Sample records for nasdaq omx bx

  1. 78 FR 31993 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Relating...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-28

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69607; File No. SR-BX-2013-029] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Relating to Board of Director Qualifications May 20, 2013. On March 27, 2013, NASDAQ OMX BX, Inc. (``BX'' or ``Exchange'') filed with the...

  2. 78 FR 34136 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-06

    ... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To..., NASDAQ OMX BX, Inc. (``BX'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC... and regulatory requirements,\\7\\ which normally do not apply to other market participants. By...

  3. 78 FR 48518 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-08

    ... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To..., NASDAQ OMX BX, Inc. (``BX'' or ``Exchange'') filed with the Securities and Exchange Commission... market comprised of eleven U.S. options exchanges in which sophisticated and knowledgeable market...

  4. 78 FR 29795 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc ; Notice of Filing of Proposed Rule Change for...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-21

    ... To Permit BX Options To Accept Inbound Options Orders From NASDAQ OMX PHLX LLC and NASDAQ Options... to permit the BX Options System to accept inbound options orders routed by Nasdaq Options Services LLC (``NOS'') from NASDAQ OMX PHLX LLC (``Phlx'') and The NASDAQ Stock Market LLC's NASDAQ Options...

  5. 78 FR 39046 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change for...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-28

    ... Permit BX Options To Accept Inbound Options Orders From NASDAQ OMX PHLX LLC and NASDAQ Options Market... permanent approval of the Exchange's pilot program that permits the BX Options System to accept inbound orders routed by Nasdaq Options Services LLC (``NOS'') from the NASDAQ OMX PHLX LLC (``PHLX'') and The...

  6. 75 FR 38585 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-02

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62396; File No. SR-BX-2010-012] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services June 28, 2010. I. Introduction On January 29, 2010, NASDAQ OMX BX, Inc. (``BX'' or ``Exchange...

  7. 78 FR 19763 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-02

    ... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... OMX BX, Inc. (``BX'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or... by the Exchange.\\7\\ \\3\\ In a previous rule filing, the Exchange discussed the manner in which it...

  8. 76 FR 77862 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-14

    ... Modify Pricing for BX Members Using the NASDAQ OMX BX Equities System December 8, 2011. Pursuant to... of the Proposed Rule Change The Exchange proposes to modify pricing for BX Members using the NASDAQ... above $1. BX has a pricing model under which members are charged for the execution of quotes/orders...

  9. 78 FR 24458 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-25

    ... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... OMX BX, Inc. (``BX'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or... Act \\6\\ in general, and furthers the objectives of Section 6(b)(4) of the Act,\\7\\ in particular, in...

  10. 75 FR 56613 - Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-16

    ... Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Amex LLC...''), NASDAQ OMX BX, Inc. (``BX''), Chicago Board Options Exchange, Incorporated (``CBOE''), Chicago Stock...

  11. 76 FR 16462 - Self-Regulatory Organizations; NASDAQ OMX BX LLC; Order Approving a Proposed Rule Change Relating...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-23

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64090; File No. SR-BX-2011-007] Self-Regulatory Organizations; NASDAQ OMX BX LLC; Order Approving a Proposed Rule Change Relating to Permanent Approval of the BX and NES Inbound Routing Relationship March 17, 2011. I. Introduction On January 28, 2011, NASDAQ...

  12. 77 FR 74524 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68394; File No. SR-BX-2012-073] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change With Respect to the Authority of the Exchange or Nasdaq Options Services LLC (``NOS'') To Cancel Options Orders When a Technical or System Issu...

  13. 77 FR 40688 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-10

    ... Chapter XV, Section 2 entitled ``BX Options Market--Fees and Rebates'' to adopt rebates and fees relating... approval to operate a new options market.\\3\\ The new market, called NASDAQ OMX BX Options, or BX Options... rebates and fees for Customers, BX Options Market Makers \\4\\ and Non-Customers \\5\\ in various options \\6...

  14. 77 FR 70858 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68268; File No. SR-BX-2012-072] Self-Regulatory... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 15, 2012, NASDAQ OMX BX, Inc. (``BX'' or the ``Exchange'') filed with the Securities and Exchange...

  15. 77 FR 30576 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change With...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-23

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67014; File No. SR-BX-2012-034] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change With Respect to the Authority of the Exchange or NASDAQ Execution Services to Cancel Orders When a Technical or System Issue Occurs and To Describe the Operation of an...

  16. 76 FR 55445 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-07

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65226; File No. SR-BX-2011-059] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Name of the BX Ouch BBO Feed to the BX MatchView Feed and To Modify Its Contents August 30, 2011. Pursuant to Section 19(b)(1) of...

  17. 78 FR 19342 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change for...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69232; File No. SR-BX-2013-013] Self-Regulatory.... Introduction On February 6, 2013, NASDAQ OMX BX, Inc. (``Exchange'' or ``BX'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...

  18. 78 FR 79040 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71168; File No. SR-BX-2013-064] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of ``System Securities'' in BX Rule 4751(b) December 20, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange...

  19. 76 FR 4400 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-25

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63731; File No. SR-BX-2010-083] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change Relating to the Price Improvement... (``BOX'') to permit an Options Participant initiating a Price Improvement Period (``PIP'') to designate a...

  20. 77 FR 29730 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change, as...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-18

    ... operate the BX Options market. BX's history dates back to the 1830s. For many years, the Boston Stock... OMX BX. BX re-launched an equities marketplace utilizing state of the art NASDAQ technology, having...). Consistent with that storied history as a long-time competitor in the U.S. markets, BX now proposes to launch...

  1. 75 FR 48390 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-10

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62638; File No. SR-BX-2010-043] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change Relating to Pricing for Direct... establish pricing for 10Gb direct circuit connections and codify pricing for 1Gb direct circuit connections...

  2. 76 FR 28838 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-18

    ... addresses BX Rule 3011 pertaining to anti-money laundering compliance programs. In SR-FINRA-2009-039,\\3... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To... received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because...

  3. 78 FR 21982 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Accelerated Approval of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69343; File No. SR-BX-2013-026] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To Adopt... not be a true reflection of the value of the series being quoted. In response to these concerns, the...

  4. 76 FR 9623 - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63907; File No. SR-BX-2011-008] Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish and Adopt Fees for the New Short Sale Monitor Service and BX Data Add-On February 14, 2011. Pursuant to Section 19(b)(1) of the...

  5. 76 FR 2938 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63694; File No. SR-BX-2011-001] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Trading Rules Regarding Voluntary Withdrawal From Trading Options Classes in Which They Are Appointed January 11, 2011....

  6. 78 FR 76689 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71055; File No. SR-BX-2013-059] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To... of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 29, 2013...

  7. 75 FR 1101 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-08

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61261; File No. SR-BX-2009-086] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Minimum Trading Increments on the Boston Options Exchange Facility December 30, 2009. Pursuant to Section 19(b)(1) of the...

  8. 76 FR 76797 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-08

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65867; File No. SR-BX-2011-080] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality December 2, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...

  9. 75 FR 76503 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-08

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63416; File No. SR-BX-2010-083] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to The Price Improvement... Items I and II below, which Items have been prepared by the self-regulatory organization. The Commission...

  10. 76 FR 72486 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-23

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65780; File No. SR-BX-2011-076] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality November 17, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\...

  11. 76 FR 62111 - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-06

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65447; File No. SR-BX-2011-067] Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide an Optional Functionality for a BOX Options Participant To Prevent Its Market Maker or Proprietary Broker-Dealer Orders Entered in BOX...

  12. 75 FR 52383 - Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-25

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62730; File Nos. SR-BATS-2010-016; SR-BX-2010-040; SR- CBOE-2010-056; SR-CHX-2010-13; SR-EDGA-2010-03; SR-EDGX-2010-03; SR- ISE-2010-62; SR-NASDAQ-2010-076; SR-NSX-2010-07; SR-NYSE-2010-47; SR- NYSEAmex-2010-60; SR-NYSEArca- 2010-58] Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX...

  13. 75 FR 54211 - Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-03

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62797; File Nos. SR-BATS-2010-016; SR-BX-2010-040; SR- CBOE-2010-056; SR-CHX-2010-13; SR-EDGA-2010-03; SR-EDGX-2010-03; SR- ISE-2010-62; SR-NASDAQ-2010-076; SR-NSX-2010-07; SR-NYSE-2010-47; SR- NYSEAmex-2010-60; SR-NYSEArca-2010-58] Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX...

  14. 75 FR 59304 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-27

    ... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To... by the self-regulatory organization. The Commission is publishing this notice to solicit comments on...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange...

  15. 78 FR 48748 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-09

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

  16. 77 FR 14845 - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-13

    ...-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Identify the Proprietary Data Feed of BOX Market Information That BOX Makes Available to Its...). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change...

  17. 76 FR 80998 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-27

    ... Latency Network Connections December 20, 2011. I. Introduction On October 31, 2011, NASDAQ OMX BX, Inc... establish a program for offering low latency network connections and to establish the initial fees for such connections. The Exchange also proposed administrative modifications to Exchange Rule 7034. The proposed rule...

  18. 76 FR 47635 - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-05

    ...-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members... Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposal to Amend Chapter VI... Exchange Commission (the ``Commission'') the proposed rule change as described in Items I and II below...

  19. 77 FR 34107 - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-08

    ... Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Dissolve... dissolve the BOX Committee of the Board of Directors. The text of the proposed rule change is available at... Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to dissolve the BOX Committee of...

  20. 76 FR 12163 - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-04

    ... Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New... adopt new Rule 4763 as a written policy or procedure to implement the amendments to Rules 200(g) and 201... Act Release No. 61595 (Feb. 26, 2010), 75 FR 11232 (Mar. 10, 2010) (``Adopting Release'') (amending...

  1. 75 FR 54688 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-08

    ... business on the Exchange. The proposed change will have no effect on the assessment of fees for current BOX... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... (``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared...

  2. 76 FR 34796 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-14

    ... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To... Exchange Commission (``Commission'') the proposed rule change as described in Items I, II and III below... comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4...

  3. 76 FR 13010 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Designation of Longer Period for...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-09

    ..., dated September 28, 2010; Michael R. Trocchio, Bingham McCutchen LLP, on behalf of Pink OTC Markets Inc... Listing Market on the Exchange March 3, 2011. On August 20, 2010, NASDAQ OMX BX, Inc. (the ``Exchange... change to create a listing market on the Exchange. The proposed rule change was published for comment in...

  4. 75 FR 51324 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-19

    ... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating To Extend the Cut-Off Time... Deliveries) of the Rules of the Boston Options Exchange Group, LLC (``BOX'') to extend the cut-off time to... proposed rule change is to amend Chapter VII, Section 1 of the BOX Trading Rules to extend the cut-off time...

