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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. The overnight effect on the Taiwan stock market

    NASA Astrophysics Data System (ADS)

    Tsai, Kuo-Ting; Lih, Jiann-Shing; Ko, Jing-Yuan

    2012-12-01

    This study examines statistical regularities among three components of stocks and indices: daytime (trading hour) return, overnight (off-hour session) return, and total (close-to-close) return. Owing to the fact that the Taiwan Stock Exchange (TWSE) has the longest non-trading periods among major markets, the TWSE is selected to explore the correlation among the three components and compare it with major markets such as the New York Stock Exchange (NYSE) and the National Association of Securities Dealers Automated Quotation (NASDAQ). Analysis results indicate a negative cross correlation between the sign of daytime return and the sign of overnight return; possibly explaining why most stocks feature a negative cross correlation between daytime return and overnight return [F. Wang, S.-J. Shieh, S. Havlin, H.E. Stanley, Statistical analysis of the overnight and daytime return, Phys. Rev. E 79 (2009) 056109]. Additionally, the cross correlation between the magnitude of returns is analyzed. According to those results, a larger magnitude of overnight return implies a higher probability that the sign of the following daytime return is the opposite of the sign of overnight return. Namely, the predictability of daytime return might be improved when a stock undergoes a large magnitude of overnight return. Furthermore, the cross correlations of 29 indices of worldwide markets are discussed.

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

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 26 Internal Revenue 11 2010-04-01 2010-04-01 true Exchanges of stock or securities solely for stock or securities. 1.1081-3 Section 1.1081-3 Internal Revenue INTERNAL REVENUE SERVICE, DEPARTMENT OF... § 1.1081-3 Exchanges of stock or securities solely for stock or securities. The exchange, without...

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

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 26 Internal Revenue 11 2011-04-01 2011-04-01 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. 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 Marčenko-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.

  8. 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.

  9. 77 FR 44301 - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-27

    ... 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..., Boston Stock Exchange Clearing Corporation (``BSECC'' or the ``Corporation'') filed with the...

  10. 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.

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

    NASA Astrophysics Data System (ADS)

    Koralun-Bereźnicka, 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.

  12. “Price-Quakes” Shaking the World's Stock Exchanges

    PubMed Central

    Andersen, Jørgen Vitting; Nowak, Andrzej; Rotundo, Giulia; Parrott, Lael; Martinez, Sebastian

    2011-01-01

    Background Systemic risk has received much more awareness after the excessive risk taking by major financial instituations pushed the world's financial system into what many considered a state of near systemic failure in 2008. The IMF for example in its yearly 2009 Global Financial Stability Report acknowledged the lack of proper tools and research on the topic. Understanding how disruptions can propagate across financial markets is therefore of utmost importance. Methodology/Principal Findings Here, we use empirical data to show that the world's markets have a non-linear threshold response to events, consistent with the hypothesis that traders exhibit change blindness. Change blindness is the tendency of humans to ignore small changes and to react disproportionately to large events. As we show, this may be responsible for generating cascading events—pricequakes—in the world's markets. We propose a network model of the world's stock exchanges that predicts how an individual stock exchange should be priced in terms of the performance of the global market of exchanges, but with change blindness included in the pricing. The model has a direct correspondence to models of earth tectonic plate movements developed in physics to describe the slip-stick movement of blocks linked via spring forces. Conclusions/Significance We have shown how the price dynamics of the world's stock exchanges follows a dynamics of build-up and release of stress, similar to earthquakes. The nonlinear response allows us to classify price movements of a given stock index as either being generated internally, due to specific economic news for the country in question, or externally, by the ensemble of the world's stock exchanges reacting together like a complex system. The model may provide new insight into the origins and thereby also prevent systemic risks in the global financial network. PMID:22073168

  13. 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.…

  14. Generalized Bogoliubov Polariton Model: An Application to Stock Exchange Market

    NASA Astrophysics Data System (ADS)

    Thuy Anh, Chu; Anh, Truong Thi Ngoc; Lan, Nguyen Tri; Viet, Nguyen Ai

    2016-06-01

    A generalized Bogoliubov method for investigation non-simple and complex systems was developed. We take two branch polariton Hamiltonian model in second quantization representation and replace the energies of quasi-particles by two distribution functions of research objects. Application to stock exchange market was taken as an example, where the changing the form of return distribution functions from Boltzmann-like to Gaussian-like was studied.

  15. Sector Identification in a Set of Stock Return Time Series Traded at the London Stock Exchange

    NASA Astrophysics Data System (ADS)

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

    2005-09-01

    We compare 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 portfolio of stocks traded at the London Stock Exchange. The investigated time series are recorded both at a daily time horizon and at a 5-minute time horizon. The correlation coefficient matrix is very different at different time horizons confirming that more structured correlation coefficient matrices are observed for long time horizons. All the considered methods are able to detect economic information and the presence of clusters characterized by the economic sector of stocks. However, different methods present a different degree of sensitivity with respect to different sectors. 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 stock portfolio.

  16. 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,...

  17. 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...

  18. 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.

  19. 76 FR 33794 - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-09

    ... Chicago Stock Exchange, Incorporated (``Exchange'' or ``CHX'') filed with the Securities and Exchange... Change The Exchange proposes to amend CHX Article 20, Rule 4 which governs orders that are eligible for... Exchange's Web site at ( http://www.chx.com ), at the Exchange's Office of the Secretary, and in...

  20. An empirical investigation of Australian Stock Exchange data

    NASA Astrophysics Data System (ADS)

    Bertram, William K.

    2004-10-01

    We present an empirical study of high frequency Australian equity data examining the behaviour of distribution tails and the existence of long memory. A method is presented allowing us to deal with Australian Stock Exchange data by splitting it into two separate data series representing an intraday and overnight component. Power-law exponents for the empirical density functions are estimated and compared with results from other studies. Using the autocorrelation and variance plots we find there to be a strong indication of long-memory type behaviour in the absolute return, volume and transaction frequency.

  1. 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

    ... 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... \\2\\ thereunder, notice is hereby given that on October 11, 2011, Boston Stock Exchange...

  2. 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... COMMISSION Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing and...\\ notice is hereby given that on April 9, 2010, the Boston Stock Exchange Clearing Corporation...

  3. 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... COMMISSION Release No. 34-63487; File No. SR-CHX-2010-23] Self-Regulatory Organizations; Chicago Stock... given that on December 7, 2010, the Chicago Stock Exchange, Inc. (``CHX'' or the ``Exchange'')...

  4. 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

  5. Microscopic analysis of currency and stock exchange markets

    NASA Astrophysics Data System (ADS)

    Kador, L.

    1999-08-01

    Recently it was shown that distributions of short-term price fluctuations in foreign-currency exchange exhibit striking similarities to those of velocity differences in turbulent flows. Similar profiles represent the spectral-diffusion behavior of impurity molecules in disordered solids at low temperatures. It is demonstrated that a microscopic statistical theory of the spectroscopic line shapes can be applied to the other two phenomena. The theory interprets the financial data in terms of information which becomes available to the traders and their reactions as a function of time. The analysis shows that there is no characteristic time scale in financial markets, but that instead stretched-exponential or algebraic memory functions yield good agreement with the price data. For an algebraic function, the theory yields truncated Lévy distributions which are often observed in stock exchange markets.

  6. 76 FR 56248 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-12

    ..., 2010), 75 FR 2914 (Jan. 19, 2010). In August, 2010, the Exchange altered its tiered Fee Schedule to... (August 4, 2010), 75 FR 48397 (August 10, 2010). According to this proposal, the Exchange would delete... Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange Commission...

  7. 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, the Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange... Substance of the Proposed Rule Change CHX proposes to amend Exchange Rules and its Schedule of Participant..., 2013. The text of this proposed rule change is available on the Exchange's Web site at...

  8. 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…

  9. 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

    ...), 71 FR 27758 (May 12, 2006) (SR-CHX-2004-38). This proposal amended the Exchanges rules regarding the... No. 60620 (Sept. 3, 2009), 74 FR 46814 (Sept. 11, 2009) (SR-CHX-2009-10). This proposal added the... Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange...

  10. 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

    ... and modifiers. See Securities Exchange Act Release No. 69538 (May 8, 2013), 78 FR 28671 (May 15, 2013) (SR-CHX-2013-10); see also Securities Exchange Act Release No. 69075 (March 8, 2013), 78 FR 16311..., the Chicago Stock Exchange, Inc. (``CHX'' or the ``Exchange'') filed with the Securities and...

  11. 76 FR 19818 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-08

    ..., the Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange... have been prepared by the Exchange. CHX has filed the proposal pursuant to Section 19(b)(3)(A) of the... Rule Change The CHX proposes to amend its Schedule of Participant Fees and Assessments (the...

  12. 75 FR 12326 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-15

    ... Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange Commission... prepared by the Exchange. CHX filed the proposal pursuant to Section 19(b)(3)(A) of the Act \\3\\ and Rule... The CHX proposes to amend its Schedule of Participant Fees and Assessments (the ``Fee...

  13. 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... on April 26, 2011, the Chicago Stock Exchange, Incorporated (``Exchange'' or ``CHX'') filed with the... Proposed Rule Change The Exchange proposes to amend CHX Article 9, Rule 17 which rule governs the...

  14. The influence of intergenerational exchange on nursing home admission in Taiwan.

    PubMed

    Wu, S C; Li, C Y; Chang, A L

    1997-06-01

    This study examines the effect of intergenerational exchange on nursing home admissions among functionally disabled older adults in Taiwan. A group of 317 nursing home residents were randomly selected from all nursing homes in Taipei, the capital of Taiwan. In addition, two community groups were randomly selected as multiple controls in the study. The results showed that intergenerational exchange has a statistically significant effect on nursing home admission after controlling for sociodemographic characteristics and health status. The odds of being admitted into a nursing home was lower for those elderly who provided instrumental assistance to their families before they were disabled. The adjusted relative risk estimate was 0.2 (95% CI = 0.1 - 0.6). It shows that the instrumental assistance the elderly provided to the family before they became disabled was reciprocated when they needed ADL assistance. This finding provides strong support for the social exchange theory. PMID:14617934

  15. 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.

  16. 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

    ... 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 Provide for the Payment of Exchange Fees Through an Integrated Billing Process January 17, 2013. Pursuant...

  17. 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

    ... (September 13, 2006), 71 FR 55037 (September 20, 2006) (SR-CHX-2005-06). III. Discussion The Commission finds... FR 312 (``Notice''). II. Description of the Proposal The Exchange proposes to add Interpretation and.... Introduction On December 16, 2011, the Chicago Stock Exchange, Inc. (``CHX'' or the ``Exchange'') filed...

  18. 75 FR 2914 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-19

    ... hereby given that on January 4, 2010, the Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed... Items I, II and III below, which Items have been prepared by the Exchange. CHX filed the proposal... of the Terms of Substance of the Proposed Rule Change The CHX proposes to amend its Schedule...

  19. 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... hereby given that on May 31, 2013, the Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with... Statement of the Terms of the Substance of the Proposed Rule Change CHX proposes to amend its Schedule...

  20. 77 FR 68167 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-15

    ... is hereby given that on November 2, 2012, the Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange... described in Items I, II and III below, which Items have been prepared by the Exchange. CHX has filed the... Statement of the Terms of the Substance of the Proposed Rule Change The CHX proposes to amend its...

  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

    ..., and Services to, CHX Participants and Make Certain Rate Changes July 25, 2011. Pursuant to Section 19... hereby given that on July 20, 2011, the Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with... I, II, and III below, which Items have been prepared by the Exchange. CHX has filed the...

  2. 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

    ... thereunder,\\3\\ notice is hereby given that on December 31, 2012, the Chicago Stock Exchange, Inc. (``CHX'' or... Organization's Statement of the Terms of Substance of the Proposed Rule Change CHX proposes to amend Exchange... this proposed rule change is available on the Exchange's Web site at...

  3. 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

    ... hereby given that, on February 9, 2012, the Chicago Stock Exchange, ] Inc. (``CHX'' or ``Exchange... in Items I, II, and III below, which Items have been prepared by the Exchange. CHX has filed the... Statement of the Terms of Substance of the Proposed Rule Change CHX proposes to amend its Schedule of...

  4. 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...

  5. 26 CFR 1.354-1 - Exchanges of stock and securities in certain reorganizations.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... circumstances no gain or loss is recognized to a shareholder who surrenders his stock in exchange for other... Interstate Commerce Act (49 U.S.C. 20b) as being in the public interest. Section 354 is not applicable to... W are parties, A, a shareholder in Corporation T, surrenders all his common stock in Corporation...

  6. 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

  7. 78 FR 32510 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-30

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE...

  8. 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... provides for methodology for determining when to halt trading in all stocks due to extraordinary...

  9. 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

    ... 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 Delaying the Operative Date of a Rule Change to CHX Article 20, Rule 2, Which Provides, Among Other...

  10. 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

    ... 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 Amending CHX Article 20, Rule 2, Which Provides for, Among Other Things, Trading Pauses in Individual...

  11. 77 FR 74533 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-14

    ...) months of participation. \\7\\ See Securities Exchange Act Release No. 68215 (November 13, 2012), 77 FR... COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  12. 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

    ... 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 Fee and Rebate Schedule September 26, 2013. Pursuant to Section 19(b)(1) of the Securities...

  13. 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... Effectiveness of a Proposed Rule Change to Consolidate All CHX Order Types, Modifiers, and Related Terms Under...,\\2\\ notice is hereby given that on May 6, 2013, the Chicago Stock Exchange, Inc. (``CHX'' or...

  14. 76 FR 25394 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-04

    ... Effectiveness of Proposed Rule Change To Alter the CHX Fee Schedule Relating to the CHX Connect Service April 28... thereunder,\\2\\ notice is hereby given that, on April 26, 2011, the Chicago Stock Exchange, Inc. (``CHX'' or... as described in Items I, II, and III below, which Items have been prepared by the Exchange. CHX...

