 75 FR 59310 (September 27, 2010) (SR-NYSE.... 65973 (December 15, 2011), 76 FR 79232 (December 21, 2011) (SR-NYSE-2011-53). \\6\\ See Securities...,'' SFTI and optic connections would be at 10 Gb and only the LCN connections would be at 40 Gb, because...

  3. 78 FR 16547 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-15

    ... will qualify as ``Retail Orders.'' See Exchange Act Release No. 68747 (Jan. 28, 2013), 78 FR 7824 (Feb..., including that the RMO maintains supervisory systems to reconstruct, in a time-sequenced manner, all Retail... Rule 5320.03, including that the RMO maintains supervisory systems to reconstruct, in a...

  4. 78 FR 42811 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-17

    ... Release No. 64542 (May 25, 2011), 76 FR 31659 (June 1, 2011) (SR-NYSE-2011-13). All NYSE member.... See Securities Exchange Act Release No. 68229 (November 14, 2012), 77 FR 69688 (November 20, 2012) (SR... factors in proposing the tiered approach to order/quote entry port pricing, including that the...

  5. 75 FR 39065 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-07

    ... Change To Amend the List of Securities Subject to an Individual Circuit Breaker June 30, 2010. Pursuant... 2010, subject to Commission approval. The Exchange believes that adding these securities would begin to... that track similar benchmarks but that do not meet this volume criterion do not become subject...

  6. 75 FR 58452 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-24

    ... Securities Exchange Act Release Nos. 59965 (May 21, 2009), 74 FR 25783 (May 29, 2009) (SR-NYSE-2009-25) (adopting, inter alia, NYSE Rules 3130, 4560, 5190); 61158 (December 11, 2009), 74 FR 67942 (December 21, 2009) (SR-NYSE-2009-123) (adopting NYSE Rule 2150); 61273 (December 31, 2009), 75 FR 1091 (January...

  7. 75 FR 54411 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-07

    ...), 73 FR 65904 (November 5, 2008) (SR-NYSE-2008-108) (establishing pilot program for market participants... Volume Requirement August 30, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...''), which is a pilot program, to revise the quoting requirements and add a volume requirement. The text...

  8. 76 FR 39145 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-05

    .... \\3\\ See Securities Exchange Act Release No. 58877 (October 29, 2008), 73 FR 65904 (November 5, 2008... (May 6, 2009), 74 FR 22796 (May 14, 2009) (SR- NYSE-2009-46) (extending the operation of the SLP Pilot to October 1, 2009); 60756 (October 1, 2009), 74 FR 51628 (October 7, 2009)...

  9. 76 FR 59476 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-26

    .... No. 54550 (Sept. 29, 2006), 71 FR 59563 (Oct. 10, 2006) (SR-CHX-2006-05). \\4\\ Id., Section II.C.... 63564 (Dec. 16, 2010), 75 FR 80870 (Dec. 23, 2010) (SR-CHX-2010-25). \\8\\ In Article 11, Rule 3(e), we... Change To Change the Status of Exchange-Registered Institutional Broker Firms September 19,...

  10. 76 FR 71399 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-17

    ...), 73 FR 64379 (October 29, 2008) (SR-NYSE-2008-46) (``New Market Model Approval Order''). \\7\\ The New... Release No. 64761 (June 28, 2011), 76 FR 39147 (July 5, 2011) (SR-NYSE-2011-29). In addition to their... business. \\18\\ See Securities Exchange Act Release No. 55397 (March 5, 2007), 72 FR 11066 (March 12,...

  11. 75 FR 79435 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-20

    ...\\ \\4\\ See Securities Exchange Act Release Nos. 59755 (April 13, 2009), 74 FR 18009 (April 20, 2009) (SR-NYSE-2009-18) (order granting approval of the Pilot); 60809 (October 9, 2009), 74 FR 53532 (October 19... 31, 2009), 75 FR 1107 (January 8, 2010) (SR-NYSE-2009-131) (extending the operation of the Pilot...

  12. 75 FR 21061 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-22

    ... proposes to delete obsolete references to the CHX Floor, floor brokers, co-specialists and market makers and replace them with references to Exchange-registered Market Maker Traders (``MMTs'') and...'s facilities. IBRs replaced the now-defunct floor broker role and MMTs replaced the old market...

  13. 78 FR 7824 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-04

    ... ensuring that only a fractional amount of orders submitted to the Program would not qualify as Retail... That ``Substantially All'' Orders Submitted To The Retail Liquidity Program Will Qualify As ``Retail Orders'' January 28, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934...

  14. 77 FR 29730 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Designation...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-18

    ... (November 10, 2011), 76 FR 71405 (SR-NYSEAmex-2011-86) and 65736 (November 10, 2011), 76 FR 71399 (SR-NYSE-2011-56). \\5\\ See Securities Exchange Act Release No. 66036, 76 FR 82011 (December 29, 2011). On... Act Release No. 66397, 77 FR 10586 (February 22, 2012) (``Order Instituting Proceedings''). \\7\\...

  15. 78 FR 38764 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-27

    ... permanent or January 31, 2014. \\4\\ See Securities Exchange Act Release No. 58877 (October 29, 2008), 73 FR... Act Release Nos. 59869 (May 6, 2009), 74 FR 22796 (May 14, 2009) (SR- NYSE-2009-46) (extending the operation of the SLP Pilot to October 1, 2009); 60756 (October 1, 2009), 74 FR 51628 (October 7, 2009)...

  16. 78 FR 47807 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-06

    ... Release No. 67037 (May 21, 2012), 77 FR 31415 (May 25, 2012) (SR-NYSEAmex-2012-32). \\3\\ See Securities Exchange Act Release No. 67347, 77 FR 40673 (July 10, 2012) (SR-NYSE-2011-55; SR-NYSEAmex-2011-84) (``Order...\\ See Order, supra note 3, 77 FR at 40681. Therefore, it is hereby ordered that, pursuant to Rule...

  17. 75 FR 57541 - Self-Regulatory Organizations; New York Stock Exchange LLC and NYSE Amex LLC; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-21

    .... \\3\\ See Securities Exchange Act Release Nos. 62312 (June 17, 2010), 75 FR 36138; and 62311 (June 17, 2010), 75 FR 36140 (each a ``Notice'' and collectively, the ``Notices''). \\4\\ See Anonymous Letter... COMMISSION [Release No. 34-62923; File Nos. SR-NYSE-2010-20 and SR-NYSEAmex-2010- 25]...

  18. 78 FR 8677 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-06

    ... 31, 2012), 77 FR 33498 (June 6, 2012) (the ``Limit Up-Limit Down Release''). II. Self-Regulatory..., 2010), 75 FR 56613 (September 16, 2010) (SR-NYSE-2010-47). See also Securities Exchange Act Release Nos. 63479 (December 9, 2010), 75 FR 78274 (December 15, 2010) (SR-NYSE-2010-80); 64232 (April 7, 2011),...

  19. 77 FR 42525 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Disapproving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-19

    ... (November 10, 2011), 76 FR 71405 (SR-NYSEAmex-2011-86) (``NYSE Amex Notice'') and 65736 (November 10, 2011), 76 FR 71399 (SR-NYSE-2011-56) (``NYSE Notice''). \\5\\ See Securities Exchange Act Release No. 66036, 76 FR 82011 (December 29, 2011). On February 15, 2012, the Commission instituted proceedings...

  20. 78 FR 51251 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-20

    ... Effectiveness of Proposed Changes to the Price List August 14, 2013. Pursuant to Section 19(b)(1) of the... The Exchange proposes to amend its Price List to (i) add a new credit for agency cross trades, (ii... amend its Price List to (i) add a new credit for agency cross trades, (ii) revise the fees...

  1. 78 FR 18402 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-26

    ...). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release Nos. 68747 (Jan. 28, 2013), 78 FR 7824 (SR-NYSE-2013-08); and 68746 (Jan. 28, 2013), 78 FR 7842 (SR-NYSEMKT-2013-07). \\4\\ See Letter to the... From the Federal Register Online via the Government Publishing Office SECURITIES AND...

  2. 78 FR 38420 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-26

    ... Release No. 69295 (April 4, 2013), 78 FR 21457 (April 10, 2013). LRPs are calculated by adding and... market centers.\\13\\ \\13\\ See Securities Exchange Act Release No. 51808 (June 9, 2005), 70 FR 37496, 37499... Securities Ineligible for Automatic Executions From $1,000.00 or More to $10,000.00 or More June 20,...