  5. 77 FR 54942 - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; NASDAQ OMX BX, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-06

    ... LLC; Stock Clearing Corporation of Philadelphia; Order Approving Proposed Rule Changes With Respect to the Amendment of the By-Laws of The NASDAQ OMX Group, Inc. August 30, 2012. I. Introduction On June 20... amendment of the by-laws (the ``NASDAQ OMX By-Laws'') of The NASDAQ OMX Group, Inc. (``NASDAQ OMX''), the...

  6. 75 FR 64772 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Designation of a Longer Period for...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-20

    ..., Secretary, Commission, from Michael R. Trocchio, Bingham McCutchen LLP, on behalf of Pink OTC Markets Inc... Rule Change To Create a Listing Market on the Exchange October 14, 2010. On August 20, 2010, NASDAQ OMX... thereunder,\\3\\ a proposed rule change to create a listing market, which will be called ``BX.'' The proposed...

  7. 78 FR 16303 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-14

    ... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Adopt Chapter V, Section 3(d... proposes to adopt a new Chapter V, Section 3(d)(iii) to provide for how the Exchange proposes to treat... Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to adopt Chapter V, Section 3...

  8. 75 FR 28828 - Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by NASDAQ OMX BX, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-24

    ... Organizations; Notice of Filing of a Proposed Rule Change by NASDAQ OMX BX, Inc. To Adopt Rule 4120(a)(11) Concerning Individual Stock Trading Pauses and To Adopt Related IM-4120-3 May 19, 2010. Pursuant to Section... Change The Exchange is filing this proposed rule change to adopt Rule 4120(a)(11) concerning individual...

  9. 75 FR 17802 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc., Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-07

    ... Relating to Permitting Concurrent Listing of $3.50 and $4 Strikes for Classes in the $0.50 Strike and $1... (``Act''),\\1\\ and Rule 19b-4 \\2\\ thereunder, notice is hereby given that on March 30, 2010, NASDAQ OMX BX... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ 15 U.S.C. 78s(b)(3)(A). \\4\\ 17 CFR 240...

  10. 75 FR 27338 - NASDAQ OMX Commodities Clearing-Contract Merchant LLC; NASDAQ OMX Commodities Clearing-Delivery...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-14

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket Nos. ER10-912-000; ER10-913-000; ER10-914-000] NASDAQ OMX Commodities Clearing--Contract Merchant LLC; NASDAQ OMX Commodities Clearing--Delivery LLC; NASDAQ OMX Commodities Clearing--Finance LLC; Notice of Filing May 6, 2010. Take notice that, on May 3, 2010, NASDAQ OMX Commoditie...

  11. 76 FR 6168 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; NASDAQ OMX PHLX LLC; NASDAQ OMX BX...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-03

    ... Stockholders' Agreement Between the NASDAQ OMX Group, Inc. and Investor AB January 27, 2011. Pursuant to... Investor AB, a corporation organized under the laws of Sweden (``Investor Stockholders' Agreement''). The... and Investor AB also entered into the Investor Stockholders' Agreement, relating to 8 million shares...

  12. 77 FR 77137 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change with...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-31

    ...: ``Immediate family member' means a person's spouse, parents, children and siblings, whether by blood, marriage... the By- Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. December 21, 2012. Pursuant to... by-laws of its parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX'' or the ``Corporation...

  13. 78 FR 20709 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-05

    ... Options Market LLC (``NOM'') and NASDAQ OMX BX, Inc. (``BX Options'') and a $0.11 per contract \\4\\ fixed... Exchange.\\7\\ \\3\\ In a previous rule filing, the Exchange discussed the manner in which it analyzed costs..., 2012) (SR-OCC-2012-18). \\7\\ For example, if a Customer order is routed to BOX, and BOX offers a...

  14. 77 FR 42522 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change With...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-19

    ... comments it received on the proposed rule change. The text of these statements may be examined at the... for in the by-laws with respect to the Executive Committee and the Nominating and Governance Committee... business relationship with a broker or dealer, NASDAQ OMX or its affiliates, or FINRA. NASDAQ OMX and the...

  15. 78 FR 9443 - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; NASDAQ OMX BX, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-08

    ... family member' means a person's spouse, parents, children and siblings, whether by blood, marriage or... OMX Group, Inc. (``NASDAQ OMX''), the parent company of the SROs. The proposed rule changes were... influence on its governance.\\16\\ Moreover, the SROs state that the change is warranted to ensure that the...

  16. 77 FR 39552 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change With...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-03

    ... Exchange or NASDAQ Execution Services To Cancel Orders When a Technical or Systems Issue Occurs and To... the authority of BX or NASDAQ Execution Services (``NES'') to cancel orders when a technical or... issue may occur at BX, NES, or a routing destination that causes BX or NES to cancel orders, if BX or...

  17. 78 FR 13928 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-01

    ... C2 Options Exchange, Inc. (``C2''). The text of the proposed rule change is available on the Exchange... Rules in order to recoup costs applicable to the C2 Options Exchange, Inc. (``C2'') that the Exchange... NASDAQ OMX PHLX LLC (``PHLX'') and NASDAQ OMX BX, Inc. (``BX Options'') and a $0.11 per contract fixed...

  18. 77 FR 11184 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-24

    ... proposing to make available to members the Trading and Compliance Data Package under BX Rule 7021 (``Data Package''). The Data Package allows member firms to obtain via NasdaqTrader.com information regarding their own historical quoting and trading activity on BX. The Data Package will provide BX Participants...

  19. 78 FR 62884 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... review functions focused on: (1) Manipulation patterns that monitor solely BX activity, including patterns that monitor the opening and closing crosses on The NASDAQ Stock Market LLC (``NASDAQ'') and...

  20. 77 FR 77129 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change With...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-31

    ... Amendment of the By- Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. December 21, 2012. Pursuant... by-laws of its parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX'' or the ``Corporation... organizations owned by NASDAQ OMX--do not have disproportionate influence on its governance. In making the...

  1. 78 FR 50126 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of a Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-16

    .... However, as the Commission has made clear with respect to BX's affiliate, the NASDAQ Stock Exchange LLC...: Manipulation patterns that monitor solely BX activity, including patterns that monitor activity that might... the opposite side of the BX market at an improved price (often referred to as ``odd lot manipulation...

  2. 78 FR 8205 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-05

    ... transaction fees for Broker-Dealers and Firms. NASDAQ OMX BX, Inc., (``BX''), International Securities Exchange, LLC (``ISE'') and NYSE Arca, Inc. (``NYSE Arca'') also charge Broker-Dealer transactions at the... to the market and regulatory requirements\\7\\ which normally do not apply to other market participants...

  3. 75 FR 47664 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-06

    ..../The 331 ESI ITT Educational Services Inc. 280 TSL Trina Solar Ltd. 332 NKE NIKE Inc. 282 EWW iShares...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed..., notice is hereby given that on July 22, 2010, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange'') filed with...

  4. 75 FR 63225 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-14

    ... Change Regarding Anti-Internalization Functionality for NASDAQ OMX PSX October 6, 2010. Pursuant to...-internalization functionality on NASDAQ OMX PSX (``PSX''). The text of the proposed rule change is available from...- internalization function for the PSX System. Under the proposal, market participants entering orders under a...

  5. 78 FR 75437 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-11

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71004; File No. SR-Phlx-2013-101] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Regarding the Short Term Options Program December 6, 2013. I. Introduction On October 3, 2013, NASDAQ OMX PHLX LLC...

  6. 76 FR 8793 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63875; File No. SR-Phlx-2010-183] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Expanding Its Short Term Option Program February 9, 2011. I. Introduction On December 15, 2010, NASDAQ OMX PHLX LLC...

  7. 76 FR 2182 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63654; File No. SR-Phlx-2010-158] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Establishing a $5 Strike Price Program January 6, 2011. I. Introduction On November 12, 2010, NASDAQ OMX PHLX LLC...

  8. 76 FR 52729 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-23

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65149; File No. SR-Phlx-2011-89] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Relating to Alpha Index Options August 17, 2011. I. Introduction On June 23, 2011, NASDAQ OMX PHLX LLC (the...

  9. 75 FR 9988 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-04

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61590; File No. SR-Phlx-2009-113] Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Approval of Proposed Rule Change Relating to Index Option Position Limits February 25, 2010. On December 29, 2009, NASDAQ OMX PHLX, Inc. (``Phlx'' or...

  10. 78 FR 48736 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-09

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

  11. 77 FR 40684 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change With...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-10

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67343; File No. SR-Phlx-2012-81] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change With Respect to the Authority of the Exchange or NASDAQ Execution Services to Cancel Orders When a Technical or System Issue Occurs on the Exchange's NASDAQ OMX PSX...

  12. 75 FR 16453 - Nasdaq OMX Commodities Clearing-Finance, LLC; Supplemental Notice That Initial Market-Based Rate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-01

    ... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. ER10-914-000] Nasdaq OMX Commodities Clearing--Finance, LLC; Supplemental Notice That Initial Market-Based Rate Filing Includes Request for Blanket Section 204 Authorization March 25, 2010. This is a supplemental notice in the above-referenced proceeding of Nasdaq OMX...

  13. 75 FR 38584 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-02

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62395; File No. SR-Phlx-2010-18] Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services June 28, 2010. I. Introduction On January 29, 2010, NASDAQ OMX PHLX (``Phlx'' or...

  14. 75 FR 65541 - Self-Regulatory Organizations; Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-25

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63132; File No. SR-Phlx-2010-118] Self-Regulatory Organizations; Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Expand the $.50 Strike Price Program October 19, 2010. On August 25, 2010, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange...

  15. 78 FR 19791 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-02

    ...'') and NASDAQ OMX BX, Inc. (``BX Options'') and a $0.11 per contract \\4\\ fixed Routing Fee to all other... fee assessed by the Exchange.\\7\\ \\3\\ In a previous rule filing, the Exchange discussed the manner in... Act Release No. 68025 (October 10, 2012), 77 FR 63398 (October 16, 2012) (SR-OCC-2012-18). \\7\\ For...

  16. 76 FR 5630 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change, as...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-01

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63777; File No. SR-Phlx-2010-157] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Complex Orders January 26, 2011. I. Introduction On November 29, 2010, NASDAQ OMX PHLX LLC (``Phlx'' or the ``Exchange'...

  17. 77 FR 42524 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change With...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-19

    ... comments it received on the proposed rule change. The text of these statements may be examined at the... the by-laws with respect to the Executive Committee and the Nominating and Governance Committee, as... business relationship with a broker or dealer, NASDAQ OMX or its affiliates, or FINRA. NASDAQ OMX and the...