  15. 77 FR 34422 - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-11

    ... Immediate Effectiveness of Proposed Rule Change to Temporarily Suspend the Requirements of CHX Article 3, Rule 3 and Related CHX Rules in Order to Approve Apex Clearing Corporation as a CHX Participant and... Chicago Stock Exchange, Incorporated (``Exchange'' or ``CHX'') filed with the Securities and...

  16. 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

    ... COMMISSION [Release No. 34-65444; File No. SR-CHX-2011-27 Self-Regulatory Organizations; Chicago Stock.... (``CHX'' or the ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule ] change as described in Items I and II below, which Items have been prepared by the CHX....

  17. 77 FR 68185 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-15

    ...,\\2\\ notice is hereby given that on November 1, 2012, the Chicago Stock Exchange, Inc. (``CHX'' or... described in Items I, II and III below, which Items have been prepared by the Exchange. CHX has filed the... Statement of the Terms of the Substance of the Proposed Rule Change The CHX proposes to amend its...

  18. 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

    ... dislocation. The Exchange stated in its proposal that, based on its analysis of historical market conditions... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change... Gap Quote Policy January 4, 2010. I. Introduction On November 9, 2009, the New York Stock Exchange...

  19. 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...

  20. 78 FR 16561 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-15

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Adding Two Self-Trade Prevention (``STP'') Modifiers That... February 25, 2013, New York Stock Exchange LLC (the ``Exchange'' or ``NYSE'') filed with the Securities...

  1. 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

    ... 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 Amend Section 902.02 of the New York Stock Exchange Listed Company Manual Regarding Waivers for Certain...

  2. 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

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate... of the Financial Industry Regulatory Authority July 10, 2013. Pursuant to Section 19(b)(1) of the... on June 26, 2013, New York Stock Exchange LLC (``NYSE'' or the ``Exchange'') filed with...

  3. Estimating time-varying conditional correlations between stock and foreign exchange markets

    NASA Astrophysics Data System (ADS)

    Tastan, Hüseyin

    2006-02-01

    This study explores the dynamic interaction between stock market returns and changes in nominal exchange rates. Many financial variables are known to exhibit fat tails and autoregressive variance structure. It is well-known that unconditional covariance and correlation coefficients also vary significantly over time and multivariate generalized autoregressive model (MGARCH) is able to capture the time-varying variance-covariance matrix for stock market returns and changes in exchange rates. The model is applied to daily Euro-Dollar exchange rates and two stock market indexes from the US economy: Dow-Jones Industrial Average Index and S&P500 Index. The news impact surfaces are also drawn based on the model estimates to see the effects of idiosyncratic shocks in respective markets.

  4. 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'')...

  5. 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

    ... least one other exchange and under the CTA and CQ Plans. Specifically, The NASDAQ Stock Market LLC... Release on Equity Market Structure, Securities Exchange Act Release No. 61358 (Jan. 14, 2010), 75 FR 3594... showing that no market center traded more than 20% of the volume of listed stocks, further evidencing...

  6. 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.

  7. 75 FR 16540 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-01

    ... No. 60266 (July 9, 2009), 74 FR 34380 (July 9, 2009) (SR-BATS-2009-022) (approving on an expedited... COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules on Self Trade Prevention Order Modifiers March 25,...

  8. 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... Change To Amend Minor Rule Plan June 16, 2011. I. Introduction On April 20, 2011, the Chicago Stock...-4 thereunder,\\2\\ a proposed rule change amending CHX Article 12, Rule 8 (Minor Rule Plan)...

  9. 76 FR 56246 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-12

    ... COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...\\ 15 U.S.C. 78s(b)(3)(A). \\4\\ 17 CFR 240.19b-4(f)(2). I. Self-Regulatory Organization's Statement of.... Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed...

  10. 77 FR 2583 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-18

    ... COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change... ( www.chx.com ) and in the Commission's Public Reference Room. II. Self-Regulatory...

  11. 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

    ... COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate... 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.... II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the...

  12. 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

    ...\\ thereunder, notice is hereby given that on September 26, 2013, the Chicago Stock Exchange, Inc. (``CHX'' or... change as described in Items I and II below, which Items have been prepared by CHX. CHX has filed this...-Regulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change CHX proposes...

  13. 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... is hereby given that, on June 2, 2011, the Chicago Stock Exchange, Inc. (``CHX'' or...

  14. 78 FR 76675 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-18

    .... 70428 (September 17, 2013), 78 FR 58362 (September 23, 2013) (SR-CTA-2013-05) (``Notice of Filing of the... Act Release No. 70794 (October 31, 2013), 78 FR 66789 (November 6, 2013) (SR-CTA-2013-05) (``Order... hereby given that on December 9, 2013, the Chicago Stock Exchange, Inc. (``CHX'' or the...

  15. Soccer and stock market risk: empirical evidence from the Istanbul Stock Exchange.

    PubMed

    Berument, M Hakan; Ceylan, Nildag Basak

    2013-06-01

    There is an emerging but important literature on the effects of sport events such as soccer on stock market returns. After a soccer team's win, agents discount future events more favorably and increase risk tolerance. Similarly, after a loss, risk tolerance decreases. This paper directly assesses risk tolerance after a sports event by using daily data from the three major soccer teams in Turkey (Beşiktaşç Fenerbahge and Galatasaray). Results provide evidence that risk tolerance increases after a win, but similar patterns were not found after a loss. PMID:24245071

  16. 76 FR 33390 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-08

    ... 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 Amend the Exchange Price List June 2, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...

  17. 75 FR 6781 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-10

    ... Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange Commission... prepared by the Exchange. CHX has filed the proposal pursuant to Section 19(b)(3)(A) of the Act \\3\\ and... Rule Change The CHX proposes to amend its Schedule of Participant Fees and Assessments (the...

  18. 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

    ..., the Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange... Items have been prepared by the Exchange. The CHX has filed the proposal pursuant to Section 19(b)(3)(A... of the Proposed Rule Change The CHX proposes to amend its Schedule of Participant Fees...

  19. 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

    ... Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange Commission... been prepared by the Exchange. CHX has filed the proposal pursuant to Section 19(b)(3)(A) of the Act \\3... Rule Change The CHX proposes to amend its Schedule of Participant Fees and Assessments (the...

  20. 75 FR 6766 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-10

    ... Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange Commission... prepared by the Exchange. CHX has filed the proposal pursuant to Section 19(b)(3)(A) of the Act \\3\\ and... Rule Change The CHX proposes to amend its Schedule of Participant Fees and Assessments (the...

  1. Investigation of market efficiency and Financial Stability between S&P 500 and London Stock Exchange: Monthly and yearly Forecasting of Time Series Stock Returns using ARMA model

    NASA Astrophysics Data System (ADS)

    Rounaghi, Mohammad Mahdi; Nassir Zadeh, Farzaneh

    2016-08-01

    We investigated the presence and changes in, long memory features in the returns and volatility dynamics of S&P 500 and London Stock Exchange using ARMA model. Recently, multifractal analysis has been evolved as an important way to explain the complexity of financial markets which can hardly be described by linear methods of efficient market theory. In financial markets, the weak form of the efficient market hypothesis implies that price returns are serially uncorrelated sequences. In other words, prices should follow a random walk behavior. The random walk hypothesis is evaluated against alternatives accommodating either unifractality or multifractality. Several studies find that the return volatility of stocks tends to exhibit long-range dependence, heavy tails, and clustering. Because stochastic processes with self-similarity possess long-range dependence and heavy tails, it has been suggested that self-similar processes be employed to capture these characteristics in return volatility modeling. The present study applies monthly and yearly forecasting of Time Series Stock Returns in S&P 500 and London Stock Exchange using ARMA model. The statistical analysis of S&P 500 shows that the ARMA model for S&P 500 outperforms the London stock exchange and it is capable for predicting medium or long horizons using real known values. The statistical analysis in London Stock Exchange shows that the ARMA model for monthly stock returns outperforms the yearly. ​A comparison between S&P 500 and London Stock Exchange shows that both markets are efficient and have Financial Stability during periods of boom and bust.

  2. 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

  3. 2004 on Warsaw Stock Exchange via Zipf Analysis, Scatter and Lag Plots

    NASA Astrophysics Data System (ADS)

    Bachnik, W.; Chomiuk, P.; Faltynowicz, Sz.; Gawin, M.; Gorajek, W.; Kedzierski, J.; Kosk, K.; Kucharczyk, A.; Leszczynski, P.; Podsiadlo, R.; Makowiec, D.

    2005-08-01

    This paper presents the last year on Warsaw Stock Exchange (WSE) and world stock exchanges by graphical analysis: Scatter Plot, Zipf Analysis and Lag Plot of selected Polish (WIG, WIG20, WIG-BANKI, TECHWIG) and foreign (NIKKEI, DOW JONES Industrial Average) indices, and also selected companies listed on WSE. Zipf analysis proves that although, generally, holding securities was the best way to earn money in the last year, however, Zipf based strategy also could be profitable. Scatter Plots show no similarities between Polish and foreign indices, however, behaviour of Polish ones is similar. The volatility of indices and most companies was highest on Monday and lowest on Friday. Distribution of returns in continuous trading is neither Gaussian nor uniform.

  4. 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... Exchange will be protected from significant price dislocation at all times. \\6\\ 15 U.S.C. 78f(b). \\7\\ 15 U..., and therefore an NMS Stock listed on the Exchange will be protected from significant price...

  5. 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

    ... 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 To Amend NYSE Rule 49, Which Addresses the Exchange's Emergency Powers August 2, 2013. Pursuant to Section 19(b)(1) \\1\\ of the...

  6. 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

    ... 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 Its Listing Standard for Reverse Merger Companies Set Forth in Section 102.01F of The Exchange's...

  7. 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....

  8. 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

    ... Chicago Stock Exchange, Inc. (``CHX'' or the ``Exchange'') filed with the Securities and Exchange... have been prepared by the CHX. The Commission is publishing this notice to solicit comments on the...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change CHX proposes...

  9. 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

    ... December 22, 2009, the Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and... of the Proposed Rule Change The CHX proposes to amend its Schedule of Participant Fees and... site at http://www.chx.com/rules/proposed_rules.htm , at the Exchange's principal office, and at...

  10. 75 FR 48397 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-10

    ... Release No. 61322 (Jan. 11, 2010), 75 FR 2914 (Jan. 19, 2010) (SR-CHX-2010-01). According to this proposal... is hereby given that on July 30, 2010, the Chicago Stock Exchange, Inc. (``CHX'' or ``Exchange... described in Items I and II below, which Items have been prepared by the Exchange. CHX has filed...

  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..., 2011, the Chicago Stock Exchange, Inc. (``CHX'' or the ``Exchange'') filed with the Securities and... Items have been prepared by the CHX. The Commission is publishing this notice to solicit comments on...

  12. 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...

  13. 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...

  14. 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.

  15. Air-water exchange fluxes of polycyclic aromatic hydrocarbons in the tropical coast, Taiwan.

    PubMed

    Cheng, Jing-O; Ko, Fung-Chi; Lee, Chon-Lin; Fang, Meng-Der

    2013-03-01

    Air-water exchange fluxes of polycyclic aromatic hydrocarbons (PAHs) were simultaneously measured in air and water samples from two sites on the Kenting coast, located at the southern tip of Taiwan, from January to December 2010. There was no significant difference in the total PAH (t-PAH) concentrations in both gas and dissolved phases between these two sites due to the less local input which also coincided to the low levels of t-PAH concentration; the gas and dissolved phases averaged 1.29±0.59 ng m(-3) and 2.17±1.19 ng L(-1) respectively. The direction and magnitude of the daily flux of PAHs were significantly influenced by wind speed and dissolved PAH concentrations. Individual PAH flux ranged from 627 ng m(-2) d(-1) volatilization of phenanthrene during the rainy season with storm-water discharges raising dissolved phase concentration, to 67 ng m(-2) d(-1) absorption of fluoranthene during high wind speed periods. Due to PAH annual fluxes through air-water exchange, Kenting seawater is a source of low molecular weight PAHs and a reservoir of high molecular weight PAHs. Estimated annual volatilization fluxes ranged from 7.3 μg m(-2) yr(-1) for pyrene to 50 μg m(-2) yr(-1) for phenanthrene and the absorption fluxes ranged from -2.6 μg m(-2) yr(-1) for chrysene to -3.5 μg m(-2) yr(-1) for fluoranthene. PMID:23260251

  16. 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

    ... 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 Describe the Billing Practice for Co-Location Services and Expand Co- Location Services To Provide for a...

  17. 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

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to Proposed Rule Change to Amend the Quantitative Continued Listing Standards Applicable to Companies Listed Under Sections 102.01C and 103.01B of the...

  18. 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

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64277; File Nos. SR-NYSE-2010-48 and SR-NYSEAMEX-2010- 61] Self-Regulatory Organizations; New York Stock Exchange LLC and NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to...

  19. 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

    ... 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 Its Price List To Adopt a Trading License Fee for Calendar Year 2013 January 4, 2013. Pursuant to...

  20. 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

    ... 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 Its Price List To Provide Relief for Floor Brokers From the Annual Telephone Line Charge for...

  1. 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

    ... 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 Attestation Requirement of Rule 107C To Allow a Retail Member Organization To Attest That ``Substantially All'' Orders...

  2. 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

    ... 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 Establish Non-Display Usage Fees for NYSE OpenBook, NYSE Trades, and NYSE BBO and a Redistribution Fee for...

  3. 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

    ... 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 Establishing the NYSE Trades Digital Media Data Feed and a Schedule of the NYSE Proprietary Market Data Fees...

  4. 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

    ... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Approving Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d)--Equities and Related Supplementary Material July 12, 2013....

  5. 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

    ... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and...

  6. 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

    ... 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 Extending for an Additional 12 Months the Pilot Program That Provides an Exception to NYSE Rule 2B by...