  3. 75 FR 22169 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-27

    ...). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 61694 (March 11, 2010), 75 FR 13170... To Amend the Bylaws of NYSE Euronext To Adopt a Majority Voting Standard in Uncontested Elections of.... NYSE proposed to amend the Corporation's By-Laws to add an explicit majority voting provision...

  4. 75 FR 22671 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-29

    ... Effectiveness of Proposed Rule Change To Amend Its Immediate Release Policy To Remove the Address Contact... Manual (the ``Manual'') to remove the contact information provided in that rule for national news wire... Press International. As a convenience, the Exchange has included in Section 202.06(c) \\5\\...

  5. 78 FR 71002 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-27

    ... Mecane, EVP & Head of U.S. Equities, NYSE Euronext before the Subcommittee on Securities, Insurance and... (January 14, 2010), 75 FR 3594, 3613 (January 21, 2010) (``Equity Market Structure Concept Release'') (``It... Securities Exchange Act Release No. 60997 (Nov. 13, 2009), 74 FR 61208, 61233 (Nov. 23, 2009) (``Dark...

  6. 76 FR 612 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-05

    ...), 73 FR 65904 (November 5, 2008) (SR-NYSE-2008-108) (establishing the SLP Pilot). See also Securities Exchange Act Release Nos. 59869 (May 6, 2009), 74 FR 22796 (May 14, 2009) (SR- NYSE-2009-46) (extending the operation of the SLP Pilot to October 1, 2009); 60756 (October 1, 2009), 74 FR 51628 (October 7, 2009)...

  7. 78 FR 1280 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-08

    ... (October 29, 2008), 73 FR 65904 (November 5, 2008) (SR-NYSE-2008-108) (establishing the SLP Pilot). See also Securities Exchange Act Release Nos. 59869 (May 6, 2009), 74 FR 22796 (May 14, 2009) (SR- NYSE-2009-46) (extending the operation of the SLP Pilot to October 1, 2009); 60756 (October 1, 2009), 74...

  8. 76 FR 617 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-05

    ... (October 24, 2008), 73 FR 64379 (October 29, 2008) (SR-NYSE-2008-46); See also Securities Exchange Act Release Nos. 60756 (October 1, 2009), 74 FR 51628 (October 7, 2009) (SR-NYSE-2009-100) (extending Pilot to November 30, 2009); 61031 (November 19, 2009), 74 FR 62368 (November 27, 2009)...

  9. 76 FR 82340 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-30

    ...), 73 FR 64379 (October 29, 2008) (SR-NYSE-2008-46). See also Securities Exchange Act Release Nos. 60756 (October 1, 2009), 74 FR 51628 (October 7, 2009) (SR-NYSE-2009-100) (extending Pilot to November 30, 2009); 61031 (November 19, 2009), 74 FR 62368 (November 27, 2009) (SR-NYSE-2009-113) (extending Pilot to...

  10. 76 FR 82342 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-30

    ... Securities Exchange Act Release No. 58877 (October 29, 2008), 73 FR 65904 (November 5, 2008) (SR-NYSE-2008...), 74 FR 22796 (May 14, 2009) (SR- NYSE-2009-46) (extending the operation of the SLP Pilot to October 1, 2009); 60756 (October 1, 2009), 74 FR 51628 (October 7, 2009) (SR-NYSE-2009-100) (extending...

  11. 77 FR 63914 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-17

    ... Nos. 33-9330; 34-67220 (June 20, 2012); 77 FR 38422 (June 27, 2012) (``Adopting Release''). The... Securities Exchange Act Release No. 51691 (May 12, 2005), 70 FR 28973 (May 19, 2005) (SR-CSE-2003-06...; (iii) closed-end and open-end funds registered under the 1940 Act; (iv) passive business...

  12. 78 FR 42573 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-16

    .... Background On July 30, 2007, the National Association of Securities Dealers, Inc. (``NASD''), NYSE, and NYSE... retained FINRA to perform the market surveillance and enforcement functions that had previously been..., 2013.\\7\\ \\4\\ See Securities Exchange Act Release No. 56148 (July 26, 2007), 72 FR 42146 (Aug. 1,...

  13. 75 FR 29795 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-27

    .... 61542 (February 18, 2010), 75 FR 8768 (February 25, 2010) (order approving SR-FINRA- 2009-093). II. Self.... Background: On July 30, 2007, FINRA's predecessor, the National Association of Securities Dealers, Inc... effective December 15, 2008.\\5\\ \\5\\ See Securities Exchange Act Release Nos. 56148 (July 26, 2007), 72...

  14. 75 FR 33877 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-15

    ....nyse.com . \\3\\ See Securities Exchange Act Release No. 61808 (March 31, 2010), 75 FR 17456 (April 6... changes filed by FINRA and approved by the Commission. Background On July 30, 2007, FINRA's predecessor... Release Nos. 56148 (July 26, 2007), 72 FR 42146 (August 1, 2007) (order approving the Agreement);...

  15. 75 FR 45188 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-02

    ... 30, 2009), 74 FR 64109 (December 7, 2009) (order approving SR-FINRA- 2009-067). II. Self-Regulatory... correspond with rule changes filed by FINRA and approved by the Commission. Background On July 30, 2007... Exchange Act Release Nos. 56148 (July 26, 2007), 72 FR 42146 (August 1, 2007) (order approving...

  16. 78 FR 48520 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-08

    ... Exchange Act Release No. 67347 (July 3, 2012), 77 FR 40673 (July 10, 2012) (``RLP Approval Order'') (SR- NYSE-2011-55). Background In July 2012, the Commission approved the Retail Liquidity Program on a pilot... to and perfect the mechanism of a free and open market and a national market system, and, in...

  17. 77 FR 10581 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-22

    ... 440B. \\4\\ See Rule 13 for definitions of MOC and LOC orders. Background Exchange Rule 123C(4) describes... information is intended to provide market participants with a snapshot of the prices at which interest... Imbalance. \\5\\ As defined in Rule 13, a Sell Plus order is a market or limit order to sell a stated...

  18. 78 FR 42988 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-18

    ..., 77 FR at 68189. \\21\\ See id. at 68189-68190. As a result of these changes to its market and to... Securities Exchange Act Release No. 68185 (November 8, 2012), 77 FR 68188 (SR-NYSE-2012-57) (``NYSE Notice''); Release No. 68186 (November 8, 2012), 77 FR 68191 (SR-NYSEMKT-2012-58) (``NYSE MKT Notice''). On...

  19. 75 FR 77024 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-10

    ... as a New Market Class on NYSE Under a Pilot Program December 6, 2010. Pursuant to Section 19(b)(1) \\1... desire to trade only debt securities on the Exchange; and (2) establish a new class of NYSE market... securities on the NYSE; and (2) adopt new Rule 88 to establish BLPs, a new class of debt market...

  20. 75 FR 18563 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-12

    ... (November 30, 2009), 74 FR 64112 (December 7, 2009) (SR-NYSE- 2009-119) (extending the operation of the SLP... through September 30, 2010. \\3\\ See Securities Exchange Act Release No. 58877 (October 29, 2008), 73 FR... Act Release No. 59869 (May 6, 2009), 74 FR 22796 (May 14, 2009) (SR- NYSE-2009-46) (extending...

  1. 75 FR 58455 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-24

    ... No. 62252 (June 10, 2010), 75 FR 34186 (June 16, 2010) (SR-NYSE-2010-39). See also Securities Exchange Act Release No. 62884 (September 10, 2010), 75 FR 56618 (September 16, 2010) (SR-NYSE-2010-49... Change Amending Rule 104 To Adopt Pricing Obligations for Designated Market Makers September 20,...

  2. 76 FR 21086 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-14

    ... Release No. 54766 (November 16, 2006), 71 FR 67657 (November 22, 2006). Under the exemptive order, among... unlisted note, bond, debenture or evidence of indebtedness that is: (1) Statutorily exempt from the... Exchange, such as General Electric, DOW Chemical, Goldman Sachs and Caterpillar, that involve issuances...

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-13

    .... 70099 (August 2, 2013), 78 FR 48522 (SR-NYSE-2013-54) (``NYSE Notice''); 70098 (August 2, 2013), 78 FR 48513 (SR-NYSEMKT-2013-66) (``NYSE MKT Notice''); and 70097 (August 2, 2013), 78 FR 48528 (SR-NYSEARCA...\\ See Securities Exchange Act Release No. 34-70463, 78 FR 59390 (September 26, 2013). \\7\\ In...