  18. 75 FR 2902 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change by...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-19

    ...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX... Commission (``Commission'') the proposed rule change as described in Items I, II, and III below, which Items... proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self...

  19. 75 FR 13187 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-18

    ...), NASDAQ-100(R) and NASDAQ-100 Index(R) are registered trademarks of The NASDAQ OMX Group, Inc. (which with... proposes to: (i) Increase the options transaction charge for Registered Options Traders (``ROTs'') and... 2000[supreg] is a trademark and service mark of the Frank Russell Company, used under license. Neither...

  20. 78 FR 24282 - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-24

    ... fee assessed by the away market. With respect to Customer orders that are routed to NASDAQ OMX BX, Inc..., to increase the fixed fee from $0.11 to $0.15 per contract.\\7\\ The Exchange currently does not recoup... per contract. \\7\\ The Exchange is not proposing to amend Non-Customer Routing Fees or Routing Fees for...

  1. 76 FR 24069 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change, as...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64338; File No. SR-Phlx-62011-13] Self..., Rules, Advices and Regulations April 25, 2011. I. Introduction On February 16, 2011, NASDAQ OMX PHLX LLC... Regulations of the Exchange. \\5\\ To align itself with the terminology used by NASDAQ, the Exchange proposes to...

  2. 77 FR 74520 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68393; File No. SR-Phlx-2012-134] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposal with Respect to the Authority of the Exchange or Nasdaq Options Services LLC (``NOS'') To Cancel Options Orders when a Technical or System Issue Occurs...

  3. 76 FR 81553 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change Relating...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-28

    ... Positions Off the Floor December 21, 2011. I. Introduction On October 20, 2011, NASDAQ OMX PHLX LLC... that would net against an existing offsetting short position could not be transferred), and each member...

  4. 78 FR 21482 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-10

    ... Catastrophic Errors April 4, 2013. I. Introduction On January 31, 2013, NASDAQ OMX PHLX LLC (``PHLX'' or... process is shorter for specialists and Registered Options Traders than it is for other market participants...

  5. 78 FR 49572 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-14

    ...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule... solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization's... Exchange quotation, [[Page 49573

  6. 77 FR 38421 - Listing Standards for Compensation Committees

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-27

    ..., International Securities Exchange, NASDAQ OMX BX (formerly the Boston Stock Exchange), The NASDAQ Stock Market... hand, the NASDAQ Stock Market (``Nasdaq'') does not mandate that a listed issuer have a compensation... Markets Inc. (``Better Markets''), CFA, Georg Merkl (``Merkl''), National Association of Corporate...

  7. 75 FR 27611 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-17

    ...) are registered trademarks of The NASDAQ OMX Group, Inc. (which with its affiliates are the... Registered Options Traders (on-floor) and Specialists; (ii) amending the current options transaction charge for Registered Options Traders (on-floor) and Specialists and applying that charge and the options...

  8. 75 FR 52558 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-26

    ...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed... costs associated with system issues that are attributable to cancelled AON orders. A Professional order... organization in order for a member organization to be assessed the Cancellation Fee (``500 Threshold''). The...

  9. 77 FR 15407 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-15

    ... reflects a competitive pricing structure designed to incent market participants to direct their order flow... OMX BX fee schedule at: http://www.nasdaqtrader.com/Trader.aspx?id=bx_pricing . \\15\\ See BATS BYX fee... rest of the trading session. See NASDAQ Rule 4758 and NASDAQ Pricing List at: http://www.nasdaqtrader...

  10. 75 FR 52560 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-26

    ...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed... and then cancelled totals 500 orders or more in a particular calendar month (the ``500 Order Threshold''). The Exchange proposes to modify the calculation of the 500 Order Threshold by creating two separate...

  11. 77 FR 6619 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-08

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66208; File No. SR-Phlx-2012-06] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Real-Time Risk Management Fee and Other Clarifying Amendments January 20, 2012...

  12. 75 FR 54204 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-03

    ... Rule Change Relating to the Conversion of NASDAQ OMX PHLX, Inc. to a Limited Liability Company August... technical conforming changes to the formation documents to correspond with the LLC conversion. All... conversion. As such, this proposed rule change will merely effect a change in entity form of the Exchange and...

  13. 76 FR 81552 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change Relating...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-28

    ... Exchange House Accounts December 21, 2011. I. Introduction On October 19, 2011, NASDAQ OMX PHLX LLC... change to codify current Exchange policy with respect to the transfer of Exchange house accounts. The... transfers Exchange house accounts to another Exchange member or member organization. According to the...

  14. 78 FR 69725 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-20

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70874; File No. SR-Phlx-2013-111] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule Under Section VIII With Respect To Execution and Routing...

  15. 77 FR 51839 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-27

    ...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Client Information About Agency Orders of Floor Brokers August 21, 2012. Pursuant...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the...

  16. 78 FR 36002 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69671; File No. SR-Phlx-2013-59] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Apply a Strategy Fee Cap to Jelly Rolls May 30, 2013. Correction In notice document 2013-13274...

  17. 75 FR 48391 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-10

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62639; File No. SR-Phlx-2010-89] Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change Relating to Pricing... proposed rule change to establish pricing for 10Gb direct circuit connections and codify pricing for 10Gb...

  18. 78 FR 69731 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-20

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70879; File No. SR-Phlx-2013-108] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of a Pilot Program for SPY Position and Exercise Limits November 14, 2013...

  19. 78 FR 22001 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Accelerated Approval of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69344; File No. SR-Phlx-2013-29] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Accelerated Approval of a Proposed Rule Change... not be a true reflection of the value of the series being quoted. In response to these concerns, the...

  20. 75 FR 501 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-05

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61258; File No. SR-Phlx-2009-107] Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Technical Change to the Exchange's Complex Order Program December 30, 2009. Pursuant to Section 19(b)(1) of the Securities...

  1. 78 FR 4914 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change To Amend...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-23

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68574; File No. SR-Phlx-2012-130] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change To Amend Performance Evaluations With Respect to Quote Submissions of Streaming Quote Traders and Remote Streaming Quote Traders...

  2. 75 FR 43597 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-26

    ...-party connectivity providers, including a range of extranets and service bureaus. All of the communications protocols will be publicly available to allow Participants and services bureaus to develop their... agreements with PHLX (including the NASDAQ OMX U.S. Services Agreement \\8\\); maintain membership in, or...

  3. 76 FR 67015 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-28

    ..., NASDAQ OMX is proposing to amend the compositional requirements of the Nominating & Governance Committee... other compositional requirements of the Nominating & Governance Committee, including independence... modified authority to increase the size of the Nominating & Governance Committee to six directors, but will...

  4. 77 FR 47894 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-10

    ... Change To Modify Phlx's Fee Schedule Governing Order Execution on its NASDAQ OMX PSX Facility August 6...'') filed with the Securities and Exchange Commission (``Commission'') a proposed rule change as described... publishing this notice to solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C...

  5. 76 FR 72482 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-23

    ... Short Term Option Series Program November 17, 2011. I. Introduction On September 28, 2011, NASDAQ OMX...,\\2\\ a proposed rule change to expand the Short Term Option Program (``Program'') to allow the Exchange to: (1) Select up to 30 option classes on which Short Term Option Series (``STO Series'') may be...

  6. 78 FR 54340 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-03

    ...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Additional Trading Information and Rule Clarity to Phlx Participants August 27, 2013.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance...

  7. 77 FR 77168 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-31

    ...: ``Immediate family member' means a person's spouse, parents, children and siblings, whether by blood, marriage... to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. December 21... by-laws of its parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX'' or the ``Corporation...

  8. 77 FR 27525 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-10

    ...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory...

  9. 76 FR 76793 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-08

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65869; File No. SR-Phlx-2011-161] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality December 2, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...

  10. 76 FR 77877 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Withdrawal of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65917; File No. SR-Phlx-2011-143] Self... Commentary .01 to Rule 1009 Regarding Criteria for Listing an Option on an Underlying Covered Security December 8, 2011. On October 24, 2011, NASDAQ OMX PHLX LLC (``Phlx'') filed with the Securities and...

  11. 77 FR 39771 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change, as...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-05

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67294; File No. SR-PHLX-2012-68] Self.... Introduction On May 15, 2012, NASDAQ OMX PHLX LLC (``Exchange'' or ``PHLX'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...

  12. 78 FR 79039 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71169; File No. SR-PHLX-2013-127] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of ``System Securities'' in PSX Rule 3301(b) December 20, 2013. Pursuant to Section 19(b)(1) of the Securities...

  13. 76 FR 72467 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-23

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65779; File No. SR-Phlx-2011-152] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality November 17, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\...

  14. 78 FR 13107 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-26

    ...'') \\5\\, NASDAQ OMX BX, Inc (``BX Options'') \\6\\, and BOX Options Exchange LLC (``BOX'') \\7\\ eliminated... (November 2, 2012) (SR-BX-2012-069). \\7\\ See Securities Exchange Act Release No. 68412 (December 12, 2012... competitive market comprised of eleven U.S. options exchanges in which sophisticated and knowledgeable market...

  15. 78 FR 79534 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Designation of a Longer Period for...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71177; File No. SR-Phlx-2013-106] Self... on Proposed Rule Change To Amend Rules 1064 and 1080 to More Specifically Address the Number and Size..., NASDAQ OMX PHLX LLC (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission...

  16. 78 FR 62774 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70630; File No. SR-Phlx-2013-96] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Table of Contents of the Pricing Schedule October 8, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (`...

  17. 76 FR 32004 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-02

    ...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change To Expand the Number of Components in the PHLX Gold/Silver Sector\\SM\\ Known as XAU\\SM\\, on Which Options Are Listed and... Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to expand the number of...

  18. 77 FR 35101 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67147; File No. SR-Phlx-2012-72] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for its Excess Order Fee June 6, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (`...

  19. 76 FR 78057 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-15

    ...\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to introduce the Minimum Life Order as new order... proposes, by amending its rules to add Rule 3301(f)(11), to introduce the Minimum Life Order as a new order...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change, as Modified...

  20. 78 FR 38750 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-27

    ... (also known as origin code) refers to the participant types listed in Rule 1080.08(b) and Rule 1000(b..., and, therefore, is referring to the participant origin codes in Rule 1080.08(b) only. The proposed...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Which...

  1. 75 FR 13614 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-22

    ... to handle the additional traffic associated with the listing and trading of $1 strikes where the...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change To Establish Strike... 1012 (Series of Options Open for Trading) to establish strike-price intervals for options on Index...

  2. 78 FR 13132 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-26

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68960; File No. SR-Phlx-2013-09] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Enhance the Functionality Offered on Its Options Floor Broker Management System (``FBMS'') by, Among Other Things, Automating Functions Currently Performed by Floor...