  7. 77 FR 70195 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-23

    ... 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 To Add New Supplementary Material .40 To Clarify That All Times Specified in Rule 123C...

  8. 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

    ... 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 80C, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, To...

  9. 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

    ... 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 128, Clearly Erroneous Executions, To Extend the Effective Date of the Pilot Until...

  10. 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... amount in cash equal to the market value of a share of the REIT. It is the Exchange's understanding that... team and board. As the expectation is that these sorts of listings will be rare, the Exchange does...

  11. 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

    ... 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 Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New...

  12. 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...

  13. 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

    ... 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 Deleting NYSE Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400 Series, the Order Audit...

  14. 75 FR 39063 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-07

    ... COMMISSION Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... the Exchange, and at the Commission's Public Reference Room. II. Self-Regulatory...

  15. 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

    ... 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 Offer Partial Cabinets and Cabinet Upgrades as Part of its Co-location Services and to Amend its Price List...

  16. 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...

  17. 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...,\\2\\ notice is hereby given that, on December 16, 2011, the Chicago Stock Exchange, Inc. (``CHX'' or... Terms of Substance of the Proposed Rule Change CHX proposes to add Interpretation and Policy .01...

  18. 75 FR 32832 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-09

    ...,\\2\\ notice is hereby given that on June 1, 2010, the Chicago Stock Exchange, Inc. (``CHX'' or... as described in Items I, II and III below, which Items have been prepared by the Exchange. The CHX...-Regulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change The...

  19. 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

    ... hereby given that on April 7, 2010, the Chicago Stock Exchange, Inc. (``CHX'' or the ``Exchange'') filed... Items I, II and III below, which Items have been prepared by the CHX. CHX has filed this proposal... Organization's Statement of the Terms of Substance of the Proposed Rule Change CHX proposes to amend to...

  20. 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

    ... 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 Amend Its Rules Concerning Communications With the Public To Harmonize Them With Certain Financial...

  1. 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...

  2. 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... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self-Trade...

  3. 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.

  4. Impact of the monetary crisis on statistical properties of the Jakarta and Kuala Lumpur stock exchange indices

    NASA Astrophysics Data System (ADS)

    Mart, T.; Aminoto, T.

    2007-01-01

    Using the tools developed for statistical physics, we simultaneously analyze statistical properties of the Jakarta and Kuala Lumpur Stock Exchange indices. In spite of the small number of the data used in the analysis, the result still shows the universal behavior of complex systems previously found in the leading stock indices. We also analyze their properties before and after the crash caused by the monetary crisis. To locate the time position when the crash started we use the Omori law. We found that after the crash both stocks do not show a same statistical behavior. The impact of currency controls is observed in the distribution of the index returns.

  5. 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.

  6. The dynamics of stock exchange based on the formalism of weak continuous quantum measurement

    NASA Astrophysics Data System (ADS)

    Melnyk, S.; Tuluzov, I.

    2010-07-01

    The problem of measurement in economic models and the possibility of their quantum-mechanical description are considered. It is revealed that the apparent paradox of such a description is associated with a priori requirement of conformity of the model to all the alternatives of free choice of the observer. The measurement of the state of a trader on a stock exchange is formally defined as his responses to the proposals of sale at a fixed price. It is shown that an analogue of Bell's inequalities for this measurement model is violated at the most general assumptions related to the strategy of the trader and requires a quantum-mechanical description of the dynamics of his condition. In the framework of the theory of weak continuous quantum measurements, the equation of stock price dynamics and the quantum-mechanical generalization of the F. Black and M. Scholes model for pricing options are obtained. The fundamental distinctions between the obtained model and the classical one are discussed.

  7. 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…

  8. 78 FR 12381 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-22

    ... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule..., and III below, which Items have been prepared by the self- regulatory organization. The Commission is....78s(b)(1). \\2\\ 15 U.S.C. 78a. \\3\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  9. 76 FR 29806 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-23

    ... company carves out a business line or division, which then conducts a separate IPO). Newly listed issuers...., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Copies of such filing... COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed...

  10. 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

    ... COMMISSION Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance.... II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the...

  11. 75 FR 48404 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-10

    ... COMMISSION Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate.... \\3\\ 15 U.S.C. 78s(b)(3)(A). \\4\\ 17 CFR 240.19b-4(f)(2). I. Self-Regulatory Organization's Statement.... II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the...

  12. 77 FR 77160 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-31

    ... (November 8, 2012), 77 FR 68188. Section 19(b)(2) of the Act \\4\\ provides that within 45 days of the... comment in the Federal Register on November 15, 2012.\\3\\ The Commission received no comment letters on the... Supplementary Material December 21, 2012. On October 26, 2012, New York Stock Exchange LLC (the...

  13. 76 FR 17728 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-30

    ...), 74 FR 33293 (July 10, 2009) (SR-NYSE-2006- 92). The Commission notes that the CHX's new rule... by the Commission.\\5\\ \\5\\ See Securities Act Release No. 62874 (September 9, 2010), 75 FR 56152...,\\2\\ notice is hereby given that on March 15, 2011, the Chicago Stock Exchange, Inc. (``CHX'' or...

  14. 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.

  15. 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.

  16. 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

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

    NASA Astrophysics Data System (ADS)

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

    2015-05-01

    The drainage and cultivation of fen peatlands create complex small-scale mosaics of soils with extremely variable soil organic carbon (SOC) stocks and groundwater levels (GWLs). To date, the significance of such sites as sources or sinks for greenhouse gases such as CO2 and CH4 is still unclear, especially if the sites are used for cropland. As individual control factors such as 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 the plant- and microbially mediated CO2 fluxes in these soils and, inversely, for CH4. 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 4 years. The study sites were located near Paulinenaue, Germany, where we selected three soil types representing the full gradient of GWL and SOC stocks (0-1 m) of the landscape: (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 were 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 yr-1 in AR to -305 ± 123 g C m-2 yr-1 in GL and -127 ± 212 g C m-2 yr-1 in 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

  18. 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... Exchange, Inc. (``CHX'' or the ``Exchange'') filed with the Securities and Exchange Commission...

  19. 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... Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange Commission...

  20. 78 FR 3485 - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-16

    ... Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission...'s Statement of the Terms of Substance of the Proposed Rule Change CHX proposes to amend Exchange... proposed rule change is available on the Exchange's Web site at...

  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... Exchange, Incorporated (``Exchange'' or ``CHX'') filed with the Securities and Exchange Commission (the... proposed rule change is available on the Exchange's Web site at ( http://www.chx.com ), at the...

  2. 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.

  3. 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...

  4. 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

    ... (``Exchange'' or ``CHX'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed... change is available on the Exchange's Web site at ( http://www.chx.com ), at the Exchange's Office of the... Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the...

  5. 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

  6. Corporate Characteristics and Internal Control Information Disclosure- Evidence from Annual Reports in 2009 of Listed Companies in Shenzhen Stock Exchange

    NASA Astrophysics Data System (ADS)

    Xiaowen, Song

    Under the research framework of internal control disclosure and combined the current economic situation, the paper empirically analyzes the relationship between corporate characteristics and internal control information disclosure. The paper selects 647 A share companies listed in Shenzhen Stock Exchanges in 2009 as a sample. The results show: (1) the companies with excellent performance and high liquidity tend to disclose more internal control information; (2) the companies with the high leverage and also issued B shares are not willing to disclosure internal control information; (3) the companies sizes and companies which have hired Four-big accounting firms have no significant effects on internal control disclosure.

  7. 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

    ... 10, 2010), 75 FR 34183 (June 16, 2010) (SR-FINRA-2010- 025). \\5\\ See e.g.,Securities Exchange Act... Securities Exchange Act Release No. 62883 (September 10, 2010), 75 FR 56608 (September 16, 2010) (SR-FINRA- 2010-033). \\6\\ Securities Exchange Act Release No. 62886 (September 16, 2010), 75 FR 56613...

  8. 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..., Inc. (``SIRI''). Amended Fees and Rebates Applicable to Auto Ex Mode The Exchange is proposing...

  9. 77 FR 4842 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-31

    ...\\ See Securities Exchange Act Release No. 62252 (June 10, 2010), 75 FR 34186 (June 16, 2010) (SR-NSX-2010 05). \\4\\ See Securities Exchange Act Release No. 63512 (December 9, 2010), 75 FR 78786 (December...), 75 FR 56618 (September 16, 2010) (SR-NSX-2010-08). \\6\\ See Securities and Exchange Act Release No....

  10. 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

    ... election.\\6\\ \\5\\ Securities Exchange Act Release No. 34-64285 (April 8, 2011), 76 FR 21085 (April 14, 2011... Exchange Act Release No. 34-62783 (August 27, 2010), 75 FR 54204 (September 3, 2010) (File No. SR-Phlx-2010... uncontested election of directors. \\8\\ Securities Exchange Act Release No. 34-63925 (February 17, 2011), 76...

  11. 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...

  12. 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

    ... Subsidiary.'' \\6\\ Securities Exchange Act Release No. 51217 (February 16, 2005), 70 FR 9688 (February 28, 2005) (SR-NYSE-2004-54); Securities Exchange Act Release No. 55293 (February 14, 2007), 72 FR 8033 (February 22, 2007) (SR-NYSE-2006-120); Securities Exchange Act Release No. 67564 (August 1, 2012), 77...

  13. 78 FR 40248 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-03

    ... Effectiveness of Proposed Rule Change Amending Exchange Rule 11.11 to Automatically Prevent Entry of Zero... Securities Exchange Act Release No. 61595 (February 26, 2010), 75 FR 11232 (March 10, 2010) (``Rule 201 Adopting Release'') and Securities Exchange Act Release No. 63247 (Nov. 4, 2010), 75 FR 68702 (Nov. 9,...

  14. 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

    ..., without charge, the Exchange's data feed, the NSX depth-of-book feed (``DOB feed''), to authorized..., without charge, the Exchange's data feed, the NSX depth-of- book feed (``DOB feed''), to authorized...://www.nsx.com/resources/content/2/4/documents/MarketDataFeed062009.pdf ). The Exchange first...

  15. 77 FR 14450 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-09

    ... Depth of Book feed. The text of the proposed rule change is available on the Exchange's Web site at http... fee applicable to direct recipients of the Exchange's Depth of Book (``DOB'') feed. Each of the... $0.0030 per share. Depth of Book Feed Charge The Exchange is proposing to establish a monthly...

  16. 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...

  17. 76 FR 20792 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ... Release No. 34-62886 (September 10, 2010), 75 FR 56613 September 16, 2010) approving SR-CHX-2010-13. \\5\\ See Securities Exchange Act Release No. 34-63487 (December 9, 2010), 75 FR 78279 December 15, 2010). 2..., Inc. (``CHX'' or the ``Exchange'') filed with the Securities and Exchange Commission...

  18. 76 FR 44386 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-25

    ..., Inc. (``CHX'' or the ``Exchange'') filed with the Securities and Exchange Commission (``Commission... CHX. CHX has filed this proposal pursuant to Exchange Act Rule 19b-4(f)(6) \\3\\ which is effective upon... Change CHX proposes to add Interpretation and Policy .04 to Article 17, Rule 3 (Institutional...

  19. 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

    ... Securities Exchange Act Rel. No. 64953 (July 25, 2011), 76 FR 45626 (July 29, 2011) (SR-CHX-2011-19). \\7\\ See Securities Exchange Act Rel. No. 65633 (Oct. 26, 2011), 76 FR 67509 (Nov. 1, 2011) (SR-CHX-2011-29). Pursuant... for clearance and settlement.\\5\\ \\5\\ See Securities Exchange Act Rel. No. 65615 (Oct. 24, 2011), 76...

  20. 76 FR 74088 - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-30

    ... Release No. 63505 (December 9, 2010), 75 FR 78302 (December 15, 2010) (SR-CHX-2010-24). On March 31, 2011... 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...

  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

    ...\\ Exchange Act Release No. 54846 (Nov. 30, 2006), 71 FR 71003 (Dec. 7, 2006). The Exchange believes that...\\ Exchange Act Release No. 54846 (Nov. 30, 2006), 71 FR 71003 (Dec. 7, 2006). B. Self-Regulatory Organization... Effectiveness of Proposed Rule Concerning the CHX Connect Service June 29, 2011. Pursuant to Section 19(b)(1)...

  2. 76 FR 41853 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-15

    ..., Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the... Exchange. CHX has filed the proposal pursuant to Section 19(b)(3)(A) of the Act \\3\\ and Rule 19b-4(f)(2...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The CHX proposes...

  3. 78 FR 28924 - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-16

    .... (``CHX'' or the ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the... Statement of the Terms of Substance of the Proposed Rule Change CHX proposes to amend its Anti-Money... change is available on the Exchange's Web site at http://www.chx.com/rules/proposed_rules.htm , at...

  4. 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...

  5. 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

  6. 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)....

  7. 78 FR 15065 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-08

    ... (``ETP'') Holders \\3\\ $0.0020 per share when using a Midpoint-Seeker Order \\4\\ in the Exchange's... share when using a Midpoint-Seeker Order in the Exchange's Auto-Ex Mode to remove liquidity in a security that is priced at or above $1.00. The Midpoint Seeker Order is an Immediate- or-Cancel...

  8. 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... execution. The Exchange is the only market center to provide this service. This market structure has a higher cost structure than automated matching engines due to its increased operational, technology...

  9. 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

    ..., to be eligible for Order Delivery service, an ETP Holder ``must demonstrate to Exchange examiners... of Order Delivery September 1, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of... utilizing the Order Delivery mode of order interaction must respond to an inbound order before the...

  10. 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...

  11. 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)...

  12. 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

    .... 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 19.... 68392 (December 10, 2012), 77 FR 74533 (December 14, 2012) (SR- NSX-2012-24) (amending the...

  13. 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

    ... Effectiveness of Proposed Rule Change To Provide the Ability To Prevent Zero Display Reserve Orders From... 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,...