  4. 78 FR 79534 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-30

    ... Exchange Act Release Nos. 69427 (Apr. 23, 2013), 78 FR 25118 (SR-NYSE-2013-21) (``NYSE Notice'') and 69428 (Apr. 23, 2013), 78 FR 25102 (SR-NYSEMKT-2013-25) (``NYSE MKT Notice'') (collectively ``Notices''). On... Economics, and Yuval Millo, Professor of Social Studies of Finance, University of Leicester (May 20,...

  5. 76 FR 12774 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-08

    ... No. 55590 (April 5, 2007), 72 FR 18707 (April 13, 2007) (notice of immediate effectiveness of SR-NYSE-2007-29); see also Securities and Exchange Act Release No. 58680 (September 29, 2008), 73 FR 58283... (July 28, 2006), 71 FR 44758 (August 7, 2006) (order approving SR-NYSE-2006- 13); see also...

  6. 78 FR 6389 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-30

    .... 68220 (November 13, 2012), 77 FR 69528 (November 19, 2012) (SR-NYSE-2012-66). Rule 440B sets forth how... Effectiveness of Proposed Rule Change Amending Rule 440B To Provide How the Trigger Price Will Be Calculated if... The Exchange proposes to amend Rule 440B to provide how the Trigger Price will be calculated...

  7. 76 FR 50505 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-15

    ... (September 10, 2010), 75 FR 56613 (September 16, 2010) (SR-NYSE-2010-47). See also Securities Exchange Act Release Nos. 63479 (December 9, 2010), 75 FR 78274 (December 15, 2010) (SR-NYSE-2010-80) and 64232 (April 7, 2011), 76 FR 20735 (April 13, 2011) (SR-NYSE-2011-17). On September 10, 2010, the...

  8. 76 FR 73756 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-29

    ... goal of enfranchising shareholders. See Securities Exchange Act Release No. 60215 (July 1, 2009), 74 FR.... 62874 (September 9, 2010), 75 FR 56152 (September 15, 2010) (SR-NYSE-2010-59) and 62992 (September 24, 2010), 75 FR 60844 (October 1, 2010) (SR- Nasdaq-2010-114). V. Conclusion It is therefore...

  9. 78 FR 38753 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-27

    ... No. 58845 (October 24, 2008), 73 FR 64379 (October 29, 2008) (SR-NYSE-2008-46). See also Securities Exchange Act Release Nos. 60756 (October 1, 2009), 74 FR 51628 (October 7, 2009) (SR-NYSE-2009-100) (extending Pilot to November 30, 2009); 61031 (November 19, 2009), 74 FR 62368 (November 27, 2009)...

  10. 76 FR 77040 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-09

    ...), 73 FR 64379 (October 29, 2008) (SR-NYSE-2008-46). See also Securities Exchange Act Release Nos. 60756 (October 1, 2009), 74 FR 51628 (October 7, 2009) (SR-NYSE-2009-100) (extending Pilot to November 30, 2009); 61031 (November 19, 2009), 74 FR 62368 (November 27, 2009) (SR-NYSE-2009-113) (extending Pilot to...

  11. 78 FR 43947 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-22

    ... Market Maker Transactions and Revise the Annual Trading License Fees July 16, 2013. Pursuant to Section... certain Designated Market Maker (``DMM'') transactions and revise the annual trading license fees. The... and revise the annual trading license fees. The Exchange proposes to implement the fee...

  12. 78 FR 2312 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-10

    ... Effectiveness of Proposed Rule Change Amending Its Price List To Adopt a Trading License Fee for Calendar Year... Price List to adopt a trading license fee for calendar year 2013. The Exchange proposes to make the rule... its Price List to adopt a trading license fee for calendar year 2013. NYSE Rule 300(b) provides...

  13. 78 FR 11928 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-20

    ... CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 68185 (November 8, 2012), 77 FR 68188 (November 15, 2012) (SR-NYSE-2012-57) (``NYSE Notice''); Release No. 68186 (November 8, 2012), 77 FR 68191... Act Release No. 68522 (December 21, 2012), 77 FR 77160 (December 31, 2012) (SR-NYSE-2012-57);...

  14. 77 FR 69528 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-19

    ... (``Short Sale Price Test''). Among other things, Rule 201 requires trading centers to establish, maintain... funds, and various indices, among other things. Accordingly, on November 12, 2012, the Exchange needed... whether a Short Sale Price Test has been triggered for a covered security. Among other things, Rule...

  15. 75 FR 32831 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-09

    ... its members. Among other things, the change to the fee schedule would increase revenue to the Exchange... Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an e-mail to rule-comments@sec.gov... Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml ). Copies of the submission,...

  16. 78 FR 62889 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... boards of directors of listed companies are eager to understand corporate governance best practices and.... Specifically, the Exchange proposes to include corporate governance tools and advisory services with a commercial value of approximately $45,000 annually (the ``Enhanced Package''), corporate governance...

  17. 76 FR 24078 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-29

    ..., 2008), 73 FR 64379 (October 29, 2008) (SR-NYSE- 2008-46) (establishing the ``New Market Model Pilot'' or ``Pilot''). See also Securities Exchange Act Release Nos. 60756 (October 1, 2009), 74 FR 51628... FR 62368 (November 27, 2009) (SR-NYSE-2009-113) (extending Pilot to March 30, 2010); 61724 (March...

  18. 76 FR 18278 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-01

    .... 61595 (February 26, 2010), 75 FR 11232 (March 10, 2010) (File No. S7-08-09; Amendments to Regulation SHO...). \\6\\ See Securities Exchange Act Release No. 63977 (February 25, 2010), 76 FR 12165 (March 4, 2011... Short Sale Orders During a Period When the Short Sale Price Test Restrictions of Rule 201 of...

  19. 77 FR 12629 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-01

    ... Release Nos. 65671 (November 2, 2011), 76 FR 69774 (SR-NYSEAmex-2011-84); 65672 (November 2, 2011), 76 FR.... 66003, 76 FR 80445 (December 23, 2011). \\7\\ 17 CFR 242.612(c). \\8\\ The Exchanges amended the exemptive...-66346, 77 FR 7628 (February 13, 2012) (``Order Instituting Proceedings''). \\12\\ See id. The...

  20. 78 FR 25327 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-30

    ... Securities Exchange Act Release Nos. 56148 (July 26, 2007), 72 FR 42146 (August 1, 2007) (order approving the Agreement); 56147 (July 26, 2007), 72 FR 42166 (August 1, 2007) (SR-NASD-2007- 054) (order approving the incorporation of certain NYSE Rules as ``Common Rules''); and 60409 (July 30, 2009), 74 FR 39353 (August 6,...

  1. 75 FR 81701 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-28

    ... (January 18, 2008), 73 FR 4929 (January 28, 2008) (SR-NYSE-2008-04). \\4\\ See Securities Exchange Act Release Nos. 57823 (May 15, 2008), 73 FR 29804 (May 22, 2008) (SR-NYSE-2008-38), 59178 (December 30, 2008), 74 FR 748 (January 7, 2009) (SR-NYSE-2008-137), 61201 (December 18, 2009), 74 FR 68651 (December...

  2. 75 FR 40004 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-13

    ... No. 57176 (January 18, 2008), 73 FR 4929 (January 28, 2008) (SR-NYSE-2008-04). \\4\\ See Securities Exchange Act Release Nos. 57823 (May 15, 2008), 73 FR 29804 (May 22, 2008) (SR-NYSE-2008-38), 59178 (December 30, 2008), 74 FR 748 (January 7, 2009) (SR-NYSE-2008-137) and 61201 (December 18, 2009), 74...

  3. 75 FR 21080 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-22

    ... Release No. 61350 (January 14, 2010), 75 FR 3767 (January 22, 2010) (SR-NYSE-2010-01); see also Securities Exchange Act Release No. 61520 (February 16, 2010), 75 FR 8163, (February 23, 2010) (SR-NYSE-2010-06). II.... 59229 (January 12, 2009) 74 FR 3119 (January 16, 2009) (SR-NYSE-2009-01). \\7\\ See Securities...

  4. 77 FR 56894 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-14

    ..., ] clearing, settling, processing information with respect to, and facilitating transactions in securities, to... transactions of block size. The proposed rule change was published for comment in the Federal Register on July... Securities Exchange Act Release No. 67488 (July 23, 2012), 77 FR 44302 (``Notice''). II. Description of...

  5. 78 FR 79044 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-27

    ... Effectiveness of Proposed Rule Change to Offer Risk Management Tools Designed to Allow Member Organizations to... Substance of the Proposed Rule Change The Exchange proposes to offer risk management tools designed to allow... risk management tools designed to allow member organizations to monitor and address exposure to...