  3. 76 FR 67012 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-28

    ... introduce a new order type--the Minimum Life Order--for use in the NASDAQ OMX PSX (``PSX'') system. PHLX... markets are characterized by high levels of automation and speed, both in the systems employed by... confidence. PSX was developed to provide an alternative to traditional price- time markets that reward market...

  4. 76 FR 9618 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63905; File No. SR-Phlx-2011-17] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish and Adopt Fees for the New Short Sale Monitor Service and PSX Data Add-On February 14, 2011. Pursuant to Section 19(b)(1) of th...

  5. 78 FR 29801 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change to...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-21

    ...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change to Its Schedule of... Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items... this notice to solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s...

  6. 78 FR 26826 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change for...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-08

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69498; File No. SR-Phlx-2013-42] Self... Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is hereby given that, on April 23, 2013, NASDAQ OMX PHLX LLC (the ``Exchange'' or ``Phlx'') filed with the Securities and...

  7. 78 FR 16001 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-13

    ...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Adopt New Exchange... Exchange proposes to adopt a new Exchange Rule 1047(f)(iv) to provide for how the Exchange proposes to... 1. Purpose The Exchange proposes to adopt Exchange Rule 1047(f)(iv) \\3\\ to provide for how the...

  8. 75 FR 50021 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62678; File No. SR-Phlx-2010-108] Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a Proposed Price Improvement System, Price Improvement XL (PIXL\\SM\\) August 10, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...

  9. 75 FR 78320 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63509; File No. SR-Phlx-2010-157] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Complex Orders December 9, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule...

  10. 78 FR 38757 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-27

    ... described in the Exchange's option rules at subsection (a)(3)(A) of Chapter VI, Section 1 as a data package... (a)(3)(B) of Chapter VI, Section 1 as a data package that includes the BX Best Bid and Offer (``BX... for options market data known as BX Top of Market Options (``BX Top'') and BX Depth of Market Options...

  11. 75 FR 77036 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Instituting Proceedings To Determine...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-10

    ... sale and offering of securities. In addition, BX would not list any company that meets the quantitative... listing. BX has proposed the following quantitative listing standards for the initial listing of... of listing. BX has proposed the following quantitative listing standards for the initial listing of...

  12. 77 FR 21140 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-09

    ... a particular venue to be excessive. In such an environment, BX must continually adjust its fees to... execution and routing services offered by BX, if BX increases its fees to an excessive extent, it will lose customers to its competitors. Accordingly, BX believes that competitive market forces help to ensure that...

  13. 76 FR 53503 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-26

    ... Establish and Adopt Fees for the New BX Pre-Trade Risk Management Service August 19, 2011. Pursuant to... Change The Exchange proposes to establish and adopt fees for the new BX Pre-Trade Risk Management service.... * * * * * 7016. [Reserved] BX Pre-Trade Risk Management (a) Users of BX Pre-trade Risk Management (``PRM'') will...

  14. 76 FR 20775 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ...\\ may also be known as Gold/Silver Index. The text of the proposed rule change is available on the...-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC To Expand the Number of Components in the PHLX Gold/Silver Sector\\SM\\ Known as XAU\\SM\\, on Which Options Are Listed and...

  15. 77 FR 20451 - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-04

    ... Industry Regulatory Authority, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC... Whether To Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market.... (``FINRA''), International Securities Exchange LLC (``ISE''), The NASDAQ Stock Market LLC (``Nasdaq...

  16. 77 FR 52373 - Self-Regulatory Organizations; NASDAQ Stock Market, LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-29

    ... NASDAQ to provide BX members the same reciprocity that the BX rule provides today. \\5\\ See NASDAQ Rules... believes that same reciprocity should be granted to BX members desiring to become NASDAQ members. The rules...

  17. 77 FR 66204 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-02

    ... market makers on other exchanges will not have a negative effect on BX Options investors and traders... Relating to Elimination of Market Maker Pre-Opening Obligations on BX Options October 26, 2012. Pursuant to... Chapter VII, Section 6 (Market Maker Quotations), to eliminate market maker pre- opening obligations on BX...

  18. 77 FR 56883 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-14

    ... Chapter XV, Section 2 entitled ``BX Options Market--Fees and Rebates'' to amend rebates and fees relating... Chapter XV, Section 2(1) to amend rebates and fees for Customers, BX Options Market Makers \\3\\ and Non... below,\\6\\ as follows: \\3\\ A BX Options Market Makers must be registered as such pursuant to Chapter VII...

  19. 77 FR 46139 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-02

    ... Modify the Post-Only Order Type on BX Options July 27, 2012. Pursuant to Section 19(b)(1) of the... proposal for the BX Options market (``BX Options'') to add an additional feature to the Post-Only Order..., the Proposed Rule Change 1. Purpose A Post-Only Order is an order that will not remove liquidity from...

  20. 78 FR 10666 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change for...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-14

    ... PHLX. BX, NASDAQ, PHLX and NES are affiliates. Accordingly, the affiliate relationship between PHLX and... conflicts of interest between an exchange's self-regulatory obligations and its commercial interests.\\7\\ \\7...). Recognizing that the Commission has previously expressed concern regarding the potential for conflicts of...

  1. 78 FR 35653 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Withdrawal of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-13

    ...\\ See Letter from Stephen Matthews, Senior Associate General Counsel, NASDAQ OMX, dated Jan. 15, 2013... from Jeffrey S. Davis, Vice President and Deputy General Counsel, NASDAQ OMX, dated Feb. 27, 2013. \\10.... O'Neill, Deputy Secretary. [FR Doc. 2013-13999 Filed 6-12-13; 8:45 am] BILLING CODE 8011-01-P ...

  2. 76 FR 8391 - Self-Regulatory Organizations; NASDAQ OMX BX LLC; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-14

    ... BX and NES Inbound Routing Relationship February 7, 2011. Pursuant to Section 19(b)(1) of the... Commission seeking permanent approval of the BX and NES routing relationship.\\7\\ The Exchange hereby seeks... relationship on a pilot basis. During this pilot period, BX committed to the following conditions: 1. The...

  3. 75 FR 2170 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-14

    ... addresses BX Rule 2240 entitled ``Disclosure of Control Relationship with Issuer'' and 2250 entitled... reference to NASD 2240 [sic] entitled ``Disclosure of Control Relationship with Issuer.'' The Commission... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61298; File No. SR-BX-2009-087] Self-Regulatory...

  4. 78 FR 61418 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-03

    ... making activities at the Exchange which results in tighter markets and order interaction and benefits all... Participant commits himself to various obligations. Transactions of a Market Maker in its market making... The Exchange proposes to amend BX Options Rules, Chapter XV, Section 2 entitled ``BX Options Market...

  5. 77 FR 26588 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-04

    ... they deem fee levels at a particular venue to be excessive. In such an environment, BX must continually... excessive extent, it will lose customers to its competitors. Accordingly, BX believes that competitive market forces help to ensure that the fees it charges for execution and routing are reasonable, equitably...

  6. 76 FR 10418 - Self-Regulatory Organizations; NASDAQ Stock Market, LLC; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-24

    ...-Regulatory Organizations; NASDAQ Stock Market, LLC; Notice of Filing of Proposed Rule Change To Amend The..., 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and Exchange... The NASDAQ Stock Market LLC proposes to amend the By-Laws of its parent corporation, The NASDAQ OMX...

  7. 78 FR 16349 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69071; File No. SR-BX-2013-020] Self-Regulatory... Amend Chapter V, Regulation of Trading on BX Options, Section 6, Obvious Errors March 7, 2013. Pursuant.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance...

  8. 78 FR 65396 - Self-Regulatory Organizations; NASDAQ OMX BX Inc.; Order Disapproving Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-31

    ... Directed Order to the list of orders handled within the BX System. \\13\\ Proposed BX Chapter VI, Section 10... impediments to and perfect the mechanism of a free and open market and a national market system, and to... mechanism of a free and open market and the national market system, or protect investors and the public...

  9. 76 FR 55954 - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-09

    ... of Substance of the Proposed Rule Change NASDAQ proposes to modify pricing for NASDAQ members using... its pricing schedule for routing and execution of quotes/orders through the NASDAQ Market Center of... entering Directed Orders sent to NASDAQ OMX PSX. The current charge of $0.0027 reflects a premium of $0...

  10. 76 FR 46858 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-03

    ... Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To...-regulatory organization. The Exchange filed the proposed rule change pursuant to Section 19(b)(3)(A)(ii) of... purposes of the Act. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change...

  11. 78 FR 27457 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-10

    ... priority of the order on the book solely for the purpose of modifying the marking of a sell order as long... its share size will not affect the priority of the order on the book. All other modifications of... order to lose priority on the BX book. BX believes that it is reasonable to allow the partial...

  12. 76 FR 51108 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-17

    ...., International Securities Exchange LLC, The NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE Amex LLC... Amend the Clearly Erroneous Rule in Light of Changes to the Single Stock Trading Pause Process August 11... continue to operate in the same manner after changes to the single stock trading pause process are...

  13. 78 FR 34683 - Self-Regulatory Organizations; NASDAQ OMX BX Inc.; Order Instituting Proceedings To Determine...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-10

    ..., Section 6(a)(2) to include Directed Order to the list of orders handled within the BX System. \\9\\ Chapter... rule change, by rewarding market makers whose quotes are not the most aggressive, will encourage market... rewarded for providing an aggressive quote and thus the incentives to improve the NBBO would decrease...

  14. 78 FR 54336 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-03

    ... (March 26, 2013) (SR-Phlx-2013-28) (notice of filing and immediate effectiveness implementing MDS on PSX...) (notice of filing and immediate effectiveness implementing MDS on BX) (the ``BX MDS filing''). No other... effectiveness implementing MDS on NASDAQ) (the ``NASDAQ MDS filing''). Other markets have also implemented a...

  15. 75 FR 54933 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-09

    ... Permit Concurrent Listing of $2.50 and $1 Strikes on MNX Options September 2, 2010. Pursuant to Section... concurrently list $2.50 and $1 strikes on Mini- Nasdaq-100 Index (``MNX'') options, and that certain listing parameters only apply to $1 strikes on MNX options. The text of the proposed rule change is available from...

  16. 78 FR 3924 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-17

    ... ordered by customers using the CoLo Console \\3\\ during the months of January and February of 2013... number of cabinets continues to exceed the Baseline Number. \\3\\ The ``CoLo Console'' is BX's web-based...

  17. 78 FR 77540 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-23

    ... settlement, adjust, retain priority for, or otherwise correctly process an order, Quote/Order, message, or... Directors of NASDAQ OMX an analysis of the total value of eligible claims. FINRA has provided the required analysis. The provision further requires that Nasdaq will file with the Commission a rule proposal setting...