  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. 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

    ... Notification Fee The Exchange's Order Delivery Mode provides Electronic Communication Networks (``ECNs'') with an electronic trading platform to interact with the ] National Market System. ECNs can use Order... infrastructure to develop their businesses away from the Exchange, even as the majority of the...

  16. 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...

  17. 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

    ... (December 16, 2010), 75 FR 80870 (December 23, 2010) (SR-CHX-2010-25). Given this change, the Exchange...), 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...

  18. 76 FR 57088 - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Designation of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-15

    ... Release No. 64937 (July 20, 2011), 76 FR 44638 (``Notice''). \\4\\ See letter from Christopher Meyer, Chief..., Incorporated (``Exchange'' or ``CHX'') filed with the Securities and Exchange Commission (the ``Commission...,\\2\\ a proposed rule change to add CHX Rule 6 (Submission of Clearing Information) to Article...

  19. 77 FR 47481 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-08

    ...), 75 FR 56613 September 16, 2010) approving SR-CHX-2010-13. \\5\\ See Securities Exchange Act Release No. 34-63487 (December 9, 2010), 75 FR 78279 December 15, 2010) regarding SR-CHX-2010-23. \\6\\ See Securities Exchange Act Release No. 64228 (April 7, 2011), 76 FR 20792 April 13, 2011) regarding...

  20. 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...

  1. 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...

  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...-CHX-2010-24. \\7\\ See Securities Exchange Act Release No. 64203 (April 6, 2011), 76 FR 20393 April...

  3. 76 FR 23634 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-27

    ... repricing. \\6\\ See Exchange Act Release No. 61595 (Feb. 26, 2010), 75 FR 11232 (Mar. 10, 2010) (adopting... Release No. 63247 (Nov. 4, 2010), 75 FR 68702 (Nov. 9, 2010). See also, Division of Trading & Markets... order). See also, Exchange Act Release No. 63948 (Feb. 23, 2011), 76 FR 11303 (Mar. 1, 2011)...

  4. 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

    ... (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 SR-CHX-2010-24...) approving SR-CHX-2011-05. \\8\\ See Securities Exchange Act Release No. 64735 (June 23, 2011), 75 FR...

  5. 76 FR 50524 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-15

    ...-62886 (September 10, 2010), 75 FR 56613 September 16, 2010) approving SR-CHX-2010-13. \\5\\ See Securities Exchange Act Release No. 34-63487 (December 9, 2010), 75 FR 78279 December 15, 2010) regarding SR-CHX-2010-23. \\6\\ See Securities Exchange Act Release No. 64228 (April 7, 2011), 75 FR 20792 April 13,...

  6. 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...-CHX-2010-24. \\6\\ See Securities Exchange Act Release No. 64203 (April 6, 2011), 75 FR 20393 (April...

  7. 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...

  8. 76 FR 58553 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-21

    ..., effective September 1, 2011.\\4\\ \\4\\ Securities Exchange Act Rel. No. 34-65268 (Aug. 25, 2011), 76 FR 56246... September 1 to September 9, 2011 (Inclusive) September 14, 2011. Pursuant to Section 19(b)(1) of the... the period of September 1 to September 9, 2011, inclusive. On August 25, 2011, the Exchange filed...

  9. 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'')...

  10. 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...

  11. 76 FR 77048 - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-09

    ... 240.19b-4. \\3\\ Securities Exchange Act Release No. 34-65613 (October 24, 2011), 76 FR 67007 (October... therefore ordered, pursuant to Section 19(b)(2) \\8\\ of the Act, that the proposed rule change (File No....

  12. 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.

  13. 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; Błachowicz, 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.

  14. Patterns of trading profiles at the Nordic Stock Exchange. A correlation-based approach.

    NASA Astrophysics Data System (ADS)

    Musciotto, Federico; Marotta, Luca; Miccichè, Salvatore; Piilo, Jyrki; Mantegna, Rosario N.

    2016-07-01

    We investigate the trading behavior of Finnish individual investors trading the stocks selected to compute the OMXH25 index in 2003 by tracking the individual daily investment decisions. We verify that the set of investors is a highly heterogeneous system under many aspects. We introduce a correlation based method that is able to detect a hierarchical structure of the trading profiles of heterogeneous individual investors. We verify that the detected hierarchical structure is highly overlapping with the cluster structure obtained with the approach of statistically validated networks when an appropriate threshold of the hierarchical trees is used. We also show that the combination of the correlation based method and of the statistically validated method provides a way to expand the information about the clusters of investors with similar trading profiles in a robust and reliable way.

  15. 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...

  16. 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

    ... Public Reference Room. \\4\\ See Exchange Act Release No. 66279 (Jan. 30, 2012), 77 FR 5611 (Feb. 3, 2012... 1994 (``Prevention Act'') in 1995. See Federal Trade Commission, Telemarketing Sales Rule, 60 FR 43842... Commission, Telemarketing Sales Rule, 68 FR 4580 (Jan. 29, 2003) at 4628; and Federal Trade...

  17. 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...

  18. 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

    ... Article 20, Rule 10(c)(4). See Securities Exchange Act Release No. 65115 (August 11, 2011), 76 FR 51447.... 68802 (February 1, 2013), 78 FR 9092 (Feb. 7, 2013) (SR-CHX-2013-04). On September 10, 2010, the... (September 10, 2010), 75 FR 56613 (September 16, 2010) (SR-CHX-2010-13). \\6\\ Id. \\7\\ See Securities...

  19. 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

    ... Effectiveness of Proposed Rule Change To Adopt a New Order Type Called the Midpoint-Seeker Order and Amend Rule... a new order type called a Midpoint-Seeker Order. The text of the proposed rule change is available... Midpoint- Seeker Order. \\3\\ Exchange Rule 1.5. ``Protected BBO'' is defined as ``the better of...

  20. 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...

  1. 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

    ...) instead of otherwise interacting. \\4\\ Securities Exchange Act Release No. 61781 (March 25, 2010), 75 FR... Display Reserve Order to `flip' (i.e., change from liquidity provider to a liquidity taker) and interact... STP modifier, the first order will flip and execute against the second order. Example 4:...

  2. 76 FR 67239 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice and Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-31

    .... 64937 (July 20, 2011), 76 FR 44638 (``Notice''). \\4\\ See letter to Elizabeth M. Murphy, Secretary... Exchange Act Release No. 65354 (September 19, 2011), 76 FR 59476 (September 26, 2011). Institutional... trading center. Any resulting execution report would be ``flipped'' from the executing clearing member...

  3. 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

    ... Notifications per month. \\7\\ See Securities Exchange Act Release No. 68391 (December 10, 2012), 77 FR 74536.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the... principal office, and at the Commission's public reference room. ] II. Self-Regulatory...

  4. 77 FR 521 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated and National Stock...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-05

    .... Introduction On November 28, 2011, each of the Chicago Board Options Exchange, Incorporated (``CBOE'') and the...), 76 FR 75577 (December 2, 2011) (SR-CBOE-2011-107) (``CBOE Notice'') and 65842 (November 28, 2011), 76 FR 75586 (December 2, 2011) (SR-NSX-2011-14) (``NSX Notice''). II. Background A. The...

  5. 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... declines and specified trading halts following such declines. The values of Levels 1, 2 and 3 are... closing value of the DJIA for the month prior to the beginning of the quarter. Each percentage...

  6. 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... entry and in certain cases again reprices and re-displays an order at a more aggressive price one time... achieves a more aggressive price, based upon changes to the prevailing NBBO; provided, however, that...

  7. 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... Effectiveness of Proposed Rule Change To Adopt Enhanced Customer Disclosure Rules Concerning...

  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

    ... 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 be... Exchange Act Release No. 64985 (July 28, 2011), 76 FR 46866 (``Notice''). \\4\\ See letters from Darren...

  9. 77 FR 13675 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-07

    ... Release No. 54550 (September 29, 2006), 71 FR 59563 (October 10, 2006) (SR-CHX-2006-05). \\6\\ See id. \\7... purposes.\\9\\ \\8\\ See Notice, 77 FR at 3529. \\9\\ See id. CHX proposed to modify its rules correspondingly to... 240.19b-4. \\3\\ Securities Exchange Act Release No. 66177 (January 18, 2012), 77 FR 3527...

  10. 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

    ... Release No. 34-62886 (September 10, 2010), 75 FR 56613 (September 16, 2010) approving SR-CHX-2010- 13. \\5...) regarding SR-CHX-2010-23. \\6\\ See Securities Exchange Act Release No. 64228 (April 7, 2011), 75 FR 20792..., 2011), 75 FR 50524 (August 15, 2011) regarding SR-CHX-2011-24. 2. Statutory Basis Approval of the...

  11. 75 FR 62910 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-13

    ... Effectiveness of Proposed Rule Change To Amend the NSX Fee and Rebate Schedule October 5, 2010. Pursuant to... changes to the Fee Schedule and will post a copy of the rule filing on the Exchange's website ( http://www... proposed rule change. ] III. Date of Effectiveness of the Proposed Rule Change and Timing for...

  12. 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.

  13. 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;...

  14. 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...'') \\3\\ to 0.25% of trade value. \\3\\ The Exchange's two modes of order interaction are described in NSX... in AutoEx to 0.25% of trade value. The current Fee Schedule provides a rebate in AutoEx of 0.10%...

  15. 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.

  16. 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...

  17. 75 FR 28845 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-24

    ... Change To Establish a Trading Halt for Individual Stocks Contained in the Standard & Poor's 500 Index...'') is proposing to establish a trading halt for individual stocks contained in the Standard & Poor's 500... 11.20A applies to market-wide halts whereas proposed new Rule 11.20B applies to individual...

  18. 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

    ... per share when adding liquidity in More Active Securities \\3\\ if the More Active Security has a stock... ``More Active Securities Quoting Requirement'' is met if the More Active Security has a stock price of $1... intraday adding liquidity in shares of each More Active Security for that month if the More Active...

  19. 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

    ... Security \\4\\ if the More Active Security has a stock price of $1.00 or more, the DMM meets both the More...\\ and the DMM's providing liquidity meets certain thresholds, as follows: \\4\\ A ``More Active Security... More Active Security has a stock price of $1.00 or more and the DMM quotes at the National Best Bid...

  20. 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... Exchange, Inc. (the ``Exchange'' or ``CHX'') filed with the Securities and Exchange Commission...

  1. 17 CFR 240.16a-9 - Stock splits, stock dividends, and pro rata rights.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... held as a result of a stock split or stock dividend applying equally to all securities of a class... 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...

  2. 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... with the Exchange's quantitative continued listing standards. Based on this empirical data,...

  3. 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...

  4. 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... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND EXCHANGE...) of the Securities Exchange Act of 1934 (the ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice...

  5. 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

    ...\\ 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) (SR... exchanges, ECNs and the market for delayed data and would better reflect the perceived value of the...

  6. 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

    ... List To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center October 26... Exchange's data center. The text of the proposed rule change is available at the Exchange, the Commission's.... Purpose The Exchange operates a data center in Mahwah, New Jersey from which it provides...

  7. 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,...

  8. 75 FR 28090 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-19

    ... Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange Commission (the... prepared by the Exchange. CHX has filed the proposal pursuant to Section 19(b)(3)(A) of the Act \\3\\ and... Rule Change The CHX proposes to amend its Schedule of Participant Fees and Assessments (the...

  9. 75 FR 28083 - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-19

    ... Effectiveness of Proposed Rule Change To Establish a Fixed Provide Credit for CHX-Registered Institutional... Exchange, Inc. (``CHX'' or ``Exchange'') filed with the Securities and Exchange Commission (the... prepared by the Exchange. CHX has filed the proposal pursuant to Section 19(b)(3)(A) of the Act \\3\\...

  10. 77 FR 63388 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-16

    ... the Exchange. \\7\\ See Securities Exchange Act Release No. 52696 (October 28, 2005), 70 FR 66881...), 70 FR 55933 (September 23, 2005) (SR-NYSE-2005-35), at 55934 . The Exchange believes that amending... designation) and for applications relating to poison pills. The ] Exchange proposes to increase this fee...

  11. 75 FR 9009 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-26

    ... to 123C(9)(a)(1). \\5\\ See Securities Exchange Act Release No. 59755 (April 13, 2009), 74 FR 18009... 123C(9)(a)(1) operate as the Extreme Order Imbalance Pilot. The Exchange invokes NYSE Rule...

  12. 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.

  13. 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...

  14. 76 FR 44073 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-22

    ... Rule 15c3-5.\\8\\ \\7\\ See Securities Exchange Act Release No. 63241 (November 3, 2010), 75 FR 69792...)(1)(i) for all securities. See Securities Exchange Act Release No. 64748 (June 27, 2011), 76 FR 38293... Broker To Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act...

  15. 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

    ... periods of market stress. \\4\\ See Securities Exchange Act Release No. 53539 (March 22, 2006), 71 FR 16353... FR 33498 (June 6, 2012) (``LULD Release''). Nevertheless, the Exchange proposes to phase out LRPs as... (January 31, 2013), 78 FR 8646 (February 6, 2013) (SR-NYSEArca-2013- 06). As such, the Exchange proposes...

  16. 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

    ... Establish a Fee for Users That Host Their Customers at the Exchange's Data Center December 15, 2011. I...''). II. Description of the Proposed Rule Change The Exchange operates a data center in Mahwah, New Jersey... data delivery services to their customers while the User is co-located in the Exchange's data...

  17. 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

    ... Exchange operates a data center in Mahwah, New Jersey (``data center'') from which it provides co- location services to Users. The Exchange's co-location services allow Users to rent space in the data center in... from the Exchange. Cabinet Cross Connects A User that has more than one cabinet within the data...

  18. 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

    ...\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 61914 (April 15, 2010), 75 FR 21077. II.... See Securities Exchange Act Release No. 59606 (March 19, 2009), 74 FR 13293 (March 26, 2009) (SR-NYSE... Filing'').\\5\\ \\5\\ See Securities Exchange Act Release No. 62038 (May 5, 2010), 75 FR 26825 (May 12,...