  6. 76 FR 75586 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-02

    ..., Inc., Article V, Section 6(e). Consistent with analogous provisions of recently approved governance...). \\6\\ See Securities Exchange Act Release No. 55389 (March 2, 2007), 72 FR 10575 (March 8, 2007) (SR... (January 25, 2007), 72 FR 4745 (February 1, 2007) (SR-CBOE- 2006-110) (the ``CBSX Notice of Filing'')....

  7. 78 FR 51758 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Order...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-21

    ... Act.\\27\\ \\27\\ See, e.g., NYSE-Euronext Merger Order, 72 FR at 8037. 2. NYX Holdings and NYSE Group... information would be for a commercial purpose. See, e.g., NYSE- Euronext Merger Order, supra note 25, 72 FR at....19b-4. \\4\\ See Securities Exchange Act Release Nos. 69851 (June 25, 2013), 78 FR 39407 (July 1,...

  8. 78 FR 18377 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Designation of a Longer...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-26

    ...). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 68807 (February 1, 2013), 78 FR... Period for Commission Action on Proposed Rule Change To Adopt a New Order Type Called the ``Auto-Ex Only... new order type called the ``Auto-Ex Only'' Order. The proposed rule change was published for...

  9. 76 FR 24943 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-03

    ... consistent with Rule 201.\\6\\ \\5\\ See Securities Exchange Act Release No. 61595 (February 26, 2010), 75 FR... Act Release No. 63977 (February 25, 2011), 76 FR 12165 (March 4, 2011) (SR-NYSE-2011-05). Under Rule....600(b)(55). The single plan processors are ``exclusive processors'' as defined under Section...

  10. 78 FR 19340 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-29

    ... interest in the Company. In addition, the Exchange, through its wholly-owned subsidiary NYSE Market, Inc... (January 22, 2009), 74 FR 5014 (January 28, 2009) (SR-NYSE-2008-120) (the ``Approval Order''). The.... 58970 (November 17, 2008), 73 FR 71062 (November 24, 2008) (SR-NYSE-2008-120) (the ``Notice'') at...

  11. 78 FR 40252 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-03

    ... Bylaws of the Exchange's wholly owned subsidiary, NYSE Market, Inc.\\13\\ \\11\\ See Notice, 78 FR at 30379... Proposing an Amendment to the Bylaws of Its Wholly-Owned Subsidiary, NYSE Regulation, Inc. (``NYSE...\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to amend the bylaws of its...

  12. 76 FR 12165 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-04

    ... (Feb. 26, 2010), 75 FR 11232 (Mar. 10, 2010) (``Rule 201 Adopting Release''). In the Rule 201 Adopting... Release, 75 FR 11232. The Rule 201 compliance date, originally set for November 10, 2010, was extended to February 28, 2011 in Securities Exchange Act Release No. 63247 (Nov. 4, 2010), 75 FR 68702 (Nov. 9,...

  13. 76 FR 31659 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-01

    ... Nos. 62605 (July 30, 2010), 75 FR 47651 (August 6, 2010) (SR-NASDAQ-2010-068); 62928 (September 17, 2010), 75 FR 58002 (September 23, 2010) (SR-EDGA-2010-09); 62929 (September 17, 2010), 75 FR 58003... contracted directly with Correlix to use their RaceTeam latency measurement service for the Exchange....

  14. 77 FR 47161 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; Order...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-07

    ... Securities Exchange Act Release Nos. 67185 (June 12, 2011), 77 FR 36321 (SR-NYSE-2012-17); 67186 (June 12, 2012), 77 FR 36307 (SR-NYSEArca-2012-59); 67184 (June 12, 2012), 77 FR 36324 (SR- NYSEMKT-2012-07). The...; SR-ISE-2011- 69; SR-NYSE-2011-51; SR-NYSEAmex-2011-78; SR-NYSEArca-2011-72), 77 FR 3297 (January...

  15. 76 FR 27675 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-12

    ... Release No. 62252 (June 10, 2010), 75 FR 34186 (June 16, 2010) (File Nos. SR-BATS-2010-014; SR-EDGA-2010... Securities Exchange Act Release No. 62251 (June 10, 2010), 75 FR 34183 (June 16, 2010) (SR-FINRA-2010-025..., 2010), 75 FR 34498 (June 17, 2010) (SR-NYSE-2010-45). \\4\\ The Commission approved the addition to...

  16. 78 FR 64043 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-25

    ... continued listing standards. \\6\\ See Securities Exchange Act Release No. 49154 (January 29, 2004), 69 FR... qualified to list under the Valuation/ Revenue with Cash Flow Test set out in Section 102.01C(II)(a) or... Valuation/ Revenue Test set out in Section 102C.01(II)(b) or in Section 103.01B(II)(b) will be considered...

  17. 76 FR 27683 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-12

    ... Release No. 62252 (June 10, 2010), 75 FR 34186 (June 16, 2010) (File Nos. SR-BATS-2010-014; SR-EDGA-2010... Securities Exchange Act Release No. 62251 (June 10, 2010), 75 FR 34183 (June 16, 2010) (SR-FINRA-2010-025..., 2010), 75 FR 34498 (June 17, 2010) (SR-NYSE-2010-45). \\4\\ The Commission approved the addition to...

  18. 78 FR 48522 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-08

    ...), 74 FR 68643 (December 28, 2009) (SR-NYSE-2009-105). \\6\\ NYSE Arca trades equity securities on the.... 69851 (June 25, 2013), 78 FR 39407 (July 1, 2013) (SR-NYSE-2013-42). Rules 49(b)(1) and 49(b)(2)(i... Exchange Act Release No. 64422 (May 6, 2011), 76 FR 27691 (May 12, 2011) (SR-NYSEArca-2011-26)....

  19. 75 FR 51138 - Self-Regulatory Organizations; BATS Exchange, Inc.; Chicago Board Options Exchange, Incorporated...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-18

    ... Exchange Act Release Nos. 62251 (June 10, 2010), 75 FR 34183 (June 16, 2010); 62252 (June 10, 2010), 75 FR...; BATS Exchange, Inc.; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA... Securities Exchange LLC; NASDAQ OMX BX, Inc.; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.;...

  20. 26 CFR 1.1032-3 - Disposition of stock or stock options in certain transactions not qualifying under any other...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... difference between the fair market value of the issuing corporation stock and the amount of money or the fair... 26 Internal Revenue 11 2014-04-01 2014-04-01 false Disposition of stock or stock options in...) INCOME TAXES (CONTINUED) Common Nontaxable Exchanges § 1.1032-3 Disposition of stock or stock options...

  1. 26 CFR 1.1032-3 - Disposition of stock or stock options in certain transactions not qualifying under any other...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... difference between the fair market value of the issuing corporation stock and the amount of money or the fair... 26 Internal Revenue 11 2012-04-01 2012-04-01 false Disposition of stock or stock options in...) INCOME TAXES (CONTINUED) Common Nontaxable Exchanges § 1.1032-3 Disposition of stock or stock options...

  2. 26 CFR 1.1032-3 - Disposition of stock or stock options in certain transactions not qualifying under any other...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... difference between the fair market value of the issuing corporation stock and the amount of money or the fair... 26 Internal Revenue 11 2011-04-01 2011-04-01 false Disposition of stock or stock options in...) INCOME TAXES (CONTINUED) Common Nontaxable Exchanges § 1.1032-3 Disposition of stock or stock options...

  3. EXCHANGE

    SciTech Connect

    Boltz, J.C.

    1992-09-01

    EXCHANGE is published monthly by the Idaho National Engineering Laboratory (INEL), a multidisciplinary facility operated for the US Department of Energy (DOE). The purpose of EXCHANGE is to inform computer users about about recent changes and innovations in both the mainframe and personal computer environments and how these changes can affect work being performed at DOE facilities.