  18. 77 FR 31413 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-25

    ... Non-Displayed Order would be cancelled by the NASDAQ system if the market moved through the price of... 4751(f)(7) Concerning the Processing of the Price To Comply Order May 18, 2012. Pursuant to Section 19... Change The Exchange proposes to clarify how the processing of a Price to Comply Order under Rule 4751(f...

  19. 78 FR 22925 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-17

    ... 70857 (Nov. 27, 2012). \\7\\ See Letter from Stephen Matthews, Senior Associate General Counsel, NASDAQ.... 13, 2013. See Letter from Jeffrey S. Davis, Vice President and Deputy General Counsel, NASDAQ OMX.... O'Neill, Deputy Secretary . [FR Doc. 2013-08974 Filed 4-16-13; 8:45 am] BILLING CODE 8011-01-P ...

  20. 76 FR 27710 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-12

    ... 8, 2010.\\3\\ The Commission subsequently extended the time period in which to either approve the... BX Venture Market will have minimal quantitative listing standards, but will have qualitative... another national securities exchange for failure to meet quantitative listing standards (including price...

  1. 75 FR 69492 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-12

    ... month.[the following charges: $285/hour--For Active Connection testing using current Exchange access... using current Exchange access protocols; $333/hour--For Active Connection testing using current Exchange... a fee of $285 per hour for active connection testing using current BX access protocols during the...

  2. 75 FR 21083 - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-22

    ... rule consolidation process, FINRA recently made several changes to its financial responsibility rules... 9559 to conform BX's rules to recent changes to the rules of the Financial Industry Regulatory...' financial responsibilities and the rules concerning expedited hearings in light of changes made to the...

  3. 77 FR 63903 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-17

    ... a fully automated, price/time priority execution system built on the core functionality of the... orders in price/time priority without regard to the status of the entities that are entering orders. The BX Options market closely resembles NOM, including, most prominently, by offering true price/time...

  4. 77 FR 62285 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-12

    ... other markets and thereby allows market participants to react to the execution (an effect known as... BX available shares and routing to other venues' shares will avoid the deleterious effect of market... Orders To Simultaneously Execute Against Exchange Available Shares and Route to Other Markets for...

  5. 75 FR 78312 - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63499; File No. SR-BX-2010-087] Self-Regulatory... Quote Management Procedures December 9, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange...-4(f)(6). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule...

  6. 78 FR 50132 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-16

    ... into the System for execution. Each of BX's current connection offerings uses different switches... 10Gb Ultra low latency fiber connection option, and provide a waiver of installation fees for... to the Exchange, including a 40Gb fiber connection, a 10Gb fiber connection, a 1Gb fiber connection...

  7. 78 FR 47471 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-05

    ... Permit the Nullification of Trades Involving Catastrophic Errors July 30, 2013 Pursuant to Section 19(b.... Specifically, BX proposes to amend Section 6(f)(iii) to permit the nullification of trades involving... of the proposed adjusted price to accept it or else the trade will be nullified: Minimum Theoretical...

  8. 78 FR 13105 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-26

    ... Relating to a Pricing Clarification February 19, 2013. Pursuant to Section 19(b)(1) of the Securities... Exchange proposes to add references to certain terms in Chapter XV, entitled ``Options Pricing.'' The... Options Market Maker pricing in all securities, the Participant must be registered as a BX Options Market...

  9. 78 FR 15791 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-12

    ... access to end Subscribers. Vendors impose price restraints based upon their business models. For example... revenue. Although the business models may differ, these vendors' pricing discipline is the same: they can... Substance of the Proposed Rule Change The Exchange proposes add new BX Rule 7026 (Distribution Models) to...

  10. 76 FR 72231 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-22

    ... prefer not to advertise their order but are willing to provide price improvement. 2. Statutory Basis The... interest of investors because it will expedite the introduction of new features to the BX equities market... their introduction at the Exchange. Therefore, the Commission designates the proposal to be operative...

  11. 77 FR 30566 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-23

    ... current Grandfathered Rules, Chapter XXX, Section 2(a). See also BX Rule 9211. A disciplinary proceeding... Consent. See Chapter XXX, Section 10 and Chapter XXXIV. \\9\\ Compare to American Stock Exchange (``AMEX... Floor Decorum Policies) of Chapter XVIII (Conduct) is being amended to reflect that Chapter XXX is being...

  12. 75 FR 38572 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-02

    ... Eliminate Certain Rule Text Which Has Been Made Unnecessary Due to the Decommissioning of the OCC Hub June... text which has been made unnecessary due to the decommissioning of the Options Clearing Corporation (``OCC'') Hub. The text of the proposed rule change is available on BX's Web site, on the Commission's...

  13. 77 FR 61041 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-05

    .... Purpose The Exchange is proposing to adopt the new QView service. QView is a web-based, front-end... dashboard interface. The dashboard also allows a QView subscriber to track his/her executions and open...-based tool that, among other things, allows users access to all of the BX order and execution...

  14. 77 FR 6608 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-08

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66306; File No. SR-BX-2011-084] Self-Regulatory... the Price Improvement Period (``PIP'') From One Second to One Hundred Milliseconds February 2, 2012. I...\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to reduce the duration of the Price Improvement...

  15. 75 FR 66178 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-27

    ... Codify Pricing for Co-Location Services October 21, 2010. Pursuant to Section 19(b)(1) of the Securities...-location services. BX will implement the proposed change immediately. The text of the proposed rule change... Recently, the Commission approved an initial fee schedule of existing fees for the Exchange's co-location...

  16. 75 FR 67422 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-02

    ... Modify Pricing for Co-Location Services October 27, 2010. Pursuant to Section 19(b)(1) of the Securities... co-location services. BX will implement the proposed change immediately. The text of the proposed... Exchange is proposing to modify its fee schedule \\5\\ for co- location services.\\6\\ These modifications are...

  17. 78 FR 36798 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69753; File No. SR-BX-2013-038] Self-Regulatory.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory...

  18. 77 FR 30579 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-23

    ... discovery, and in fact may create investor confusion about the extent of trading interest in a stock. In... multiple orders at different price levels to move the price of a stock. While BX has an active program to... manipulation. The fee will be imposed on market participant identifiers (``MPID'') that have characteristics...

  19. 76 FR 13676 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64059; File No. SR-BX-2011-013] Self-Regulatory... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory... Exchange's principal office, and at the Commission's Public Reference Room. II. Self-Regulatory...

  20. 78 FR 15999 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-13

    ... NMS (i.e. ``dark venues'' or ``dark pools''). BCST orders, pursuant to Rule 4758(a)(1)(A)(ix), check the System for available shares and simultaneously route to select dark venues and to certain low cost... charged for such executions, including its own costs. As a general matter, BX believes that the proposed...

  1. 77 FR 39277 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Approval of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-02

    ... with a time-in- force designation of Good Til canceled (``GTC'') are treated as having a time-in-force... designation of Good Til Cancelled or Immediate or Cancel. See proposed BX Options Rules, Chapter VI, Section 1...

  2. 76 FR 67781 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-02

    ... expiration months and thus encourage competition without harming investors or the public interest. B. Self... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65642; File No. SR-BX-2011-072] Self-Regulatory.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's...

  3. 77 FR 12094 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-28

    ...-BX-2011-073). \\4\\ Id. at 80998. The Exchange now proposes a pass-through reduction in the fees for.... The Exchange is passing along the entire savings of the reduction in fees to the subscribers of the... passing on reduced costs to members that opt to receive the connectivity options in question. \\8\\ See...

  4. 76 FR 43363 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-20

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64886; File No. SR-BX-2011-042] Self-Regulatory... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory....gov . II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the...

  5. 75 FR 6235 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-08

    ... attached as Exhibit 2.\\3\\ \\3\\ The Commission notes that the text of the proposed Regulatory Circular is... Exchange Act Release No. 60886 (October 27, 2009), 74 FR 56897 (November 3, 2009) (SR-BX-2009-067). This..., February 1, 2010, May 3, 2010 and August 2, 2010, respectively. For purposes of identifying the classes to...

  6. 77 FR 14843 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-13

    ... share executed for BTFY orders that execute at the New York Stock Exchange (``NYSE''), but NYSE charges... book for available shares only if so instructed by the entering firm and are thereafter routed out to... un-executed after routing, they are posted to the BX book and do not thereafter route out. The BTFY...

  7. 77 FR 68879 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-16

    ... 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on October 31, 2012... proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self... proposes to amend Chapter XV, Section 2 entitled ``BX Options Market--Fees and Rebates.'' Specifically, the...

  8. 78 FR 1293 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-08

    ... Relating to Non-Penny Pilot Options Fees January 2, 2013. Pursuant to Section 19(b)(1) of the Securities...--Fees and Rebates'' to adopt fees and rebates for Non-Penny Pilot Options.\\3\\ \\3\\ Non-Penny Pilot refers... XV, Section 2(1) to adopt fees and rebates for Customers, BX Options Market Makers \\4\\ and Non...

  9. 75 FR 17454 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-06

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61805; File No. SR-BX-2010-022] Self-Regulatory... Relating to the Price Improvement Period March 31, 2010. Pursuant to Section 19(b)(1) of the Securities... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...

  10. 76 FR 79734 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-22

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65987; File No. SR-BX-2011-084] Self-Regulatory... below, which Items have been prepared by the self-regulatory organization. The Commission is publishing...(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance...

  11. 78 FR 1906 - Self-Regulatory Organizations; NASDAQ OX PHLX LLC; Order Approving Proposed Rule Change To Amend...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-09

    ... January 3, 2013. I. Introduction On October 31, 2012, NASDAQ OMX PHLX LLC (``Exchange'' or ``Phlx'') filed... traded data would provide statistical information on spreads and efficiency, which would allow the...

  12. 76 FR 32383 - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-06

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64570; File No. SR-BX-2011-029] Self-Regulatory...\\ 17 CFR 240.19b-4. \\3\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement of the... Reference Room, and at the Commission's Web site at http://www.sec.gov . II. Self-Regulatory Organization's...

  13. 75 FR 82098 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Amendment No. 1 to...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-29

    ....\\4\\ The Commission subsequently extended the time period in which to either approve the proposed rule... Market.'' The BX Venture Market will have minimal quantitative listing standards, but have qualitative... securities exchange for failure to meet quantitative listing standards (including price or other market value...

  14. 78 FR 4482 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Amendment No. 1, and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-22

    ... business or personal relationship of the compensation consultant, legal counsel or other adviser with a..., legal counsel or other adviser; and (vi) any business or personal relationship of the compensation... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68641; File No. SR-BX-2012-063] Self-Regulatory...