  19. 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... minutes or less. In addition, the Exchange proposes adding to the Numerical Guidelines chart a row that... executions occurred within a period of five minutes or less. The Exchange proposes clarifying paragraph...

  20. 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...

  1. 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...

  2. 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

    ... 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). \\7\\ See Securities Exchange Act Release Nos. 57682 (Apr. 17, 2008), 73 FR 22193 (Apr. 24, 2008)...

  3. 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...

  4. 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...

  5. 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

    ... 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, 2010) (SR-NYSE-2010-22). \\6\\ See Securities Exchange Act Release No. 67467 (July 19, 2012), 77 FR...

  6. 77 FR 2592 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-18

    .... \\3\\ See Securities Exchange Act Release No. 65090 (August 10, 2011), 76 FR 50790 (August 16, 2011... 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...

  7. 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...

  8. 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...

  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. 76 FR 27689 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-12

    ...), 75 FR 34186 (June 16, 2010) (SR-NSX-2010-05). \\4\\ See Securities Exchange Act Release No. 63512 (December 9, 2010), 75 FR 78786 (December 16, 2010) (SR-NSX-2010-17); and Securities Exchange Act Release No. 64213 (April 6, 2011), 76 FR 20409 (April 12, 2011) (SR-NSX-2011-04). As the Exchange noted in...

  11. 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

    ... disclosure regarding options.\\13\\ \\13\\ See Securities Exchange Act Release No. 54344 (August 21, 2006), 71 FR... Updated Listing Application Materials That Will Be Posted on the Exchange's Web Site; and (ii) Adopt as... be posted on the Exchange's Web site; and (ii) adopt as new rules certain provisions that...

  12. 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... the Price List. The Exchange proposes that, instead of the static $0.0015 rate, the applicable...

  13. 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..., 2010), 75 FR 70311 (Nov. 17, 2010) (SR-NYSEArca-2010-97). For these reasons, the Exchange believes...

  14. 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... NASDAQ Rule 5910. See also Securities Exchange Act Release No. 61669 (March 5, 2010), 75 FR 11958 (March.... 59663 (March 31, 2009), 74 FR 15552 (April 6, 2009) (SR-NASDAQ-2009-018). The Exchange believes that...

  15. 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

    ... that underlies an NYSE Amex option, such as the announcement of a merger, acquisition, joint venture...). \\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...

  16. 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)...

  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

    ... beginning in late 2006. See Securities Exchange Act Rel. No. 54550 (Sept. 29, 2006), 71 FR 59563 (Oct. 10, 2006) (SR-CHX-2006-05). \\5\\ See Securities Exchange Act Rel. No. 63564 (Dec. 16, 2010), 75 FR 80870 (Dec. 23, 2010) (SR-CHX-2010-25). \\6\\ See Securities Exchange Act Rel. No. 65633 (Oct. 26, 2011), 76...

  18. 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...

  19. 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...

  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

    ... the information described in (i) above on Form 20-F; ] (2) Maintained on both an absolute and an... with the Commission a Form 8-K including all of the information required by Item 2.01(f) of Form 8-K..., stock price and market value requirements of Sections 102.01A and 102.01B of the Manual (in the case...

  1. 75 FR 27848 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-18

    ... will be made to the odd lot transaction charges for securities with a per share trading price less than... pricing tier and will now charge $0.0007 per share for all MOC and LOC transactions, which is the price... orders in securities with a per share stock price less than $1.00. All such transactions will now...

  2. 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

    ... foreign corporation at any time thereafter. On December 31, 1965, Brown, a United States person who has... share sold. Since Brown owned stock representing at least 10 percent of the total combined voting power...) applies to the gain recognized by Brown to the extent of the earnings and profits attributable under §...

  3. Influence of soil C stocks and interannual climatic variability on the CO2 and CH4 exchange of maize cultivated on mineral and organic soils in NE Germany

    NASA Astrophysics Data System (ADS)

    Pohl, Madlen; Hagemann, Ulrike; Hoffmann, Mathias; Giebels, Michael; Albiac-Borraz, Elisa; Sommer, Michael; Augustin, Jürgen

    2014-05-01

    Due to its glacially influenced genesis and land use history, the soils of the Great Plain Region of NE-Germany show large differences in groundwater levels and soil carbon (C) stocks over short distances. Although generally featuring a rather dry climate, trace gas exchange at individual sites may be influenced by i) interannual climatic variability, particularly with respect to precipitation; as well as by ii) variability of soil C stocks. However, it is still unclear how these factors affect fluxes of CO2 and CH4, and if there is any positive or negative feedback on the C source or sink function of different soil types. We present measured and modeled CO2 and CH4 fluxes of minerally fertilized grain maize for three sites located near Paulinenaue, within the so-called Rhin-Havelluch, a shallow and drained paludification mire complex in NE Germany. The sites are characterized by a distinct gradient of 0-1 m soil organic C stocks: i) Arenosol (AR: mineral soil/distant groundwater; 8 000 g C m-2), ii) Gleysol (GL: organic soil/groundwater-dependent; 35 000 g C m-2), and iii) Histosol (HS: organic soil/near groundwater; 45 000 g C m-2). CO2 flux measurements of ecosystem respiration (Reco), net ecosystem exchange (NEE) and gross primary production (GPP; calculated as difference between NEE and Reco) were conducted every four weeks using a flow-through non-steady-state closed chamber system. Measurement gaps of Reco and NEE were filled by using temperature or radiation-based models, respectively. CH4 fluxes were measured bi-weekly using a static closed chamber system with interval sampling, with gap filling via linear interpolation. Cumulated fluxes of CO2-C (Reco, GPP, NEE) and CH4-C were calculated for a period of four consecutive years (2007-2010). The intensity of CO2-C fluxes increased with growing soil organic C stocks (AR < GL < HS). Mean annual values of the years 2008-2010 for Reco ranged between 1 500 g C m-2 and 2 000 g C m-2; annual GPP fluxes ranged from

  4. 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.... (``NYSEArca''), The NASDAQ Stock Market LLC (``NASDAQ''), National Stock Exchange, Inc. (``NSX'') and Chicago... proposed rules may exacerbate market volatility rather than reduce it due to the interplay of stock...

  5. 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...

  6. 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...

  7. 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 No. 67437, 77 FR 42525 (July 13, 2012) (``Disapproval Order''). A. Trading Floor... 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'')....

  8. 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...

  9. 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... Division of Trading and Markets, pursuant to delegated authority.\\7\\ \\7\\ 17 CFR 200.30-3(a)(31). Kevin M. O... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to...

  10. 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)....

  11. 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

    ... 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) (SR... respect to a particular port does not affect the assessment of monthly fees, so even if a particular...

  12. 76 FR 23637 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-27

    ...\\ See Securities Exchange Act Release No. 64039 (March 4, 2011), 76 FR 13251. II. Description of the... Policy in the Event of a Merger Involving One or More Listed Companies April 21, 2011. I. Introduction On... the application of the Exchange's Designated Market Maker (``DMM'') allocation policy in the event...

  13. 77 FR 47154 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-07

    ... 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 Nos. 63479 (December 9, 2010), 75 FR 78274 (December 15, 2010) (SR-NYSE-2010-80); 64232 (April 7, 2011), 76 FR 20735 (April 13, 2011)...

  14. 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...

  15. 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...

  16. 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...

  17. 75 FR 28831 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-24

    ... moves 10% or more from a sale in a preceding five-minute period. The Exchange is proposing this rule... significant imbalance, the Exchange may delay the re- opening of the security past the five-minute Trading... From the Federal Register Online via the Government Publishing Office SECURITIES AND...

  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

    ..., 2010), 75 FR 56613 (September 16, 2010) (SR-NYSE-2010-47). See also Securities Exchange Act Release Nos... security in the preceding five-minute period during a trading day. See Securities Exchange Act Release No... From the Federal Register Online via the Government Publishing Office SECURITIES AND...

  19. 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... Change, as Modified by Amendment No. 1, To Amend Article 20, Rule 10 Regarding Clearly Erroneous...'s Statement of the Terms of Substance of the Proposed Rule Change CHX proposes to amend Article...

  20. 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... evidence, and shows to the satisfaction of the Exchange Board of Directors that the additional evidence...

  1. 75 FR 15476 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-29

    ...), 70 FR 37496 (June 29, 2005). Finally, the Exchange seeks to delete all references in the rule text to...\\ See Securities Exchange Act Release No. 58845 (October 24, 2008), 73 FR 64379 (October 29, 2008) (SR... transaction shall be consistent with all NYSE Rules, including those rules related to priority and...

  2. 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..., 2007), 72 FR 32926, 32927 (June 14, 2007), note 14. \\28\\ See CHX Article 20, Rule 10. Proposed...

  3. 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... Rule Change To Add New Section 907.00 to the Listed Company Manual that Sets Forth...

  4. 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....

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-25

    ... NYSE Amex option, such as the announcement of a merger, acquisition, joint venture, spinoff... on the Exchange. \\6\\ See Securities Exchange Act Release 55908 (June 14, 2007), 72 FR 34056 (June 20...-2008-62 and SR-NYSE-2008-60), 73 FR 57707 (October 3, 2008), and NYSE Rule 6A. Under the proposed...

  6. 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)...

  7. 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...

  8. 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

    ... Release No. 67846 (September 12, 2012), 77 FR 57625 (``Notice). II. Description of the Proposal Section.... exchange.\\4\\ \\4\\ See Securities Exchange Act Release No. 65127 (Aug. 12, 2011), 76 FR 51449, 51450 n. 13... market analytics or Web-hosting products and services to U.S. issuers that have 160 million to...

  9. 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);...

  10. 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 FR 59756 (September 27, 2011). \\5\\ See Letter to Elizabeth M. Murphy, Secretary, Commission, from... Securities Exchange Act Release No. 64633 (June 8, 2011), 76 FR 34781 (June 14, 2011)...

  11. 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)...

  12. 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)...

  13. 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...

  14. 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...

  15. 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...

  16. 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,...

  17. 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...

  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. 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)...

  20. 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

    ... Securities Exchange Act Release No. 67488 (July 23, 2012), 77 FR 44302 (``Notice''). II. Description of the... NMS Rule 611--Compliant Tool for Floor Brokers September 10, 2012. I. Introduction On July 13, 2012... compliance with Rule 611 of Regulation NMS (``Rule 611'').\\5\\ The Exchange contends that, in today's...

  1. 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... reasons. Specifically, the Exchange believes that there is a correlation between the number of...

  2. 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)...

  3. 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..., the Exchange will require DMMs to continuously maintain two-sided bid and offer interest within...

  4. 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

    .... 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) (approving... Exchange Act Release No. 57272 (February 5, 2008); 73 FR 8098 (February 12, 2008) (SR-NYSE-2007-101)....

  5. 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...

  6. 77 FR 47156 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-07

    ... current scheduled expiration date of July 31, 2012,\\3\\ until February 4, 2013. \\3\\ See Securities Exchange Act Release No. 66134 (January 11, 2012), 77 FR 2592 (January 18, 2012) (SR-NYSE-2011-68). NYSE Rule... Securities Exchange Act Release No. 67091 (May 31, 2012), 77 FR 33498 (June 6, 2012) (File No. 4-631)...

  7. 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,...

  8. 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... more than 20 million shares For all other SLP transactions that add liquidity to the Exchange but do... reasonable dues, fees, and other charges among its members and other persons using its facilities....

  9. 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

    ...\\ See Securities Exchange Act Release No. 58877 (October 29, 2008), 73 FR 65904 (November 5, 2008) (SR... barriers between the SLP unit and any member organization's customer, research, and investment-banking... Securities assigned to the SLMM.\\11\\ \\9\\ See Securities Exchange Act Release No. 63255 (Nov. 5, 2010), 75...

  10. 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...

  11. 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...

  12. 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...

  13. 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... affiliate, NYSE Amex LLC, has proposed parallel changes its rules. See SR-NYSEAmex-2011-16. \\5\\...

  14. 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...

  15. 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...

  16. 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...

  17. 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

    ... securities laws.\\5\\ \\4\\ See Securities Exchange Act Release No. 55590 (April 5, 2007), 72 FR 18707 (April 13... Securities Exchange Act Release No. 57870 (May 27, 2008), 73 FR 31526 (June 2, 2008) (SR-NYSE-2008-37). As... Release No. 58680 (September 29, 2008), 73 FR 58283 (October 6, 2008) (SR-NYSE-2008-76). \\7\\...

  18. 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...

  19. 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...

  20. 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)....

  1. 77 FR 63370 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-16

    ... (Removal of Securities) and Rule 19 (Corporate Governance) to comport with Section 10(C) of the Exchange... Securities) and Rule 19 (Corporate Governance) to comport with Section 10(C) of the Exchange Act \\7\\ and Rule... (Removal of Securities) and Rule 19 (Corporate Governance) to establish listing standards that require...

  2. 75 FR 30890 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-02

    ... (December 5, 2005), 70 FR 73503 (December 12, 2005) (SR-NYSE-2005-83). \\4\\ See note 1 supra. \\5\\ See... Effectiveness of Proposed Rule Change To Amend the Exchange Price List May 24, 2010. Pursuant to Section 19(b)(1... Change The Exchange proposes to amend its 2010 Price List to delete references to two fees that are...

  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

    ... liquidity to the NYSE in securities with a per share price of $1.00 or more if the SLP (i) Meets the 10... 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...

  4. 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... the aggregate'' to the $0.0005 tier for securities with a per-share price of less than $1.00 to...

  5. 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

    ... in securities with a per share price of $1.00 or more if the SLP (i) meets the 10% average or more... 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,...

  6. 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

    ... Effectiveness of Proposed Rule Change Amending Its Listed Company Manual To Apply Listing and Annual Fees to... Proposed Rule Change The Exchange proposes to amend the Listed Company Manual to include a fee that it... Manual. The text of the proposed rule change is available at the Exchange, the Commission's...