  4. Therapeutic apheresis in Taiwan.

    PubMed

    Yeh, J H; Chiu, H C

    2001-12-01

    From July 1, 1999, to June 30, 2000, the Formosan Blood Purification Society conducted a survey on the current status of therapeutic apheresis (TA) treatments in Taiwan. There were 13 centers with a total of 437 patients, 498 courses, and 2,086 procedures. The most common indication was for neurological disorders (58.4%), which included mainly myasthenia gravis (34.9%) and Guillain-Barré syndrome (18.2%). The other indications were hematological disorders (19.3%), hepatic-pancreatic disorders (12.3%), and rheumatic disorders (7.1%). Seventy-one percent of TA treatments were reported to be effective. Plasma exchange (PE) performed by either centrifugation or the filtration method constituted 55.4% of TA treatments, the double-filtration (DF) method constituted 39.3% of treatments, and cytapheresis constituted 5.3% of treatments. The most common machines used for TA were the Plasauto iQ, the KM 8800, the Hemonetics series, and the Fenwal CS-3000. The overall frequency of complications was 42.2% per course and 12.9% per procedure. Among them, fever, urticaria, and hypotension were the major complications. As compared with the trends of TA treatment in the world, PE still represents the major TA treatment in Taiwan, which should be replaced by DF or more selective adsorptive methods to reduce the PE-related adverse effects. PMID:11800091

  5. Stochastic GARCH dynamics describing correlations between stocks

    NASA Astrophysics Data System (ADS)

    Prat-Ortega, G.; Savel'ev, S. E.

    2014-09-01

    The ARCH and GARCH processes have been successfully used for modelling price dynamics such as stock returns or foreign exchange rates. Analysing the long range correlations between stocks, we propose a model, based on the GARCH process, which is able to describe the main characteristics of the stock price correlations, including the mean, variance, probability density distribution and the noise spectrum.

  6. 75 FR 52558 - Self-Regulatory Organizations; BATS Exchange, Inc.; Chicago Board Options Exchange, Incorporated...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-26

    ... contained a typographical error in the signature block. In the Federal Register of August 18, 2010, in FR...; BATS Exchange, Inc.; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA... Securities Exchange LLC; NASDAQ OMX BX, Inc.; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.;...

  7. Taiwan: Background Notes Series.

    ERIC Educational Resources Information Center

    Reams, Joanne Reppert

    Concise background information on Taiwan is provided. The publication begins with a profile of Taiwan, discussing the people, geography, political establishment, and economy. A map of the country is provided. The bulk of the publication then provides more detailed information on Taiwan's people, geography, history, administration, political…

  8. Occupational safety and health aspects of corporate social responsibility (CSR) in Japanese companies listed on the Tokyo Stock Exchange (TSE) first section.

    PubMed

    Kawashita, Futoshi; Taniyama, Yukari; Hwi, Song You; Fujisaki, Takeshi; Kameda, Takashi; Mori, Koji

    2005-11-01

    Recently, corporate social responsibility (CSR) is becoming widely recognized as an issue for Japanese companies. Corporate responsibility for employees is considered important by various stakeholders, and occupational safety and health is regarded as one of these responsibilities. The present authors examined this issue from the viewpoint of corporate management by analysis of statements found in CSR-related reports. For companies listed on the First Section of the Tokyo Stock Exchange (TSE), we searched for CSR-related reports, and titles and contents, based on two established guidelines: the GRI Sustainability Reporting Guidelines 2002 as the international reference and the Environmental Reporting Guidelines of the Ministry of the Environment, Government of Japan, as the domestic reference. Corporations that published CSR reports were 26.3% (416/1,581) of the total, and large differences were recognized by type of industry. Comparing the numbers of pages for various contents, more concern was shown about the environment than about social activity, indicating the environment to be the main issue of CSR in Japan. In the items included in the guidelines, many matters about occupational accidents were mentioned, but it was found that statements regarding HIV/AIDS, which is not of such strong social concern in Japan, and statements regarding the costs of safety that are difficult to calculate were few. However, statements regarding mental health, which is of high interest socially, were many, even though this issue is not included in the two guidelines used. In revising the guidelines, these matters should be reviewed. In the future, continuance of analysis of CSR-related reports with regard to changes and comparisons with overseas reports will help improve occupational safety and health. PMID:16369117

  9. Evolution in intergenerational exchanges between elderly people and their grandchildren in Taiwan; data from a multiple round cross-sectional study from 1993 to 2007

    PubMed Central

    2011-01-01

    Background This study aimed to evaluate social evolution in Taiwan in recent decades using the changing pattern of care provided by grandparents for their grandchildren as an indicator. Methods Data from the second, fourth and sixth wave surveys of the Study of Health and Living Status of the Middle-Aged and Elderly in Taiwan were used for the analysis. This survey collected individual characteristics, including age, gender, education, ethnicity, dwelling place, living with partners, co-resident with children, employment status, self-reported health status and their provision of care for their grandchildren. Information about the attitudes toward National Health Insurance (NHI) was further collected in a questionnaire of 1999 following the implementation of NHI in 1995. By elders, we mean persons 60 or more years old. By grandchildren, we mean persons under 16 years of age. First, changes in individual characteristics were compared during these study periods (chi-square test). Then the logistic regression was performed to determine how significantly elders' grandchild-care behavior was associated with their individual characteristics. Results The percentage of elders providing grandchild care increased from 7.7% in 1993 to 13.6% in 1999, and then to 19.4% in 2007. By analysis, significant association was found between behavior in taking care of grandchildren and individuals of lower age, grandmothers, those living with partners or co-residing with children, those unemployed and those with better self-reported health status. And the effect of year was confirmed in the multivariable analysis. Conclusions This study pointed out the changing pattern of elders' behavior in taking care of their grandchildren as the main indicator and their related individual characteristics. We argue the need for improving social security policies in an ageing society. We suggest that the interaction between population policies and those of social welfare, including policies for health care and childcare, should be carefully evaluated. PMID:21835009

  10. 75 FR 56613 - Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-16

    ....; NASDAQ OMX BX, Inc.; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; Order...

  11. The Workforce Education and Development in Taiwan

    ERIC Educational Resources Information Center

    Lee, Lung-Sheng

    2012-01-01

    Workforce education and development (WED) can be broadly defined as those formal, informal and nonformal activities that prepare people for work. In Taiwan, it includes technological and vocational education (TVE), human resource development (HRD), public vocational training and adult education. In order to promote information exchanges and…

  12. 26 CFR 25.2512-2 - Stocks and bonds.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ...) Based on selling prices. (1) In general, if there is a market for stocks or bonds, on a stock exchange... the return. (2) If it is established with respect to bonds for which there is a market on a stock..., respectively. The price of $12 is taken as representing the fair market value of a share of stock as of...

  13. Can stock enhancement enhance stocks?

    NASA Astrophysics Data System (ADS)

    Střttrup, J. G.; Sparrevohn, C. R.

    2007-02-01

    Successful stock enhancement or restocking requires a thorough understanding of the ecological processes that provide a potential for stocking within different ecosystems, i.e. determine which factors define the potential for stocking, such as population dynamics, economic cost-benefits, fisheries management and socio-economic impacts. Stocking is not simply a question of aquaculture logistics (i.e. the ability to produce a sufficient number of fry relative to the magnitude of the natural recruitment within the system), nor should it be a new outlet for aquaculture production. Quantitative targets should be set and the expected performance of the stocking tested. Potential loopholes, such as post-release mortality and habitat requirements related to the release, should be examined and resolved. If properly managed, stocking may lead to an increase in population, contribute to the local fishery and/or lead to an increase in the spawning stock biomass. The criteria for stocking are discussed in this paper using examples from flatfish and cod stocking programmes within specific ecosystems.

  14. The Stock Market Game: A Simulation of Stock Market Trading. Grades 5-8.

    ERIC Educational Resources Information Center

    Draze, Dianne

    This guide to a unit on a simulation game about the stock market contains an instructional text and two separate simulations. Through directed lessons and reproducible worksheets, the unit teaches students about business ownership, stock exchanges, benchmarks, commissions, why prices change, the logistics of buying and selling stocks, and how to…

  15. The Stock Market Game: A Simulation of Stock Market Trading. Grades 5-8.

    ERIC Educational Resources Information Center

    Draze, Dianne

    This guide to a unit on a simulation game about the stock market contains an instructional text and two separate simulations. Through directed lessons and reproducible worksheets, the unit teaches students about business ownership, stock exchanges, benchmarks, commissions, why prices change, the logistics of buying and selling stocks, and how to…

  16. [The Taiwan Nurses Association and professional diplomacy].