  15. 75 FR 8423 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-24

    ... below $1. For these securities, BX currently charges members accessing liquidity a fee equal to 0.1% (10 basis points) of the total transaction cost and provides no credit to members providing liquidity. Under... transaction cost, and members providing liquidity will be provided a credit equal to 0.25% (25 basis points...

  16. 78 FR 17255 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change to...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-20

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69140; File No. SR-BX-2013-026] Self-Regulatory... I, II and III below, which Items have been prepared by the self-regulatory organization. The.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the...

  17. 76 FR 7236 - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Boston Stock Exchange...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-09

    ...: (i) Significantly affect the protection of investors or the public interest; (ii) impose any... Stockholders' Agreement Between The NASDAQ OMX Group, Inc. and Investor AB February 3, 2011. Pursuant to... parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX''), and Investor AB, a corporation organized...

  18. 78 FR 48752 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change to...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-09

    ... particular MPID has been made by calculating the ratio between (i) entered orders, weighted by the distance... in part. The fee has been imposed on MPIDs with an ``Order Entry Ratio'' of more than 100. The Order Entry Ratio is calculated, and the Excess Order Fee imposed, on a monthly basis. BX is now proposing to...

  19. 75 FR 19436 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-14

    ..., the Commission is not publishing it for comment.\\4\\ This order approves the proposed rule change, as... NASDAQ OMX Corporate Governance Guidelines, however, provide a different standard for uncontested... contained in the Corporate Governance Guidelines; contested elections would remain subject to the plurality...

  20. 78 FR 128 - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-02

    ... member'' as follows: `` `Immediate family member' means a person's spouse, parents, children and siblings... Change With Respect to the Amendment of the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc... the amendment of the by-laws of its parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX'' or...

  1. 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

    ... family member' means a person's spouse, parents, children and siblings, whether by blood, marriage or... Change With Respect to the Amendment of the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc... the amendment of the by-laws of its parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX'' or...

  2. 78 FR 3055 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-15

    ... Exchange incurs for routing and executing certain orders in equity options to away markets. The Exchange proposes to amend Routing Fees for the following away markets: BATS Exchange, Inc. (``BATS''), BOX Options... NASDAQ OMX PHLX LLC (``Phlx''). These away markets amended their transaction fees and the Exchange...

  3. 76 FR 21085 - Self-Regulatory Organizations; NASDAQ Stock Market, LLC; Order Approving Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-14

    ... the Nominating & Governance Committee; (ii) amend the NASDAQ OMX PHLX, Inc. reference to reflect a... Nominating Committee also conducts certain governance functions such as consulting with the Board and the... ``Nominating Committee'' in the By-Laws, to the ``Nominating & Governance Committee'' so that the title of the...

  4. 78 FR 48758 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-09

    ... designated by the entering party, without checking the NASDAQ book. If unexecuted, the order (or unexecuted... respect to BX and NYSE. The fee level is consistent with NASDAQ's long-standing practice of charging a..., regardless of the activity level of the member, the listing venue of the security, or the venue to which the...

  5. 77 FR 39751 - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-05

    ... purpose of and basis for the proposed rule change and discussed any comments it received on the proposed... Executive Committee and the Nominating and Governance Committee, as well as the full Board of Directors. \\3... Director'' means a Director who has no material business relationship with a broker or dealer, NASDAQ OMX...

  6. 76 FR 36942 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-23

    ... on Nasdaq-100 Index[supreg] Tracking Stock (``QQQ SM '') \\5\\--to which, Phlx believes, SPY options...\\, Nasdaq-100[supreg], Nasdaq-100 Index[supreg], Nasdaq[supreg], and Nasdaq-100 Index Tracking Stock SM , are trademarks or service marks of The Nasdaq Stock Market, Inc. In particular, Phlx represents that...

  7. 76 FR 24951 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-03

    ... traditional SPDRs[supreg] ETF (SPDRs[supreg] Trust Series 1) holds a stake in the 500 stocks represented by... Stock (``QQQ \\SM\\''),\\6\\ the third most actively traded options, traded a total of 8,730,718 contracts...], Nasdaq[supreg], Nasdaq-100 Index Tracking Stock \\SM\\, and are trademarks or service marks of The Nasdaq...

  8. 75 FR 23831 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-04

    ... Stock Market, LLC To Amend the By-Laws of The NASDAQ OMX Group, Inc. April 27, 2010. Pursuant to Section... is hereby given that on April 9, 2010, The NASDAQ Stock Market LLC (the ``NASDAQ Exchange'') filed... By-Laws to make improvements in its governance. In SR-NASDAQ-2010-025, The NASDAQ Stock Market LLC...

  9. 76 FR 66103 - In the Matter of NASDAQ OMX BX, Inc.: Order Denying NASDAQ OMX BX, Inc.'s Petition for Review of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-25

    ... Securities LLC (``Citadel''), dated August 12, 2011 (``Citadel Letter''); Andrew Stevens, Legal Counsel, IMC Financial Markets (``IMC''), dated August 15, 2011 (``IMC Letter''); Michael J. Simon, Secretary...

  10. 77 FR 23301 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-18

    ... proposes to amend the Exchange's Pricing Schedule at Section VII, C to update FINRA fees to mirror the text... its Pricing Schedule at Section VII, C entitled ``FINRA Fees'' to mirror the rules of the NASDAQ Stock... in the Pricing Schedule with text similar to that of NASDAQ Stock Market Rule 7003(a)(1)--(5) \\3\\ and...

  11. 78 FR 9961 - Self-Regulatory Organizations; NASDAQ OMS BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-12

    ... posting Protected Quotations within the meaning of Regulation NMS (i.e. ``dark venues'' or ``dark pools... seek to execute on BX or on dark pools without executing on another exchange. Members may seek to....00- $10.01, and BX, DarkVenueA and ARCA each offer 100 shares at $10.01, a BDRK order to buy 1000...

  12. 77 FR 46131 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-02

    ... Options Rule 975NY(a)(2)(A); CBOE Rule 6.25(a)(1)(i); NASDAQ OMX PHLX Rule 1092(b)(i); ISE Rule 720(a)(3... OMX PHLX Rule 1092(e)(ii); ISE Rule 720(b)(2)(ii). 2. Statutory Basis The Exchange believes that its...

  13. 76 FR 21076 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-14

    ... on the Exchange's Internet Web site at http://www.directedge.com . \\3\\ A Member is any registered... Parallel D or Parallel 2D with the DRT (Dark routing technique) option on BZX. BZX charges $0.0020 per... the DRT (Dark routing technique) option on BZX or SCAN/STGY on Nasdaq OMX Exchange (``Nasdaq.'') BATS...

  14. 75 FR 17820 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-07

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61812; File No. SR-Phlx-2010-49] Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Establish $2.50 Strike Price Intervals for Options on the NASDAQ Internet Index \\SM\\ March 31, 2010. Pursuant to Section 19(b)(1) of...

  15. 78 FR 24263 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-24

    ... assesses Non-Customers a flat rate of $0.95 per contract on all Non-Customer orders routed to any away market and the Exchange assesses Customer orders a fixed fee plus the actual transaction fee dependent on the away market. Specifically, the Exchange assesses Customer orders routed to NASDAQ Options Market...

  16. 78 FR 69472 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-19

    ... a Customer order is resting on the Exchange book at the same price. A QCC Order shall only be... unreasonably discriminatory.\\15\\ NASDAQ [sic] believes that the analytical framework adopted in the ArcaBook...), 73 FR 74770 (December 9, 2008) (SR-NYSEArca-2006-21) (``ArcaBook Order''), vacated on other grounds...

  17. 78 FR 57425 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-18

    ... increased rebate on BX, its rate for Flag C will not change. \\7\\ See BX, BX Pricing List--Trading & Connectivity, http://www.nasdaqtrader.com/Trader.aspx?id=bx_pricing (offering a rebate to remove liquidity of... pricing changes on Nasdaq. In addition, the proposal allows the Exchange to continue to charge its Members...

  18. 76 FR 38444 - [Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-30

    ... expiration month and series for each class of approved stock index options, and that the Exchange may open... to the rules in place for the listing of expiration months and series in stock or exchange-traded-fund (``ETF'') options.\\4\\ \\4\\ See Phlx Rule 1012(a)(1)(A); see also Nasdaq Rules Chapter IV, Section 6...

  19. 76 FR 32255 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-03

    ... book were $10.00 x $10.05, and a market participant entered a Post-Only Order to buy at $10.05, the.... Thus, if a sell order is on the book at $10 and a Post-Only Order to buy at $10.01 is entered, the... order's current behavior when crossing an existing order on the System. PHLX also notes that NASDAQ has...

  20. 76 FR 6644 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-07

    ...-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX... the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as... publishing this notice to [[Page 6645

  1. 77 FR 42050 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-17

    ....55 NOM 0.54 0.54 0.55 NOM-MNX 0.56 0.56 0.55 NOM-NDX 0.11 0.81 0.81 \\13\\ These fees are applicable to...-030). \\5\\ See Securities Exchange Act Release No. 67339 (SR-BX-2012- 043). This filing will become...

  2. 78 FR 69497 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-19

    ... Options Exchange (``CBOE'') Rule 6.51(a) and NASDAQ OMX PHLX LLC (``PHLX'') Rule 1051(a).\\6\\ Both CBOE and.... \\6\\ See CBOE Rule 6.51(a); PHLX Rule 1051(a). PHLX rules also permit, but do not require the exchange...

  3. 78 FR 69499 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-19

    ... Options Exchange (``CBOE'') Rule 6.51(a) and NASDAQ OMX PHLX LLC (``PHLX'') Rule 1051(a).\\6\\ Both CBOE and.... \\6\\ See CBOE Rule 6.51(a); PHLX Rule 1051(a). PHLX rules also permit, but do not require the exchange...

  4. 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

    ..., NASDAQ OMX is proposing to amend the compositional requirements of the Nominating & Governance Committee... requirements of the Nominating & Governance Committee, including independence requirements. BSECC expects that... increase the size of the Nominating & Governance Committee to six directors, but will not modify the size...

  5. 76 FR 67009 - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-28

    ..., NASDAQ OMX is proposing to amend the compositional requirements of the Nominating & Governance Committee... requirements of the Nominating & Governance Committee, including independence requirements. SCCP expects that... increase the size of the Nominating & Governance Committee to six directors, but will not modify the size...

  6. 78 FR 3482 - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68536; File No. SR-SCCP-2012-02] Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Proposed Rule Change With Respect to the Amendment of the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc...

  7. 77 FR 42026 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-17

    ... greater than $100) in premium in each of the front two expiration months and 80% of the time for series... previous trading day's last sale price was greater than $100) in premium across all expiration months in... by other exchanges employing similar pricing schemes. For example, NASDAQ OMX PHLX, Inc. (``PHLX...