  7. 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

    ... Exchange Act Release No. 54820 (November 26 , 2006), 71 FR 70824 (December 6, 2006) (SR-NYSE-2006-65). In... (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...

  8. 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

    ..., telephone facsimiles, and computer advertisements.\\11\\ \\9\\ See 68 FR 4580 (January 29, 2003); 68 FR 44144... 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...

  9. 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

    ... Exchange Act Release Nos. 62252 (June 10, 2010), 75 FR 34186 (June 16, 2010) (File Nos. SR-BATS-2010-014...-047); 62251 (June 10, 2010), 75 FR 34183 (June 16, 2010) (SR-FINRA-2010- 025). \\7\\ See e.g.,Securities Exchange Act Release Nos. 62884 (September 10, 2010), 75 FR 56618 (September 16, 2010) (File Nos....

  10. 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

    ... Exchange Act Release No. 63498 (December 9, 2010), 75 FR 78310 (December 15, 2010) (SR-CHX-2010-24). Then.... 64203 (April 6, 2011), 76 FR 20393 (April 12, 2011) (SR-CHX-2011-05). The Exchange has continued to... Release No. 62252 (June 10, 2010), 75 FR 34186 (June 16, 2010) (File Nos. SR-BATS-2010-014;...

  11. 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...

  12. 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...

  13. 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

    ... 30, 2009), 74 FR 64103 (December 7, 2009) (SR-NYSE-2009-106). The Exchange also proposes to add new... Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to... Exchange proposes to amend Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Rule...

  14. 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...

  15. 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..., liquidity and quoting thresholds applicable to billing on the Exchange in relation to a systems issue... to modify the manner in which it calculates certain volume, liquidity and quoting...

  16. 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...

  17. 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... Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored...

  18. 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...

  19. 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...

  20. 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

    ... Securities Exchange Act Release No. 59626 (March 25, 2009), 74 FR 14831 (April 1, 2009) (SR-NYSE-2009-33... evolution of the market probe response that Floor brokers have always been entitled to receive and...

  1. 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... multiplier (i.e., 2x). As further proposed, in conducting this review, and notwithstanding anything to...

  2. 75 FR 11604 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-11

    ... Securities Exchange Act Release No. 61424 (January 26, 2010), 75 FR 5367. II. Description of the Proposal... Counsel--U.S. Equities, NYSE Euronext LLC, to David Liu, Assistant Director, and Leigh W. Duffy,...

  3. 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

    ... Securities Exchange Act Release No. 65034 (August 4, 2011), 76 FR 49513. \\4\\ See Letter from James Davidson, Hermes Equity Ownership Services Limited to Elizabeth Murphy, Secretary, Commission dated August 31,...

  4. 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... Manual applies to any individual issuance of securities. This is in contrast to the $500,000...

  5. 78 FR 37265 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-20

    ... Act Release Nos. 68996 (February 27, 2013), 78 FR 14378 (March 5, 2013) (SR-NYSE-2013-13). However.... In this regard, the Exchange continues to believe that the pricing correlation between order flow...

  6. 77 FR 20079 - Securities Exchange Act of 1934; In the Matter of the NASDAQ Stock Market LLC; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-03

    ... Securities Exchange Act Release No. 65362 (September 20, 2011), 76 FR 59466 (September 26, 2011). It is... Petition for Review and Scheduling Filing of Statements Pursuant to Rule 431 of the Rules of...

  7. 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

    ... (the ``Dodd-Frank Act''). \\3\\ See Securities Exchange Act Release No. 62874 (September 9, 2011) 75 FR.... 61046 (November 20, 2009), 74 FR 62849 (December 1, 2009) (SR-NYSE-2009-114). 2. Statutory Basis...

  8. 77 FR 56693 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-13

    ... LLC.\\3\\ \\3\\ See Securities Exchange Act Release No. 67037 (May 21, 2012), 77 FR 31415 (May 25, 2012... ``NYSE MKT'' Reflecting the Recent Name Change of NYSE Amex LLC to NYSE MKT LLC September 7, 2012... to ``NYSE Amex'' with ``NYSE MKT'' to reflect the recent name change of NYSE Amex LLC to NYSE MKT...

  9. 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... (October 9, 2009), 74 FR 53532 (October 19, 2009) (SR-NYSE-2009-104) (extending the operation of the pilot... dislocation to the closing price. The rule has operated on a pilot basis since April 2009 (``Extreme...

  10. 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...

  11. 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

    ... FR 9009 (Feb. 26, 2010) (SR-NYSE-2010-09). More recently, on Friday, September 21, 2012, there was a... a price dislocation at the close as a result of an order entered into Exchange systems, or... at the close that would otherwise result in a significant price dislocation. Without the...

  12. 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

    ... its risk management tools as the technology supporting the functionality is being implemented and will... 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...

  13. 78 FR 29406 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-20

    ...). \\2\\ 17 CFR 240.19b-4. \\3\\ See 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... FR 77160 (December 31, 2012) (SR-NYSE-2012-57); Release No. 68521, 77 FR 77152...

  14. 75 FR 51512 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-20

    ... premises controlled by the Exchange in order that they may locate their electronic servers in close... advance. ] Rack and Stack Installation of one $200 per server. server in User's cabinet. Service encompasses handling, unpacking, tagging, and installation of the server as well as 1 network...

  15. 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... Markets, pursuant to delegated authority.\\17\\ \\17\\ 17 CFR 200.30-3(a)(12). Cathy H. Ahn, Deputy...

  16. 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

    ... (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 Pool.... 23, 2000), 65 FR 10577, 10578 (Feb. 28, 2000) (``Fragmentation Concept Release) (``These order...

  17. 77 FR 2589 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-18

    ... (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); 64232 (April 7, 2011), 76 FR 20735 (April 13, 2011) (SR-NYSE-2011-17); and 65064 (August 9, 2011), 76 FR 50505...

  18. 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...

  19. 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...

  20. 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

    ... it planned to begin operating a data center in Mahwah, New Jersey, from which it will offer co-location services. The Exchange represented that it will offer space at the data center in cabinets with... cable installation, and remote ``hot-hands'' services, which allow Users to use on-site data...

  1. 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

    ...\\ See Securities Exchange Act Release No. 68276 (November 20, 2012), 77 FR 70868 (November 27, 2012... promptly update and display the applicable information on its Web site.\\6\\ \\4\\ In addition to the proposed... rumor which calls for immediate release is made shortly before the opening or during market...

  2. 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

    ... company provide advance notice of a material event or rumor by telephone. Section 202.06 currently... is a material event or a statement dealing with a rumor which calls for immediate release which is... position on its Web site. The proposed rule text provides that the Exchange will promptly update...

  3. 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...

  4. 77 FR 23305 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-18

    ... Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member... Act Release No. 66021 (December 21, 2011), 76 FR 81551 (December 28, 2011) (SR-FINRA-2011-63) . The...\\ See Securities Exchange Act Release No. 65523 (October 7, 2011), 76 FR 64154 (October 17, 2011)...

  5. 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)...

  6. 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.... The Commission will post all comments on the Commission's Internet Web site (...

  7. 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... Mountain Capital Management LLC, dated November 29, 2011; Wayne Koch, Trader, Bright Trading, dated..., CFA Institute, dated November 30, 2011; David Green, Bright Trading, dated November 30, 2011;...

  8. 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...

  9. 77 FR 40673 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-10

    ... 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). On May 14, 2012, NYSE Amex filed a proposed rule change, immediately... November 30, 2011 (``Jennewein Letter''). \\6\\ See Securities Exchange Act Release No. 66003, 76 FR...

  10. 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...

  11. 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...

  12. 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...

  13. 77 FR 66893 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-07

    ... telephone and cell phone service, neither the wired or wireless telephone connections on the Trading Floor... provided portable phones is governed by Rule 36.21. Because of intermittent cell phone service, many... the Exchange authorized and provided portable phones. In certain instances, however, the personal...

  14. 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... potentially executable within the limit price in the NYBX Facility and the DBK, the existing ``tie breaker... buy NYBX IOC order is instead for 700 shares, pursuant to the tie-breaker rule in Rule...

  15. 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,...

  16. 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,...

  17. 77 FR 47891 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-10

    ... Effectiveness of Proposed Rule Change Reducing From 10 Days to Five Days the Shareholder Notification Period That Is a Condition to a Waiver of the NYSE's Shareholder Approval Requirements Pursuant to Section 312... Proposed Rule Change The Exchange proposes to reduce from 10 days to five days the shareholder...

  18. 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...

  19. 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

    ...\\ 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) (``Approval... in BIDS without prior Commission approval.\\8\\ \\7\\ See Approval Order, 74 FR at 5018. \\8\\ See id....

  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... and modernize market data administration, the Exchange provided an alternative to traditional...

  1. 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

    ... (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 71062....\\12\\ \\12\\ See Securities Exchange Act Release Nos. 61409 (January 22, 2010), 75 FR 4889 (January...

  2. 75 FR 31496 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-03

    ..., 2008), 73 FR 57707 (October 3, 2008) (SR-NYSE-2008-60 and SR-Amex- 2008-62) (order approving the Merger). \\5\\ See Securities Exchange Act Release No. 58705 (October 1, 2008), 73 FR 58995 (October 8, 2008... No. 59472 (February 27, 2009), 74 FR 9843 (March 6, 2009) (SR-NYSEALTR-2008-14) (order approving...

  3. 76 FR 47626 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-05

    ... Program for Qualified Floor Members Pursuant to NYSE Rule 103A, From a Fixed Flat Fee of $80 Per Training... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to...

  4. 76 FR 6167 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-03

    ... approves the proposed rule change. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 63532 (December 13, 2010), 75 FR 79060. On behalf of the Corporation, NYSE... Requirement of an 80% Supermajority Vote To Amend or Repeal Section 3.1 of its Bylaws January 28, 2011....

  5. 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

    ... Manual That Sets Forth Certain Complimentary Products and Services That Are Offered to Currently and... change to amend the NYSE's Listed Company Manual to set forth certain complimentary products and services.... \\3\\ See Securities Exchange Act Release No. 64506 (May 17, 2011), 76 FR 29806 (May 23, 2011). \\4\\...

  6. 78 FR 63529 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-24

    ...), 78 FR 5213 (January 24, 2013) (SR-NYSE-2013-02) (``Notice''), and 69045 (March 5, 2013), 78 FR 15394 (March 11, 2013). \\5\\ See Notice, 78 FR at 5219. 2. Statutory Basis The Exchange believes that the... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and...

  7. 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...

  8. 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

    ....19b-4. \\4\\ See Securities Exchange Act Release Nos. 69851 (June 25, 2013), 78 FR 39407 (July 1, 2013) (SR-NYSE-2013-42) (``Notice''); 69849 (June 25, 2013), 78 FR 39369 (July 1, 2013)(SR-NYSEMKT-2013- 50) (``NYSEMKT Notice''); 69850 (June 25, 2013), 78 FR 39352 (July 1, 2013) (SR-NYSEArca-2013-62) (``NYSE...

  9. 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...

  10. 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...

  11. 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... Rule 1000(a)(iv) to provide for a different liquidity replenishment point (``LRP'') value range during...) to provide for a different LRP value range during the first day of trading of an IPO on the...

  12. 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...

  13. 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...

  14. 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...

  15. 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... specified trading halts following such declines. The values of Levels 1, 2 and 3 are calculated at the beginning of each calendar quarter, using 10%, 20%, and 30%, respectively, of the average closing value...

  16. 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... specified trading halts following such declines. The values of Levels 1, 2 and 3 are calculated at the beginning of each calendar quarter, using 10%, 20% and 30%, respectively, of the average closing value...

  17. 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...

  18. 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

    ... Exchange Act Release No. 69565 (May 13, 2013), 78 FR 29165 (``Notice''). \\4\\ See Letter to Elizabeth M... Release No. 69878, 78 FR 40260 (July 3, 2013) (SR-NYSE-2013-33) (``Notice''). This letter suggested... Notice, these documents include the listing application and the listing agreement. See 78 FR 29165....

  19. 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

    .... 67564 (August 1, 2012), 77 FR 47161 (August 7, 2012) (SR-NYSE-2012-17) (approving a new director... Securities Exchange Act Release No. 69590 (May 16, 2013), 78 FR 30378 (``Notice''). II. Description of the... under the director independence policy of NYSE Regulation.\\4\\ Finally, like all members of the...

  20. 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

    ... security before crossing the orders. Any other member, including the Designated Market Maker (``DMM''), can...-moving, electronic markets, where prices can change in millisecond time frames, this manual monitoring... be exposed to the DMM and the crowd prior to being executed, which provides other Exchange...

  1. 77 FR 1768 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-11

    .... 78f(b)(4). \\5\\ See Securities Exchange Act Release No. 64582 (June 2, 2011), 76 FR 33390 (June 8, 2011... Year 2012 and (2) Eliminating the NYSE E-Broker Hand Held Device Fee and the NYSE E-Broker Hand Held Device--Opening and Closing Order Imbalances Only (Together the ``Hand Held Device Fees''), the Fee...

  2. 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)...

  3. 78 FR 40816 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-08

    ... Connection With An Initial Public Offering, as New Registrants or by Means of a Carve-Out or Spin-Off... registrants or by means of a carve-out or spin-off transaction. The text of the proposed rule change is... previously been registered under the Exchange Act or (ii) by means of a carve-out or spin-off...

  4. 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

    ... began trading bonds electronically in 1977 with the introduction of the Automated Bond System (``ABS''). In 2007, the Exchange retired the ABS system, moved the platform to its Archipelago technology, and... Release No. 55496 (March 20, 2007), 72 FR 14631 (March 28, 2007) (SR-NYSE-2006-37). Despite these...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 76 FR 46860 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-03

    ...\\ See Securities Exchange Act Release No. 58549 (September 15, 2008), 73 FR 54444 (September 19, 2008... following methods: Electronic Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules... one method. The Commission will post all comments on the Commission's Internet Web site (...