    PubMed

    Lee, Sheuan

    2014-08-01

    The Taiwan Nurses Association (TWNA) is publishing a special centenary issue to commemorate the 100th anniversary of the association in 2014. For this issue, TWNA invited the author to write a review article that addresses the involvement of the TWNA in professional diplomacy and international exchange over the past century. The author reviews the history of both TWNA and the International Council of Nurses and introduces the contributions of the association in the field of professional diplomacy and the positive contributions of many Taiwan nursing leaders to global healthcare and society. The purpose of the paper is to convey the traditions and experiences of TWNA forward to the next generation. PMID:25125155

  17. What Does Stock Ownership Breadth Measure?*

    PubMed Central

    Choi, James J.; Jin, Li; Yan, Hongjun

    2013-01-01

    Using holdings data on a representative sample of all Shanghai Stock Exchange investors, we show that increases in ownership breadth (the fraction of market participants who own a stock) predict low returns: highest change quintile stocks underperform lowest quintile stocks by 23% per year. Small retail investors drive this result. Retail ownership breadth increases appear to be correlated with overpricing. Among institutional investors, however, the opposite holds: Stocks in the top decile of wealth-weighted institutional breadth change outperform the bottom decile by 8% per year, consistent with prior work that interprets breadth as a measure of short-sales constraints. PMID:24764801

  18. 26 CFR 20.2031-2 - Valuation of stocks and bonds.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... a market for stocks or bonds, on a stock exchange, in an over-the-counter market, or otherwise, the... with respect to bonds for which there is a market on a stock exchange, that the highest and lowest... of $13 is taken as representing the fair market value of a share of X Company common stock as of...

  19. 26 CFR 20.2031-2 - Valuation of stocks and bonds.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 26 Internal Revenue 14 2011-04-01 2010-04-01 true Valuation of stocks and bonds. 20.2031-2 Section... Valuation of stocks and bonds. (a) In general. The value of stocks and bonds is the fair market value per... a market for stocks or bonds, on a stock exchange, in an over-the-counter market, or otherwise,...

  20. Maternity Leave in Taiwan

    ERIC Educational Resources Information Center

    Feng, Joyce Yen; Han, Wen-Jui

    2010-01-01

    Using the first nationally representative birth cohort study in Taiwan, this paper examines the role that maternity leave policy in Taiwan plays in the timing of mothers returning to work after giving birth, as well as the extent to which this timing is linked to the amount of time mothers spend with their children and their use of breast milk…

  1. Maternity Leave in Taiwan

    ERIC Educational Resources Information Center

    Feng, Joyce Yen; Han, Wen-Jui

    2010-01-01

    Using the first nationally representative birth cohort study in Taiwan, this paper examines the role that maternity leave policy in Taiwan plays in the timing of mothers returning to work after giving birth, as well as the extent to which this timing is linked to the amount of time mothers spend with their children and their use of breast milk…

  2. Market Reactions to Publicly Announced Privacy and Security Breaches Suffered by Companies Listed on the United States Stock Exchanges: A Comparative Empirical Investigation

    ERIC Educational Resources Information Center

    Coronado, Adolfo S.

    2012-01-01

    Using a sample of security and privacy breaches the present research examines the comparative announcement impact between the two types of events. The first part of the dissertation analyzes the impact of publicly announced security and privacy breaches on abnormal stock returns, the change in firm risk, and abnormal trading volume are measured.…

  3. Market Reactions to Publicly Announced Privacy and Security Breaches Suffered by Companies Listed on the United States Stock Exchanges: A Comparative Empirical Investigation

    ERIC Educational Resources Information Center

    Coronado, Adolfo S.

    2012-01-01

    Using a sample of security and privacy breaches the present research examines the comparative announcement impact between the two types of events. The first part of the dissertation analyzes the impact of publicly announced security and privacy breaches on abnormal stock returns, the change in firm risk, and abnormal trading volume are measured.…

  4. 17 CFR 256.152 - Fuel stock expenses undistributed.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Fuel stock expenses undistributed. 256.152 Section 256.152 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... UTILITY HOLDING COMPANY ACT OF 1935 3. Current and Accrued Assets § 256.152 Fuel stock...

  5. 17 CFR 256.152 - Fuel stock expenses undistributed.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Fuel stock expenses undistributed. 256.152 Section 256.152 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... UTILITY HOLDING COMPANY ACT OF 1935 3. Current and Accrued Assets § 256.152 Fuel stock...

  6. The dependence of Islamic and conventional stocks: A copula approach

    NASA Astrophysics Data System (ADS)

    Razak, Ruzanna Ab; Ismail, Noriszura

    2015-09-01

    Recent studies have found that Islamic stocks are dependent on conventional stocks and they appear to be more risky. In Asia, particularly in Islamic countries, research on dependence involving Islamic and non-Islamic stock markets is limited. The objective of this study is to investigate the dependence between financial times stock exchange Hijrah Shariah index and conventional stocks (EMAS and KLCI indices). Using the copula approach and a time series model for each marginal distribution function, the copula parameters were estimated. The Elliptical copula was selected to present the dependence structure of each pairing of the Islamic stock and conventional stock. Specifically, the Islamic versus conventional stocks (Shariah-EMAS and Shariah-KLCI) had lower dependence compared to conventional versus conventional stocks (EMAS-KLCI). These findings suggest that the occurrence of shocks in a conventional stock will not have strong impact on the Islamic stock.

  7. Taiwan Regulation of Biobanks.

    PubMed

    Fan, Chien-Te; Hung, Tzu-Hsun; Yeh, Chan-Kun

    2015-12-01

    This paper introduces legal framework and governance structure in relation to the management and development of biobanks in Taiwan. At first, we briefly describe Taiwan's population, political system and health care system. Secondly, this research introduces biobanking framework of Taiwan including 25 biobanks established with the approval of the Ministry of Health and Welfare. In those biobanks, "Taiwan Biobank" is the first and the largest government-supported biobank which comprises population-based cohort study and disease- oriented study. Since the collection of information, data, and biological specimen of biobanks often involve highly sensitive personal information, in the legal framework of Taiwan, there is a specific regulation, "Human Biobank Management Act" (HBMA), which plays an important role in regulating biobanks in Taiwan. HBMA, the Personal Information Act and other regulations constitute a comprehensive legal and regulatory privacy framework of biobanks. Through the introduction and analysis of the current legal framework applicable to biobanks, we found that there are several challenges that need to be solved appropriately that involve duplicate review systems, the obstacles in the international collaboration, and data sharing between biobanks in Taiwan. PMID:26711420

  8. Taiwan: growing, growing, gone.

    PubMed

    Hanson, R

    1979-10-01

    Accommodation between Taiwan and the People's Republic of China may not be inconceivable as trade contacts (though officially disallowed) grow. Because of Taiwan's well-established success and the pressing need in China to industrialize, it appears, however, that such an accommodation will occur only after China becomes more like Taiwan. Taiwan owes its success, first, to land reform and then, in the 1960s, to steady industrialization. Besides broad controls over money supply and capital designed to ward off inflationary pressures when needed, and the grand outlines for development, another factor in the island's economic success is that the government has interfered little with private enterprise. The economy has an underpinning of small to medium size businesses. There are more than 10,000 trading companies. This diverse foundation has given the economy as a whole a flexible buffer on which more sophisticated industires can be formed. PMID:12278253

  9. Using the Stock Market Game to Teach Economics.

    ERIC Educational Resources Information Center

    Lopus, Jane Schaerges

    1985-01-01

    The Stock Market Game is a computerized simulation that involves high school students in trading eligible New York Stock Exchange stocks in an effort to make capital gains. Time required is ten weeks. The game is described; economic concepts that can be taught using the game are listed. (RM)

  10. 26 CFR 1.1296-2 - Definition of marketable stock.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... multiple tiers. If an exchange in a foreign country has more than one tier or market level on which stock... 26 Internal Revenue 11 2010-04-01 2010-04-01 true Definition of marketable stock. 1.1296-2 Section... Definition of marketable stock. (a) General rule. For purposes of section 1296, the term marketable...

  11. 26 CFR 1.1041-2 - Redemptions of stock.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 26 Internal Revenue 11 2013-04-01 2013-04-01 false Redemptions of stock. 1.1041-2 Section 1.1041-2...) INCOME TAXES (CONTINUED) Common Nontaxable Exchanges § 1.1041-2 Redemptions of stock. (a) In general—(1) Redemptions of stock not resulting in constructive distributions. Notwithstanding Q&A-9 of § 1.1041-1T(c),...

  12. 26 CFR 1.1041-2 - Redemptions of stock.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 26 Internal Revenue 11 2011-04-01 2011-04-01 false Redemptions of stock. 1.1041-2 Section 1.1041-2...) INCOME TAXES (CONTINUED) Common Nontaxable Exchanges § 1.1041-2 Redemptions of stock. (a) In general—(1) Redemptions of stock not resulting in constructive distributions. Notwithstanding Q&A-9 of § 1.1041-1T(c),...