  8. 78 FR 67430 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-12

    ... yield Flag K would increase intermarket competition because it offers customers an alternative means to...) Increase the fee for orders yielding Flag K, which routes to NASDAQ OMX PSX (``PSX'') using ROUC or ROUE... for orders yielding Flag K, which routes to PSX using ROUC or ROUE routing strategies; and (ii...

  9. 75 FR 20018 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change, As...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-16

    ... mechanisms for two different prices.\\42\\ NASDAQ OMX then cites two of its own proposed rule changes and...-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change, As Amended, To Offer...\\ thereunder, a proposed rule change to offer certain new Exchange data products to Exchange Members \\3\\ and...

  10. 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

    ... statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it... Nominating and Governance Committee, as well as the full Board of Directors. \\4\\ An ``Industry Director... has no material business relationship with a broker or dealer, NASDAQ OMX or its affiliates, or FINRA...

  11. 76 FR 77038 - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-09

    .... Second, NASDAQ OMX is proposing to amend the compositional requirements of the Nominating & Governance... approve a proposed rule change of a self-regulatory organization if it finds that such proposed rule... are in the custody or control of such clearing agency or for which it is responsible, and to comply...

  12. 76 FR 77048 - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-09

    .... Second, NASDAQ OMX is proposing to amend the compositional requirements of the Nominating & Governance... approve a proposed rule change of a self-regulatory organization if it finds that such proposed rule... are in the custody or control of such clearing agency or for which it is responsible, and to comply...

  13. 78 FR 76360 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-17

    ... December 2012 added TCV; and (ii) has an ``added liquidity'' to ``added plus removed liquidity'' ratio of... lower; and (2) Have an ``added liquidity'' to ``added plus removed liquidity'' ratio of at least 85...) Remove Flag RS, which routes to NASDAQ OMX PSX (``PSX'') and adds liquidity; (ii) make a non-substantive...

  14. Evolutionary origin of the segmental duplication encompassing the wheat GLU-B1 locus encoding the overexpressed Bx7 (Bx7OE) high molecular weight glutenin subunit.

    PubMed

    Ragupathy, Raja; Naeem, Hamid A; Reimer, Elsa; Lukow, Odean M; Sapirstein, Harry D; Cloutier, Sylvie

    2008-01-01

    Sequencing of a BAC clone encompassing the Glu-B1 locus in Glenlea, revealed a 10.3 Kb segmental duplication including the Bx7 gene and flanking an LTR retroelement. To better understand the evolution of this locus, two collections of wheat were surveyed. The first consisted of 96 diploid and tetraploid species accessions while the second consisted of 316 Triticum aestivum cultivars and landraces from 41 countries. The genotypes were first characterized by SDS-PAGE and a total of 40 of the 316 T. aestivum accessions were found to display the overexpressed Bx7 phenotype (Bx7OE). Three lines from the 96 diploid/tetraploid collection also displayed the stronger intensity staining characteristic of the Bx7(OE) subunit. The relative amounts of the Bx7 subunit to total HMW-GS were quantified by RP-HPLC for all Bx7OE accessions and a number of checks. The entire collection was assessed for the presence of four DNA markers namely an 18 bp indel of the coding region of Bx7 variant alleles, a 43 bp indel of the 5'-region and the left and right junctions of the LTR retrotransposon borders and the duplicated segment. All 43 accessions found to have the Bx7OE subunit by SDS-PAGE and RP-HPLC produced the four diagnostic PCR amplicons. None of the lines without the Bx7OE had the LTR retroelement/duplication genomic structure. However, the 18 and 43 bp indel were found in accessions other than Bx7OE. These results indicate that the overexpression of the Bx7 HMW-GS is likely the result of a single event, i.e., a gene duplication at the Glu-B1 locus mediated by the insertion of a retroelement. Also, the 18 and 43 bp indels pre-date the duplication event. Allelic variants Bx7*, Bx7 with and without 43 bp insert and Bx7OE were found in both tetraploid and hexaploid collections and shared the same genomic organization. Though the possibility of introgression from T. aestivum to T. turgidum cannot be ruled out, the three structural genomic changes of the B-genome taken together support

  15. 17 CFR 242.103 - Nasdaq passive market making.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...

  16. 17 CFR 242.103 - Nasdaq passive market making.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...

  17. 17 CFR 242.103 - Nasdaq passive market making.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...

  18. 17 CFR 242.103 - Nasdaq passive market making.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of Section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...

  19. 17 CFR 242.103 - Nasdaq passive market making.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of Section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...

  20. 76 FR 614 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-05

    ... Amendment No. 1 Thereto by NASDAQ OMX PHLX LLC Relating to Active SQF Port Fee December 29, 2010. Pursuant... Exchange proposes to amend its Active Specialized Quote Feed (``SQF'') Port Fee to create a tiered schedule... the Active SQF Port Fees to establish a tiered schedule of fees.\\3\\ SQF is an interface that enables...

  1. 78 FR 67432 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-12

    ...) Increase the fee for orders yielding Flag K, which routes to NASDAQ OMX PSX (``PSX'') using ROUC or ROUE... for orders yielding Flag K, which routes to PSX using ROUC or ROUE routing strategies; and (ii) decrease the fee for orders yielding Flag RW, which routes to CBSX and adds liquidity. Flag K In securities...

  2. 78 FR 48742 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-09

    ...). Currently, Section 1(b) of the Fee Schedule, which relates to the marketing fee, states that an LMM will... Schedule, fn. 6; NASDAQ OMX Phlx, LLC (``Phlx'') Pricing Schedule, section on Payment for Order Flow Fee... encourage greater order flow to be sent to the Exchange. This increased order flow would benefit all market...

  3. 75 FR 43594 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-26

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62530; File No. SR-Phlx-2010-96] Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Trading Halts in Options During a Trading Pause in the Underlying Securities July 19, 2010. Pursuant to Section 19(b)(1) of th...

  4. 76 FR 54514 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-01

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65203; File No. SR-Phlx-2011-120] Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Change the Name of the PSX Ouch BBO Feed to the PSX MatchView Feed and To Modify Its Contents August 26, 2011. Pursuant to Section 19(b)...

  5. 77 FR 7621 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-13

    ... Change To Permit OCC To Clear and Settle Spot Gold Futures, Which Are Proposed To Be Traded by NASDAQ OMX... Substance of the Proposed Rule Change The proposed rule change will permit OCC to clear and settle Spot Gold... change is to permit OCC to clear and settle Spot Gold Futures, which are proposed to be traded by NFX. A...

  6. 76 FR 58065 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Suspension of and Order Instituting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-19

    ... fee structure provides incentives for market participants to submit customer order flow to BOX and... an agency order on behalf of a customer for price improvement, paired with a contra-order... guaranteed 40% of the order (after public customers) at the final price for the PIP order, assuming it is at...

  7. Structural characteristics of ScBx genes controlling the biosynthesis of hydroxamic acids in rye (Secale cereale L.).

    PubMed

    Bakera, Beata; Makowska, Bogna; Groszyk, Jolanta; Niziołek, Michał; Orczyk, Wacław; Bolibok-Brągoszewska, Hanna; Hromada-Judycka, Aneta; Rakoczy-Trojanowska, Monika

    2015-08-01

    Benzoxazinoids (BX) are major secondary metabolites of gramineous plants that play an important role in disease resistance and allelopathy. They also have many other unique properties including anti-bacterial and anti-fungal activity, and the ability to reduce alfa-amylase activity. The biosynthesis and modification of BX are controlled by the genes Bx1 ÷ Bx10, GT and glu, and the majority of these Bx genes have been mapped in maize, wheat and rye. However, the genetic basis of BX biosynthesis remains largely uncharacterized apart from some data from maize and wheat. The aim of this study was to isolate, sequence and characterize five genes (ScBx1, ScBx2, ScBx3, ScBx4 and ScBx5) encoding enzymes involved in the synthesis of DIBOA, an important defense compound of rye. Using a modified 3D procedure of BAC library screening, seven BAC clones containing all of the ScBx genes were isolated and sequenced. Bioinformatic analyses of the resulting contigs were used to examine the structure and other features of these genes, including their promoters, introns and 3'UTRs. Comparative analysis showed that the ScBx genes are similar to those of other Poaceae species, especially to the TaBx genes. The polymorphisms present both in the coding sequences and non-coding regions of ScBx in relation to other Bx genes are predicted to have an impact on the expression, structure and properties of the encoded proteins.

  8. 77 FR 76572 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-28

    ... Substance of the Proposed Rule Change NASDAQ proposes to modify Chapter XV, entitled ``Options Pricing,'' governing pricing for NASDAQ members using the NASDAQ Options Market (``NOM''), NASDAQ's facility for... modify Chapter XV, entitled ``Options Pricing,'' at Section 3 entitled ``NASDAQ Options Market--Access...

  9. 78 FR 25329 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-30

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of..., The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange'') filed with the Securities and Exchange..., including the Nasdaq Market Center, the FINRA/NASDAQ Trade Reporting Facility, and FINRA's OTCBB Service...

  10. 77 FR 6164 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-07

    ... to systems operated by NASDAQ, including the Nasdaq Market Center, the FINRA/NASDAQ Trade Reporting... front-end system for low volume users. NASDAQ proposes to increase the monthly fee assessed for greater... using any facility or system that NASDAQ operates or controls, and it does not unfairly discriminate...