  11. 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...

  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. 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..., 2012), 77 FR 62587 (October 15, 2012) (SR-NYSEArca-2012-105). The comment letter received on the...

  14. 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..., the commenter states that the proposal is similar to flash orders, in which select market...

  15. 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...

  16. 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... 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...

  17. 77 FR 47471 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-08

    ... share price of $1.00 or more at the close. \\4\\ For purposes of SLP liquidity credits, ADV calculations... three credit rates would apply to SLPs: \\5\\ \\5\\ SLP execution of securities with a per share price of $1... Exchange in securities with a per share price of $1.00 or more, if the SLP does not qualify for the...

  18. 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

    ... transaction when adding liquidity to the Exchange in a security with a per share price of $1.00 or more... per share price of $1.00 or more depends on the characteristics of the transaction, including order... per share price of $1.00 or more, if the SLP (i) meets the 10% average or more quoting requirement...

  19. 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

    ... Companies as a second alternative to the market analytics products and services that are offered for a 24.... \\3\\ 17 CFR 240.19b-4. \\4\\ See Securities Exchange Act Release No. 70628 (Oct. 8, 2013), 78 FR 62889... through NYSE Market Access Center; however, certain tiers of currently listed issuers and newly...

  20. 77 FR 35455 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-13

    ... net capital ] consistent with federal requirements for market makers. IV. Conclusion It is therefore...\\ Second, pursuant to proposed NYSE Rule 107B(d)(2), the SLMM would be required to maintain net capital in... Registered as Market Makers at the Exchange June 7, 2012. I. Introduction On April 17, 2012, New York...

  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 45185 - Self-Regulatory Organizations; New York Stock Exchange LLC and NYSE Amex LLC; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-02

    ...; however, ``Setting Interest'' at a particular price point is entitled to priority. For a detailed... aggregate all interest at each price point, including odd-lot interest and the odd-lot portion of PRL... than a round lot when the price point becomes the respective Exchange best bid or best...

  3. 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...

  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. 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...

  6. 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...

  7. 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...

  8. 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... be made available on the proxy card) must immediately tender his or her resignation from the Board... to tender his or her resignation to the Nominating and Governance Committee of the Board (or...

  9. 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...

  10. 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

    ... orders together with the Retail Orders as part of the riskless principal transaction. The text of the... include non-retail orders together with the Retail Orders as part of the riskless principal transaction.\\3... will qualify as ``Retail Orders.'' See Exchange Act Release No. 68747 (Jan. 28, 2013), 78 FR 7824...

  11. 76 FR 10631 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-25

    ... Securities Exchange Act Release No. 59430 (February 20, 2009), 74 FR 9014 (February 27, 2009) (File No. SR-NYSE-2009-15) (the ``Original RMG Fee Filing''). \\5\\ Original RMG Fee Filing, 74 FR at 9015. Although... (September 14, 2009), 74 FR 48110 (September 21, 2009) (File No. SR-NYSEArca-2009- 81) (the ``NYSE Arca...

  12. 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,...

  13. 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

  14. 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

  15. 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...

  16. 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...

  17. 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... of Rules 107C and 107C-Equities, Respectively, To Allow a Retail Member Organization To Attest...

  18. 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.;...

  19. 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.

  20. Clandestine labor migration to Taiwan.

    PubMed

    Tsay, C

    1992-01-01

    "Illegal migration to Taiwan is a recent phenomenon but with a rapid rate of increase. Most illegal foreign workers enter on visitor's visas and overstay. This paper's detailed analysis of official data reveals that Malaysia, Philippines, Indonesia and Thailand are the major sources, providing a stock of mostly male workers numbering around 40,000. Sociodemographic and attitudinal changes among Taiwanese workers coupled with labor shortages in low-skilled jobs are pressuring the Taiwanese government to formulate plans for a systematic importation of foreign labor." PMID:12285774

  1. The protective effect of taking care of grandchildren on elders’ mental health? Associations between changing patterns of intergenerational exchanges and the reduction of elders’ loneliness and depression between 1993 and 2007 in Taiwan

    PubMed Central

    2013-01-01

    Background The 20th century’s rapid industrialization and urbanization brought important social changes to Taiwan, including an increased number of elders living alone, which has increased risk of depression for the elderly. This study aimed to evaluate the changing pattern regarding the effect of intergenerational exchanges on elders’ depressive symptoms from 1993 to 2007. 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 analyzed. This study collected elders’ individual sociodemographic characteristics, their self-reported health status and their intergenerational exchanges, including living with partners or with their children and their provision of care for their grandchildren. Information about elders’ depression was evaluated using the 5-item Epidemiological Studies Depression Scale (CES-D). Changes in elders’ intergenerational exchanges and depressive symptoms were compared during these study periods (chi-square test). Then, logistic regression was performed to determine how significantly elders’ intergenerational exchanges were associated with their depressive symptoms across the three years 1993, 1999 and 2007. Results The prevalence of elders living with partners decreased from 1993 to 2007 by 19%, and that of living with their children decreased from 1993 to 2007 by 7%. Conversely, the percentage of elders providing care for grandchildren dramatically increased, from 9% in 1993 to 21% in 2007. Elderly people had significantly fewer depressive symptoms in 2007 than in 1993. After adjusting for confounders, those living without a partner, living without children or providing no grandchild care had a greater risk of feeling lonely and being depressed. However, during the period 1993 to 2007, the impact on elders’ depression and loneliness of co-residing with a partner or with children decreased at the same time that the impact of their provision

  2. 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

  3. 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

    ... Exchange, Inc.; EDGX Exchange, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC... NASDAQ Stock Market LLC (``Nasdaq''), National Stock Exchange, Inc. (``NSX''), New York Stock Exchange.... The primary listing market that issued an individual stock trading pause will determine...

  4. 26 CFR 1.356-6 - Rules for treatment of nonqualified preferred stock as other property.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... in a distribution with respect to) stock, or a right to acquire stock, other than nonqualified preferred stock; or (2) A right to acquire such nonqualified preferred stock, received in exchange for (or in a distribution with respect to) stock, or a right to acquire stock, other than...

  5. 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...

  6. 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…

  7. 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…

  8. 26 CFR 1.306-3 - Section 306 stock defined.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... relates to section 355) provided the effect of the transaction is substantially the same as the receipt of... different from the preferred stock previously held. Unless the preferred stock exchanged was itself...

  9. 26 CFR 1.306-3 - Section 306 stock defined.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... relates to section 355) provided the effect of the transaction is substantially the same as the receipt of... different from the preferred stock previously held. Unless the preferred stock exchanged was itself...

  10. 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

  11. What Does Stock Ownership Breadth Measure?

    PubMed

    Choi, James J; Jin, Li; Yan, Hongjun

    2013-07-01

    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

  12. [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

  13. 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.…

  14. 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...

  15. 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.

  16. 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…

  17. 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....

  18. 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....

  19. 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...

  20. 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)

  1. 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...

  2. Paleotsunamis in Taiwan

    NASA Astrophysics Data System (ADS)

    Yen, J. Y.; Yu, N. T.; Chyi, S. J.; Lin, L. H.; Hirakawa, K.; Sugawara, D.

    2015-12-01

    Sitting between the Ryukyu and Manila subduction systems, Taiwan is among the world's most tectonically and seismically active areas. However, unlike Japan (from Hokkaido to the southernmost tip of Ryukyu), Taiwan is not known for tsunami events. Historical documents and folklores in Taiwan show a couple of records with different degree of certainty of tsunami, yet very few researches were conducted in paleotsunami researches. During the past two years, we have conducted detail field surveys in Taiwan, and in several chosen area we have conducted shallow bore holes, trench excavations, and following geological and geomorphological researches. Our data show that northern Taiwan has been affected by tsunami both on and off historical records, and could be as many as 8 events. In eastern Taiwan, there are three probable tsunami events, and in western Taiwan, three or four inudation events were discovered that have features very similar to tsunamis. In addtion to continuing field survey, we are performing numerical modeling based on the newly discovered geological evidences. The purpose is the reconstruct the processes of events and find the possilbe sources.

  3. Taiwan Regulation of Biobanks.

    PubMed

    Fan, Chien-Te; Hung, Tzu-Hsun; Yeh, Chan-Kun

    2015-01-01

    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

  4. Visualization of a stock market correlation matrix

    NASA Astrophysics Data System (ADS)

    Rea, Alethea; Rea, William

    2014-04-01

    This paper presents a novel application of Neighbor-Net, a clustering algorithm developed for constructing a phylogenetic network in the field of evolutionary biology, to visualizing a correlation matrix. We apply Neighbor-Net as implemented in the SplitsTree software package to 48 stocks listed on the New Zealand Stock Exchange. We show that by visualizing the correlation matrix using a Neighbor-Net splits graph and its associated circular ordering of the stocks that some of the problems associated with understanding the large number of correlations between the individual stocks can be overcome. We compare the visualization of Neighbor-Net with that provided by hierarchical clustering trees and minimum spanning trees. The use of Neighbor-Net networks, or splits graphs, yields greater insight into how closely individual stocks are related to each other in terms of their correlations and suggests new avenues of research into how to construct small diversified stock portfolios.

  5. 17 CFR 240.16a-9 - Stock splits, stock dividends, and pro rata rights.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ..., and pro rata rights. 240.16a-9 Section 240.16a-9 Commodity and Securities Exchanges SECURITIES AND... Government Securities Dealers § 240.16a-9 Stock splits, stock dividends, and pro rata rights. The following... acquisition of rights, such as shareholder or pre-emptive rights, pursuant to a pro rata grant to all...

  6. 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.

  7. FAmily planning in Taiwan.

    PubMed

    Trewinnard, K

    1998-07-01

    At the turn of the century, Taiwan's population was increasing slowly, then later grew during a period of high fertility after the end of World War II and the accordance of independence in 1946. This growth in fertility came together with increasing life expectancy and a general desire by couples to have families comprised of 5-6 children. Taiwan was therefore poised to experience a major population explosion. In this context, a family planning program was established in the country which has since evolved into one of the world's most successful such programs. By 1990, the preferred family size was 2-3 children and of couples which already had 2 children, 70% of those without any sons were nonetheless practicing contraception. While in 1965, no married women used contraception until they had some children, by 1990, 27% of married women without children used contraception. Increasing age at marriage has been an important factor in Taiwan's declining fertility, with the average age at marriage increasing from 20 years in the 1950s to approximately 27 in the 1970s. Few mothers, however, want only one child. The fertility trends observed in Taiwan have been made possible through the provision of contraception, which used to be universally free, but which is now provided free to only people of low income or the disabled. Oral contraception, condoms, and IUDs are used, although 30% of couples depend upon sterilization. PMID:9741982

  8. Country Profiles, Taiwan.

    ERIC Educational Resources Information Center

    Keeny, S. M.; And Others

    A profile of Taiwan is sketched in this paper. Emphasis is placed on the nature, scope, and accomplishments of population activities in the country. Topics and sub-topics include: location and description of the country; population (size, growth patterns, age structure, urban/rural distribution, ethnic and religious composition, migration,…

  9. Urologic cancer in Taiwan.

    PubMed

    Hung, Chi-Feng; Yang, Cheng-Kuang; Ou, Yen-Chuan

    2016-07-01

    For the past three decades, cancer is the number one cause of death in Taiwan. An increasing trend in the incidence of urologic cancers has also been noticed since 1979. In 2012, urologic cancer accounted for 10.0% of all the new malignant cases. Prostate, bladder and kidney cancers are the most common types. Metastatic prostate cancer still accounted for nearly 30% of new cases in Taiwan between 2004 and 2012. There are several specifically noticeable characteristics of urothelial carcinoma in Taiwan, associated with arseniasis and aristolochic acid. The diagnosis and treatment of urologic cancer mainly follows the current international guidelines. The development of minimal invasive surgery, especially DaVinci robotic surgical system, has made a marked change in the surgical treatment of urologic cancer. Meanwhile, newer systemic agents also commence and improve our standard of care. However, treatment decisions are greatly influenced by the National Health Insurance coverage. The current national cancer registry system should be renovated more comprehensively in order to gain better insight into specific features of urologic cancer in Taiwan. PMID:27052114

  10. Popular Music in Taiwan.

    ERIC Educational Resources Information Center

    Wang, Georgette

    1986-01-01

    Discusses the recent concern over the imbalanced international flow of cultural products into Taiwan--such as films, television programs, and news from developed to developing nations--as it has fed the apprehension that imported popular music may have socialized Taiwanese audiences with alien values and ethics. (JD)

  11. Market Confidence Predicts Stock Price: Beyond Supply and Demand.

    PubMed

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

    2016-01-01

    Stock price prediction is an important and challenging problem in stock market analysis. Existing prediction methods either exploit autocorrelation of stock price and its correlation with the supply and demand of stock, or explore predictive indictors exogenous to stock market. In this paper, using transaction record of stocks with identifier of traders, we introduce an index to characterize market confidence, i.e., the ratio of the number of traders who is active in two successive trading days to the number of active traders in a certain trading day. Strong Granger causality is found between the index of market confidence and stock price. We further predict stock price by incorporating the index of market confidence into a neural network based on time series of stock price. Experimental results on 50 stocks in two Chinese Stock Exchanges demonstrate that the accuracy of stock price prediction is significantly improved by the inclusion of the market confidence index. This study sheds light on using cross-day trading behavior to characterize market confidence and to predict stock price. PMID:27391816

  12. Stock structure of sea otters (Enhydra Lutris Kenyoni) in Alaska

    USGS Publications Warehouse

    Gorbics, C.S.; Bodkin, J.L.