  13. 17 CFR 256.201 - Common stock issued.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Common stock issued. 256.201... COMPANY ACT OF 1935 Liabilities and Other Credit Accounts § 256.201 Common stock issued. This account shall include the par or stated value of all common capital stock issued and outstanding....

  14. 26 CFR 1.1041-2 - Redemptions of stock.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 26 Internal Revenue 11 2010-04-01 2010-04-01 true Redemptions of stock. 1.1041-2 Section 1.1041-2...) INCOME TAXES Common Nontaxable Exchanges § 1.1041-2 Redemptions of stock. (a) In general—(1) Redemptions of stock not resulting in constructive distributions. Notwithstanding Q&A-9 of § 1.1041-1T(c), if...

  15. 17 CFR 256.201 - Common stock issued.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Common stock issued. 256.201... COMPANY ACT OF 1935 Liabilities and Other Credit Accounts § 256.201 Common stock issued. This account shall include the par or stated value of all common capital stock issued and outstanding....

  16. 26 CFR 1.1041-2 - Redemptions of stock.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 26 Internal Revenue 11 2012-04-01 2012-04-01 false Redemptions of stock. 1.1041-2 Section 1.1041-2...) INCOME TAXES (CONTINUED) Common Nontaxable Exchanges § 1.1041-2 Redemptions of stock. (a) In general—(1) Redemptions of stock not resulting in constructive distributions. Notwithstanding Q&A-9 of § 1.1041-1T(c),...

  17. 26 CFR 1.1041-2 - Redemptions of stock.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 26 Internal Revenue 11 2014-04-01 2014-04-01 false Redemptions of stock. 1.1041-2 Section 1.1041-2...) INCOME TAXES (CONTINUED) Common Nontaxable Exchanges § 1.1041-2 Redemptions of stock. (a) In general—(1) Redemptions of stock not resulting in constructive distributions. Notwithstanding Q&A-9 of § 1.1041-1T(c),...

  18. 26 CFR 1.1042-1T - Questions and answers relating to the sales of stock to employee stock ownership plans or certain...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... stock to employee stock ownership plans or certain cooperatives (temporary). 1.1042-1T Section 1.1042-1T...) INCOME TAXES Common Nontaxable Exchanges § 1.1042-1T Questions and answers relating to the sales of stock to employee stock ownership plans or certain cooperatives (temporary). Q-1: What does section...

  19. The Index cohesive effect on stock market correlations

    NASA Astrophysics Data System (ADS)

    Shapira, Y.; Kenett, D. Y.; Ben-Jacob, E.

    2009-12-01

    We present empirical examination and reassessment of the functional role of the market Index, using datasets of stock returns for eight years, by analyzing and comparing the results for two very different markets: 1) the New York Stock Exchange (NYSE), representing a large, mature market, and 2) the Tel Aviv Stock Exchange (TASE), representing a small, young market. Our method includes special collective (holographic) analysis of stock-Index correlations, of nested stock correlations (including the Index as an additional ghost stock) and of bare stock correlations (after subtraction of the Index return from the stocks returns). Our findings verify and strongly substantiate the assumed functional role of the index in the financial system as a cohesive force between stocks, i.e., the correlations between stocks are largely due to the strong correlation between each stock and the Index (the adhesive effect), rather than inter-stock dependencies. The Index adhesive and cohesive effects on the market correlations in the two markets are presented and compared in a reduced 3-D principal component space of the correlation matrices (holographic presentation). The results provide new insights into the interplay between an index and its constituent stocks in TASE-like versus NYSE-like markets.

  20. 26 CFR 1.341-7 - Certain sales of stock of consenting corporations.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... stock of such consenting corporation (other than sale to such corporation) made by any of its... of section 341(f)(1) and (5)— (i) The term sale means a sale of exchange of stock at a gain, but only.... Thus, a sale or exchange of stock is not a “sale” within the meaning of section 341(f)(1) and (5)...

  1. 26 CFR 1.341-7 - Certain sales of stock of consenting corporations.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... stock of such consenting corporation (other than sale to such corporation) made by any of its... of section 341(f)(1) and (5)— (i) The term sale means a sale of exchange of stock at a gain, but only.... Thus, a sale or exchange of stock is not a “sale” within the meaning of section 341(f)(1) and (5)...

  2. 17 CFR 230.416 - Securities to be issued as a result of stock splits, stock dividends and anti-dilution provisions...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Securities to be issued as a result of stock splits, stock dividends and anti-dilution provisions and interests to be issued pursuant to certain employee benefit plans. 230.416 Section 230.416 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES...

  3. Wavelet neural networks for stock trading

    NASA Astrophysics Data System (ADS)

    Zheng, Tianxing; Fataliyev, Kamaladdin; Wang, Lipo

    2013-05-01

    This paper explores the application of a wavelet neural network (WNN), whose hidden layer is comprised of neurons with adjustable wavelets as activation functions, to stock prediction. We discuss some basic rationales behind technical analysis, and based on which, inputs of the prediction system are carefully selected. This system is tested on Istanbul Stock Exchange National 100 Index and compared with traditional neural networks. The results show that the WNN can achieve very good prediction accuracy.

  4. 26 CFR 1.1502-30 - Stock basis after certain triangular reorganizations.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... merges into S. In the merger, the T shareholders receive P stock worth $30 in exchange for their T stock..., T merges into S and the T shareholders receive $70 of P stock provided by P pursuant to the plan of... the only class of S stock. P has a $5 basis in its S stock. Pursuant to a plan, S merges into T with...

  5. Multilayer Stock Forecasting Model Using Fuzzy Time Series

    PubMed Central

    Javedani Sadaei, Hossein; Lee, Muhammad Hisyam

    2014-01-01

    After reviewing the vast body of literature on using FTS in stock market forecasting, certain deficiencies are distinguished in the hybridization of findings. In addition, the lack of constructive systematic framework, which can be helpful to indicate direction of growth in entire FTS forecasting systems, is outstanding. In this study, we propose a multilayer model for stock market forecasting including five logical significant layers. Every single layer has its detailed concern to assist forecast development by reconciling certain problems exclusively. To verify the model, a set of huge data containing Taiwan Stock Index (TAIEX), National Association of Securities Dealers Automated Quotations (NASDAQ), Dow Jones Industrial Average (DJI), and S&P 500 have been chosen as experimental datasets. The results indicate that the proposed methodology has the potential to be accepted as a framework for model development in stock market forecasts using FTS. PMID:24605058

  6. Induced abortion in Taiwan.

    PubMed

    Wang, P D; Lin, R S

    1995-04-01

    Induced abortion is widely practised in Taiwan; however, it had been illegal until 1985. It was of interest to investigate induced abortion practices in Taiwan after its legalization in 1985 in order to calculate the prevalence rate and ratio of induced abortion to live births and to pregnancies in Taiwan. A study using questionnaires through personal interviews was conducted on more than seventeen thousand women who attended a family planning service in Taipei metropolitan areas between 1991 and 1992. The reproductive history and sexual behaviour of the subjects were especially focused on during the interviews. Preliminary findings showed that 46% of the women had a history of having had an induced abortion. Among them, 54.8% had had one abortion, 29.7% had had two, and 15.5% had had three or more. The abortion ratio was 379 induced abortions per 1,000 live births and 255 per 1,000 pregnancies. The abortion ratio was highest for women younger than 20 years of age, for aboriginal women and for nulliparous women. When logistic regression was used to control for confounding variables, we found that the number of previous live births is the strongest predictor relating to women seeking induced abortion. In addition, a significant positive association exists between increasing number of induced abortions and cervical dysplasia. PMID:7738988

  7. Maternity Leave in Taiwan

    PubMed Central

    Feng, Joyce Yen; Han, Wen-Jui

    2011-01-01

    Using the first nationally representative birth cohort study in Taiwan, this paper examines the role that maternity leave policy in Taiwan plays in the timing of mothers returning to work after giving birth, as well as the extent to which this timing is linked to the amount of time mothers spend with their children and their use of breast milk versus formula. We found that the time when mothers returned to work coincided with the duration of guaranteed leave. In particular, mothers with a labor pension plan resumed work significantly earlier than mothers with no pension plan, and mothers with no pension plan returned to work significantly later than those with pension plans. The short leave of absence guaranteed under existing policies translated into mothers spending less time with their children and being more likely to exclusively use formula by 6 months after birth. In contrast, mothers who resumed work later than 6 months after birth were more likely to have not worked before birth or to have quit their jobs during pregnancy. Implications and recommendations for parental leave policy in Taiwan are discussed. PMID:21603074

  8. Stroke: a Hidden Danger of Margin Trading in Stock Markets.

    PubMed

    Lin, Shu-Hui; Wang, Chien-Ho; Liu, Tsai-Ching; Chen, Chin-Shyan

    2015-10-01

    Using 10-year population data from 2000 through 2009 in Taiwan, this is the first paper to analyze the relationship between margin trading in stock markets and stroke hospitalizations. The results show that 3 and 6 days after an increase of margin trading in the Taiwan stock markets are associated with greater stoke hospitalizations. In general, a 1 % increase in total margin trading positions is associated with an increment of 2.5 in the total number of stroke hospitalizations, where the mean number of hospital admissions is 233 cases a day. We further examine the effects of margin trading by gender and age groups and find that the effects of margin trading are significant for males and those who are 45-74 years old only. In summary, buying stocks with money you do not have is quite risky, especially if the prices of those stocks fall past a certain level or if there is a sudden and severe drop in the stock market. There is also a hidden danger to one's health from margin trading. A person should be cautious before conducting margin trading, because while it can be quite profitable, danger always lurks just around the corner. PMID:26014381

  9. Taiwan Space Programs

    NASA Astrophysics Data System (ADS)

    Liu, Jann-Yenq

    Taiwan space programs consist of FORMOSAT-1, -2, and -3, sounding rockets, and international cooperation. FORMOSAT-1, a low-earth-orbit (LEO) scientific experimental satellite, was launched on January 26, 1999. It circulates with an altitude of 600 km and 35 degree inclination around the Earth every 97 minutes, transmitting collected data to Taiwan's receiving stations approximately six times a day. The major mission of FORMOSAT-1 includes three scientific experiments for measuring the effects of ionospheric plasma and electrodynamics, taking the ocean color image and conducting Ka-band communication experiment. The FORMOSAT- 1 mission was ended by June 15, 2004. FORMOSAT-2, launched on May 21, 2004 onto the Sun-synchronous orbit located at 891 km above ground. The main mission of FORMOSAT-2 is to conduct remote sensing imaging over Taiwan and on terrestrial and oceanic regions of the entire earth. The images captured by FORMOSAT-2 during daytime can be used for land distribution, natural resources research, environmental protection, disaster prevention and rescue work etc. When the satellite travels to the eclipsed zone, it observes natural phenomena of lighting in the upper atmosphere. FORMOSAT-3 is an international collaboration project between Taiwan and the US to develop advanced technology for the real-time monitoring of the global climate. This project is also named Constellation Observing System for Meteorology, Ionosphere and Climate, or FORMOSAT-3/COSMIC for short. Six micro-satellites were launched on 15 April 2007 and eventually placed into six different orbits at 700 800 kilometer above the earth ground. These satellites orbit around the earth to form a LEO constellation that receives signals transmitted by the 24 US GPS satellites. The satellite observation covers the entire global atmosphere and ionosphere, providing over 2,500 global sounding data per day. These data distribute uniformly over the earth's atmosphere. The global climate information collection and analysis can be completed in three hours while the sounding data is updated every 90 minutes for updating weather forecast. In addition, this system can also be used as the long-term climate change research, interactive ionosphere monitoring, global space weather forecast, and earth gravity research. From 1997 to 2003, there are three launches of sounding rockets. To compliment the second phase of Taiwan's national space technology long-term development plan, the sounding rocket space exploration project was established. The timeframe of the second phase sounding rocket project is 15 years, from January 2004 to December 2018, and 10 15 sounding rockets will be launched during this time period. In this paper, the current status and results of the programs are presented in detail.

  10. 75 FR 78302 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-15

    ... individual stock trading pause, Nasdaq will pause trading in that security until trading has resumed on the... Stock Exchange, Inc. (collectively, the ``Exchanges''), to pause trading during periods of extraordinary... Exchange Traded Products.\\5\\ \\3\\ Securities Exchange Act Release No. 62252 (June 10, 2010), 75 FR...

  11. 77 FR 47450 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-08

    ... Rule Change The Exchange proposes to extend the individual stock trading pause pilot program pertaining to the CBOE Stock Exchange, LLC (``CBSX,'' the CBOE's stock trading facility). This rule change..., Individual Stock Trading Pauses Due to Extraordinary Market Volatility, was approved by the Commission...

  12. 76 FR 50516 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-15

    ... FR 38243 (June 29, 2011)(SR-CBOE-2011-049)(order approving further expansion of the individual stock... Proposed Rule Change The Exchange proposes to extend the individual stock trading pause pilot program pertaining to the CBOE Stock Exchange (``CBSX,'' the CBOE's stock trading facility). This rule change...

  13. 76 FR 20389 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-12

    ... The Exchange proposes to extend the individual stock trading pause pilot program pertaining to the CBOE Stock Exchange (``CBSX,'' the CBOE's stock trading facility). This rule change simply seeks to... Rule 6.3C, Individual Stock Trading Pauses Due to Extraordinary Market Volatility, was approved by...

  14. 17 CFR 240.15g-2 - Penny stock disclosure document relating to the penny stock market.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... document relating to the penny stock market. 240.15g-2 Section 240.15g-2 Commodity and Securities Exchanges... Section 15(d) of the Act § 240.15g-2 Penny stock disclosure document relating to the penny stock market... required by paragraph (a) of this section for the period specified in 17 CFR 240.17a-4(b) of this...

  15. 75 FR 3774 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-22

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...,\\2\\ notice is hereby given that on December 30, 2009, The NASDAQ Stock Market LLC (the ``Exchange...,\\5\\ The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') is filing with the Securities...

  16. 76 FR 27687 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-12

    ... amend CBOE Stock Exchange, LLC's (``CBSX'', the CBOE's stock trading facility) rules to include additional stocks in the individual stock trading pause pilot and to include certain conforming amendments to... conforming and non-substantive amendments to CBSX's individual stock trading pause provisions and...

  17. 77 FR 41841 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-16

    ... Exchange of the stock portion of stock-option strategy orders executed through those mechanisms. The... Statutory Basis for, the Proposed Rule Change 1. Purpose Currently, when stock-option strategy orders are... functionality, the stock portions of stock-option strategy orders will be electronically communicated by...

  18. Space programs in Taiwan

    NASA Astrophysics Data System (ADS)

    Lee, Lou-Chuang; Chang, Guey-Shin; Ting, Nan-Hong

    2013-10-01

    Taiwan's current and future space programs are briefly introduced in this paper. The National Space Organization (NSPO) in Taiwan has successfully carried out three satellite programs (FORMOSAT-1, 2, &3) since its establishment in 1991. FORMOSAT-1 is a scientific satellite performing three scientific experiments for measuring the density, velocity and temperature of ionospheric plasmas, taking the ocean color image, and conducting Ka-band communication experiments. Equipped with a 2m ground resolution remote sensing instrument, FORMOSAT-2 operates in a sun-synchronous orbit with revisit time equal to one day. This unique feature of the daily revisit capability is significantly useful for post disaster assessment and environmental monitoring. FORMOSAT-2 also carries a scientific payload "Imager of Sprites and Upper Atmospheric Lightning (ISUAL)". ISUAL provides the world's first long-term satellite observations on the lighting phenomenon in the earth's upper atmosphere. FORMOSAT-3 is a constellation of six micro-satellites to collect atmospheric and ionospheric data for weather prediction and for climate, ionosphere, and geodesy research. FORMOSAT-3 has demonstrated the ability to significantly increase the accuracy of weather forecasting by utilizing the GPS Radio Occultation (GPS-RO) technique. Currently, NSPO is pursuing the follow-on space missions of FORMOSAT-5 and FORMOSAT-7. FORMOSAT-5 will be the first to utilize a CMOS detector on a high-resolution earth-observation camera. FORMOSAT-7 is a joint mission of Taiwan/US to deploy a 12-satellite constellation operational system to provide dense and timely GNSS RO data to the global communities for real-time weather forecast as well as space science research.

  19. 17 CFR 240.15g-2 - Penny stock disclosure document relating to the penny stock market.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... required by paragraph (a) of this section for the period specified in 17 CFR 240.17a-4(b) of this chapter... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Penny stock disclosure document relating to the penny stock market. 240.15g-2 Section 240.15g-2 Commodity and Securities...

  20. 17 CFR 240.15g-2 - Penny stock disclosure document relating to the penny stock market.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... required by paragraph (a) of this section for the period specified in 17 CFR 240.17a-4(b) of this chapter... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Penny stock disclosure document relating to the penny stock market. 240.15g-2 Section 240.15g-2 Commodity and Securities...