    2001-01-01

    Sea otters in Alaska are recognized as a single subspecies (Enhydra lutris kenyoni) and currently managed as a single, interbreeding population. However, geographic and behavioral mechanisms undoubtably constrain sea otter movements on much smaller scales. This paper applies the phylogeographic method (Dizon et al. 1992) and considers distribution, population response, phenotype and genotype data to identify stocks of sea otters within Alaska. The evidence for separate stock identity is genotypic (all stocks), phenotypic (Southcentral and Southwest stocks), and geographic distribution (Southeast stock), whereas population response data are equivocal (all stocks). Differences in genotype frequencies and the presence of unique genotypes among areas indicate restricted gene flow. Genetic exchange may be limited by little or no movement across proposed stock boundaries and discontinuities in distribution at proposed stock boundaries. Skull size differences (phenotypic) between Southwest and Southcentral Alaska populations further support stock separation. Population response information was equivocal in either supporting or refuting stock identity. On the basis of this review, we suggest the following: (1) a Southeast stock extending from Dixon Entrance to Cape Yakataga; (2) a Southcentral stock extending from Cape Yakataga to Cape Douglas including Prince William Sound and Kenai peninsula coast; and (3) a Southwest stock including Alaska Peninsula coast, the Aleutians to Attu Island, Barren, Kodiak, Pribilof Islands, and Bristol Bay.

  13. Market Confidence Predicts Stock Price: Beyond Supply and Demand

    PubMed Central

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

    2016-01-01

    Stock price prediction is an important and challenging problem in stock market analysis. Existing prediction methods either exploit autocorrelation of stock price and its correlation with the supply and demand of stock, or explore predictive indictors exogenous to stock market. In this paper, using transaction record of stocks with identifier of traders, we introduce an index to characterize market confidence, i.e., the ratio of the number of traders who is active in two successive trading days to the number of active traders in a certain trading day. Strong Granger causality is found between the index of market confidence and stock price. We further predict stock price by incorporating the index of market confidence into a neural network based on time series of stock price. Experimental results on 50 stocks in two Chinese Stock Exchanges demonstrate that the accuracy of stock price prediction is significantly improved by the inclusion of the market confidence index. This study sheds light on using cross-day trading behavior to characterize market confidence and to predict stock price. PMID:27391816

  14. 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

  15. Multilayer stock forecasting model using fuzzy time series.

    PubMed

    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

  16. 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

  17. 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...

  18. Quantum Brownian motion model for the stock market

    NASA Astrophysics Data System (ADS)

    Meng, Xiangyi; Zhang, Jian-Wei; Guo, Hong

    2016-06-01

    It is believed by the majority today that the efficient market hypothesis is imperfect because of market irrationality. Using the physical concepts and mathematical structures of quantum mechanics, we construct an econophysical framework for the stock market, based on which we analogously map massive numbers of single stocks into a reservoir consisting of many quantum harmonic oscillators and their stock index into a typical quantum open system-a quantum Brownian particle. In particular, the irrationality of stock transactions is quantitatively considered as the Planck constant within Heisenberg's uncertainty relationship of quantum mechanics in an analogous manner. We analyze real stock data of Shanghai Stock Exchange of China and investigate fat-tail phenomena and non-Markovian behaviors of the stock index with the assistance of the quantum Brownian motion model, thereby interpreting and studying the limitations of the classical Brownian motion model for the efficient market hypothesis from a new perspective of quantum open system dynamics.

  19. 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

  20. 2. General view of stockyards from livestock exchange building showing ...

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

    2. General view of stockyards from livestock exchange building showing (l-r) Buckingham Road, cattle pens, and Stock yards Autopark. View to northeast. - South Omaha Union Stock Yards, 2900 "O" Plaza, Omaha, Douglas County, NE

  1. Fractal Analysis of Prime Indian STOCK Market Indices

    NASA Astrophysics Data System (ADS)

    Samadder, Swetadri; Ghosh, Koushik; Basu, Tapasendra

    2013-03-01

    The purpose of the present work is to study the fractal behaviour of prime Indian stock exchanges, namely Bombay Stock Exchange Sensitivity Index (BSE Sensex) and National Stock Exchange (NSE). To analyze the monofractality of these indices we have used Higuchi method and Katz method separately. By applying Mutifractal Detrended Fluctuation Analysis (MFDFA) technique we have calculated the generalized Hurst exponents, multifractal scaling exponents and generalized multifractal dimensions for the present indices. We have deduced Hölder exponents as well as singularity spectra for BSE and NSE. It has been observed that both the stock exchanges are possessing self-similarity at different small ranges separately and inhomogeneously. By comparing the multifractal behaviour of the BSE and NSE indices, we have found that the second one exhibits a richer multifractal feature than the first one.

  2. 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...

  3. How was Taiwan created?

    NASA Astrophysics Data System (ADS)

    Sibuet, Jean-Claude; Hsu, Shu-Kun

    2004-02-01

    Since the beginning of formation of proto-Taiwan during late Miocene (9 Ma), the subducting Philippine (PH) Sea plate moved continuously through time in the N307° direction at a 5.6 cm/year velocity with respect to Eurasia (EU), tearing the Eurasian plate. Strain states within the EU crust are different on each side of the western PH Sea plate boundary (extensional in the Okinawa Trough and northeastern Taiwan versus contractional for the rest of Taiwan Island). The B feature corresponds to the boundary between the continental and oceanic parts of the subducting Eurasian plate and lies in the prolongation of the ocean-continent boundary of the northern South China Sea. Strain rates in the Philippines to northern Taiwan accretionary prism are similar on each side of B (contractional), though with different strain directions, perhaps in relation with the change of nature of the EU slab across B. Consequently, in the process of Taiwan mountain building, the deformation style was probably not changing continuously from the Manila to the Ryukyu subduction zones. The Luzon intra-oceanic arc only formed south of B, above the subducting Eurasian oceanic lithosphere. North of B, the Luzon arc collided with EU simultaneously with the eastward subduction of a portion of EU continental lithosphere beneath the Luzon arc. In its northern portion, the lower part of the Luzon arc was subducting beneath Eurasia while the upper part accreted against the Ryukyu forearc. Among the consequences of such a simple geodynamic model: (i) The notion of continuum from subduction to collision might be questioned. (ii) Traces of the Miocene volcanic arc were never found in the southwestern Ryukyu arc. We suggest that the portion of EU continental lithosphere, which has subducted beneath the Coastal Range, might include the Miocene Ryukyu arc volcanoes formed west of 126°E longitude and which are missing today. (iii) The 150-km-wide oceanic domain located south of B between the Luzon arc and

  4. 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

  5. Stock Market Project.

    ERIC Educational Resources Information Center

    Distel, Brenda D.

    This project is designed to teach students the process of buying stocks and to tracking their investments over the course of a semester. The goals of the course are to teach students about the relationships between conditions in the economy and the stock market; to predict the effect of an economic event on a specific stock or industry; to relate…

  6. 26 CFR 1.1248-3 - Earnings and profits attributable to stock in complex cases.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 2. (5) Share or block. In general, the computation under this paragraph shall be made separately for each share of stock sold or exchanged, except that if a group of shares constitute a block of stock the computation may be made in respect of the block. For purposes of this section, the term block of stock means...

  7. 26 CFR 1.1248-3 - Earnings and profits attributable to stock in complex cases.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 2. (5) Share or block. In general, the computation under this paragraph shall be made separately for each share of stock sold or exchanged, except that if a group of shares constitute a block of stock the computation may be made in respect of the block. For purposes of this section, the term block of stock means...

  8. 26 CFR 1.1248-3 - Earnings and profits attributable to stock in complex cases.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 2. (5) Share or block. In general, the computation under this paragraph shall be made separately for each share of stock sold or exchanged, except that if a group of shares constitute a block of stock the computation may be made in respect of the block. For purposes of this section, the term block of stock means...

  9. 26 CFR 1.1248-3 - Earnings and profits attributable to stock in complex cases.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 2. (5) Share or block. In general, the computation under this paragraph shall be made separately for each share of stock sold or exchanged, except that if a group of shares constitute a block of stock the computation may be made in respect of the block. For purposes of this section, the term block of stock means...

  10. 77 FR 8312 - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-14

    ... COMMISSION Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate... that on January 31, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the... Change The NASDAQ Stock Market LLC proposes to modify Chapter XV, entitled ``Option Fees,'' at Sec....

  11. 17 CFR 230.136 - Definition of certain terms in relation to assessable stock.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... relation to assessable stock. 230.136 Section 230.136 Commodity and Securities Exchanges SECURITIES AND... certain terms in relation to assessable stock. (a) An offer, offer to sell, or offer for sale of... shall not be deemed to include the offering or sale of assessable stock, at public auction or...

  12. 76 FR 78325 - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-16

    ... COMMISSION Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate... hereby given that on November 30, 2011. The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed... of the Proposed Rule Change The NASDAQ Stock Market LLC proposes to amend Rule 7056 entitled...

  13. 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.

  14. Collective behavior of stock price movements in an emerging market

    NASA Astrophysics Data System (ADS)

    Pan, Raj Kumar; Sinha, Sitabhra

    2007-10-01

    To investigate the universality of the structure of interactions in different markets, we analyze the cross-correlation matrix C of stock price fluctuations in the National Stock Exchange (NSE) of India. We find that this emerging market exhibits strong correlations in the movement of stock prices compared to developed markets, such as the New York Stock Exchange (NYSE). This is shown to be due to the dominant influence of a common market mode on the stock prices. By comparison, interactions between related stocks, e.g., those belonging to the same business sector, are much weaker. This lack of distinct sector identity in emerging markets is explicitly shown by reconstructing the network of mutually interacting stocks. Spectral analysis of C for NSE reveals that, the few largest eigenvalues deviate from the bulk of the spectrum predicted by random matrix theory, but they are far fewer in number compared to, e.g., NYSE. We show this to be due to the relative weakness of intrasector interactions between stocks, compared to the market mode, by modeling stock price dynamics with a two-factor model. Our results suggest that the emergence of an internal structure comprising multiple groups of strongly coupled components is a signature of market development.

  15. Fractal patterns in Stock Intertrading Times

    NASA Astrophysics Data System (ADS)

    White, Ainslie; Lee, Youngki; Ivanov, Plamen Ch.

    2003-03-01

    We study intertrades times (ITT) of stock trades of a range of companies included in the New York Stock Exchange's Trades and Quotes (TAQ) database. The time between transactions is an indicator of the dynamics of the market, and in the field of econometrics, intertrade durations play a key role in the understanding of the market activity and microstructure. Previous work has mainly focused on the properties of price changes of individual company stocks as well as global financial indices (e.g. SP500, DJ etc.). We hypothesize that there is a relation between the dynamics of price change and the trading activity. To investigate this relation we first study the statistical features of ITT data. The TAQ database covers all transactions on the NSE, AMEX, NASDAQ and the US regional exchanges. We have performed a preliminary analysis of 100 company stocks from a range of industries of the US economy selecting predominantly those companies which have large market capitalisations (MC). We focus on companies with large MC, since the dynamics of the price change and trading activity of stocks of such companies has a considerable impact on the market behaviour.

  16. 78 FR 17272 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-20

    ... COMMISSION Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate... given that on March 1, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the...-exchange markets. Securities Exchange Act Release No. 61358 (January 14, 2010), 75 FR 3594 (January...

  17. Taiwan's healthcare report 2010.

    PubMed

    Ho Chan, Willie Sai

    2010-12-01

    Times are changing. Taiwan is one of the richest countries in the Asia Pacific region. It enacted its single-payer national health insurance program in 1995: in all estimates, it has been very successful. It has a strong healthcare system and the universal health insurance ensures that all citizens have grown to expect a high level of care. Healthcare systems are designed to meet the healthcare needs of target populations. There are a wide variety of healthcare systems around the world. In some countries, healthcare system planning is distributed among market participants, whereas in others planning is made more centrally among governments, trade unions, charities, religions, or other co-ordinated bodies to deliver planned healthcare services targeted to the populations they serve. However, healthcare planning has often been evolutionary rather than revolutionary. In healthcare all work carried out must be at the highest quality, and a much higher proportion of resources must be invested in quality in healthcare. The aim of this report is to give an overview of the healthcare service provision in Taiwan. PMID:23199110

  18. Multidimensional stock network analysis: An Escoufier's RV coefficient approach

    NASA Astrophysics Data System (ADS)

    Lee, Gan Siew; Djauhari, Maman A.

    2013-09-01

    The current practice of stocks network analysis is based on the assumption that the time series of closed stock price could represent the behaviour of the each stock. This assumption leads to consider minimal spanning tree (MST) and sub-dominant ultrametric (SDU) as an indispensible tool to filter the economic information contained in the network. Recently, there is an attempt where researchers represent stock not only as a univariate time series of closed price but as a bivariate time series of closed price and volume. In this case, they developed the so-called multidimensional MST to filter the important economic information. However, in this paper, we show that their approach is only applicable for that bivariate time series only. This leads us to introduce a new methodology to construct MST where each stock is represented by a multivariate time series. An example of Malaysian stock exchange will be presented and discussed to illustrate the advantages of the method.

  19. Taiwan Report on Quitline Activities.

    PubMed

    Hsu, Pei-Ting; Chang, Chia-Wen; Chang, Te-Chung

    2016-01-01

    Aiming at reducing the smoking population, the Taiwan government adopted a successful smoking cessation quitline model from California Smokers' Helpline, commissioned a private non-profit organization-Teacher Chang Foundation, which was well-known for its quality telephone counseling service-to set up Asia's first quitline, Taiwan Smokers' Helpline (TSH) in 2003. The establishment of the quitline constituted significant progress for tobacco control in Taiwan, as it built up a cooperative model with smoking cessation clinics to increase the quit rate through assisting smokers to overcome their psychological obstacles encountered while attempting to quit smoking. PMID:27108748

  20. Synchrotrons: Taiwan unveils new synchrotron

    NASA Astrophysics Data System (ADS)

    Horiuchi, Noriaki

    2015-05-01

    Competitive activities around the globe to develop the world's brightest synchrotron light source have accelerated in recent years. Taiwanese scientists now aspire to be at the top of the list with the recently constructed Taiwan Photon Source.