  11. Identification and VIGS-based characterization of Bx1 ortholog in rye (Secale cereale L.)

    PubMed Central

    Groszyk, Jolanta; Kowalczyk, Mariusz; Yanushevska, Yuliya; Stochmal, Anna; Rakoczy-Trojanowska, Monika

    2017-01-01

    The first step of the benzoxazinoid (BX) synthesis pathway is catalyzed by an enzyme with indole-3-glycerol phosphate lyase activity encoded by 3 genes, Bx1, TSA and Igl. A gene highly homologous to maize and wheat Bx1 has been identified in rye. The goal of the study was to analyze the gene and to experimentally verify its role in the rye BX biosynthesis pathway as a rye ortholog of the Bx1 gene. Expression of the gene showed peak values 3 days after imbibition (dai) and at 21 dai it was undetectable. Changes of the BX content in leaves were highly correlated with the expression pattern until 21 dai. In plants older than 21 dai despite the undetectable expression of the analyzed gene there was still low accumulation of BXs. Function of the gene was verified by correlating its native expression and virus-induced silencing with BX accumulation. Barley stripe mosaic virus (BSMV)-based vectors were used to induce transcriptional (TGS) and posttranscriptional (PTGS) silencing of the analyzed gene. Both strategies (PTGS and TGS) significantly reduced the transcript level of the analyzed gene, and this was highly correlated with lowered BX content. Inoculation with virus-based vectors specifically induced expression of the analyzed gene, indicating up-regulation by biotic stressors. This is the first report of using the BSMV-based system for functional analysis of rye gene. The findings prove that the analyzed gene is a rye ortholog of the Bx1 gene. Its expression is developmentally regulated and is strongly induced by biotic stress. Stable accumulation of BXs in plants older than 21 dai associated with undetectable expression of ScBx1 indicates that the function of the ScBx1 in the BX biosynthesis is redundant with another gene. We anticipate that the unknown gene is a putative ortholog of the Igl, which still remains to be identified in rye. PMID:28234909

  12. Identification and VIGS-based characterization of Bx1 ortholog in rye (Secale cereale L.).

    PubMed

    Groszyk, Jolanta; Kowalczyk, Mariusz; Yanushevska, Yuliya; Stochmal, Anna; Rakoczy-Trojanowska, Monika; Orczyk, Waclaw

    2017-01-01

    The first step of the benzoxazinoid (BX) synthesis pathway is catalyzed by an enzyme with indole-3-glycerol phosphate lyase activity encoded by 3 genes, Bx1, TSA and Igl. A gene highly homologous to maize and wheat Bx1 has been identified in rye. The goal of the study was to analyze the gene and to experimentally verify its role in the rye BX biosynthesis pathway as a rye ortholog of the Bx1 gene. Expression of the gene showed peak values 3 days after imbibition (dai) and at 21 dai it was undetectable. Changes of the BX content in leaves were highly correlated with the expression pattern until 21 dai. In plants older than 21 dai despite the undetectable expression of the analyzed gene there was still low accumulation of BXs. Function of the gene was verified by correlating its native expression and virus-induced silencing with BX accumulation. Barley stripe mosaic virus (BSMV)-based vectors were used to induce transcriptional (TGS) and posttranscriptional (PTGS) silencing of the analyzed gene. Both strategies (PTGS and TGS) significantly reduced the transcript level of the analyzed gene, and this was highly correlated with lowered BX content. Inoculation with virus-based vectors specifically induced expression of the analyzed gene, indicating up-regulation by biotic stressors. This is the first report of using the BSMV-based system for functional analysis of rye gene. The findings prove that the analyzed gene is a rye ortholog of the Bx1 gene. Its expression is developmentally regulated and is strongly induced by biotic stress. Stable accumulation of BXs in plants older than 21 dai associated with undetectable expression of ScBx1 indicates that the function of the ScBx1 in the BX biosynthesis is redundant with another gene. We anticipate that the unknown gene is a putative ortholog of the Igl, which still remains to be identified in rye.

  13. 75 FR 28082 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-19

    ... Change NASDAQ proposes to modify pricing for NASDAQ members using the NASDAQ Market Center. NASDAQ will... Exchange (``NYSE''), NASDAQ is making minor modifications to its pricing schedule for the routing of orders... using the STGY, SCAN, SKNY, SKIP, or DOTI routing strategies to either add liquidity or execute at the...

  14. 76 FR 77883 - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-14

    ...-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed... that on November 28, 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the... equities business on the NASDAQ Stock Market LLC are not subject to the fees in Rule 7003(b...

  15. Phylogenomics of the benzoxazinoid biosynthetic pathway of Poaceae: gene duplications and origin of the Bx cluster

    PubMed Central

    2012-01-01

    Background The benzoxazinoids 2,4-dihydroxy-1,4-benzoxazin-3-one (DIBOA) and 2,4-dihydroxy-7- methoxy-1,4-benzoxazin-3-one (DIMBOA), are key defense compounds present in major agricultural crops such as maize and wheat. Their biosynthesis involves nine enzymes thought to form a linear pathway leading to the storage of DI(M)BOA as glucoside conjugates. Seven of the genes (Bx1-Bx6 and Bx8) form a cluster at the tip of the short arm of maize chromosome 4 that includes four P450 genes (Bx2-5) belonging to the same CYP71C subfamily. The origin of this cluster is unknown. Results We show that the pathway appeared following several duplications of the TSA gene (α-subunit of tryptophan synthase) and of a Bx2-like ancestral CYP71C gene and the recruitment of Bx8 before the radiation of Poaceae. The origins of Bx6 and Bx7 remain unclear. We demonstrate that the Bx2-like CYP71C ancestor was not committed to the benzoxazinoid pathway and that after duplications the Bx2-Bx5 genes were under positive selection on a few sites and underwent functional divergence, leading to the current specific biochemical properties of the enzymes. The absence of synteny between available Poaceae genomes involving the Bx gene regions is in contrast with the conserved synteny in the TSA gene region. Conclusions These results demonstrate that rearrangements following duplications of an IGL/TSA gene and of a CYP71C gene probably resulted in the clustering of the new copies (Bx1 and Bx2) at the tip of a chromosome in an ancestor of grasses. Clustering favored cosegregation and tip chromosomal location favored gene rearrangements that allowed the further recruitment of genes to the pathway. These events, a founding event and elongation events, may have been the key to the subsequent evolution of the benzoxazinoid biosynthetic cluster. PMID:22577841

  16. Phylogenomics of the benzoxazinoid biosynthetic pathway of Poaceae: gene duplications and origin of the Bx cluster.

    PubMed

    Dutartre, Leslie; Hilliou, Frédérique; Feyereisen, René

    2012-05-11

    The benzoxazinoids 2,4-dihydroxy-1,4-benzoxazin-3-one (DIBOA) and 2,4-dihydroxy-7- methoxy-1,4-benzoxazin-3-one (DIMBOA), are key defense compounds present in major agricultural crops such as maize and wheat. Their biosynthesis involves nine enzymes thought to form a linear pathway leading to the storage of DI(M)BOA as glucoside conjugates. Seven of the genes (Bx1-Bx6 and Bx8) form a cluster at the tip of the short arm of maize chromosome 4 that includes four P450 genes (Bx2-5) belonging to the same CYP71C subfamily. The origin of this cluster is unknown. We show that the pathway appeared following several duplications of the TSA gene (α-subunit of tryptophan synthase) and of a Bx2-like ancestral CYP71C gene and the recruitment of Bx8 before the radiation of Poaceae. The origins of Bx6 and Bx7 remain unclear. We demonstrate that the Bx2-like CYP71C ancestor was not committed to the benzoxazinoid pathway and that after duplications the Bx2-Bx5 genes were under positive selection on a few sites and underwent functional divergence, leading to the current specific biochemical properties of the enzymes. The absence of synteny between available Poaceae genomes involving the Bx gene regions is in contrast with the conserved synteny in the TSA gene region. These results demonstrate that rearrangements following duplications of an IGL/TSA gene and of a CYP71C gene probably resulted in the clustering of the new copies (Bx1 and Bx2) at the tip of a chromosome in an ancestor of grasses. Clustering favored cosegregation and tip chromosomal location favored gene rearrangements that allowed the further recruitment of genes to the pathway. These events, a founding event and elongation events, may have been the key to the subsequent evolution of the benzoxazinoid biosynthetic cluster.

  17. 75 FR 13641 - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-22

    ... Rule 9522(a)(1) provides, among other things, that if the Exchange Regulation Department staff has... summary): (a) The right to a hearing and any right of appeal to challenge the validity of the supervisory... submitted by any of the following methods: Electronic Comments Use the Commission's Internet comment form...

  18. 75 FR 4603 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-28

    ... Protection and Locked/ Crossed Market Plan (``Decentralized Plan'').\\6\\ In particular, the Commission...: Electronic Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or... Commission will post all comments on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml...

  19. 75 FR 8763 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-25

    ... at http://www.sec.gov and also on the Exchange's Internet Web site at http://nasdaqomxbx... Options Order Protection and Locked/Crossed Market Plan (``Decentralized Plan'').\\6\\ \\5\\ See Securities... mechanisms to remain fully compliant with the Decentralized Plan and BOX Rules and to no longer rely upon a...

  20. 78 FR 25510 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-01

    ... Dividend, Payment or Distribution, and To Make Related Clarifications to Rule Text April 25, 2013. Pursuant... distribution, and to make related clarifications to rule text. The text of the proposed rule change is... and discussed any comments it received on the proposed rule change. The text of these statements may...

  1. 75 FR 7528 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-19

    ... refers to include electronic and other types of media, including magazines, Web sites, and television... Commission's Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days...

  2. 78 FR 18407 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-26

    ... with customer bases of potential product users have indicated a preference that premium pricing for... clarity as to the minimum pricing increments for Mini Options, the filing would harmonize penny pricing... symbol'' of an underlying security and cannot differentiate, for purposes of minimum variation pricing...

  3. 76 FR 38710 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-01

    ... receptacles (60 amps 208 volts), which would provide enough power for a high density cabinet. The proposed fee for installation of the pair of the 60 amp 208 volt power receptacles is $3,000. There are ten other... case of the proposed fees for a pair of the 60 amp power receptacles and the Twinax cables, the...

  4. 78 FR 9100 - Self-Regulatory Organizations; NASDAQ OMX BX Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-07

    ... of investors and the public interest. Although the Limit Up-Limit Down Plan will be operational... pilot for at least through the phased implementation of the Plan is operational will help to protect... determine whether Rule 11890 is necessary once the Plan is operational and, if so, whether improvements can...

  5. 77 FR 40924 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-11

    ... execution, order or cancel information, which can be exported into a spreadsheet for review. TradeInfo.... This is the same fee assessed to NOM Participants and PHLX members for this service. Use of TradeInfo... allocate trades to the appropriate accounts and sub- accounts for clearing. The Options Clearing...

  6. 78 FR 17952 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-25

    ... believes that, because SPX, SPXPM, and SPY options are ultimately derivative of the same benchmark--the S&P..., investors utilize SPX, SPXPM, and SPY options and their respective underlying instruments and futures to... Exchange proposes to eliminate position limits for options on the SPDR[supreg] S&P 500[supreg] exchange...

  7. 75 FR 82109 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-29

    ... subdivision thereof, or options or other derivatives on any of the foregoing; or (b) interest rate futures or... subdivision thereof, or options or other derivatives on any of the foregoing; or (b) interest rate futures or... (multiple or inverse) performance of an index or indexes of futures contracts or options or derivatives on...

  8. 76 FR 49517 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

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    2011-08-10

    ... rules), BOX's proposed rule change does not address or impact any priority relationship for Professional... any priority relationship for Professional orders as opposed to other BOX orders, nor does it impact... Options Participants representing as agent Customer Orders on BOX and those non-Market Maker Participants...

  9. 77 FR 45705 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

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    2012-08-01

    ... relationship with Correlix due to the lack of customer interest in the measurement tools offered. It also... on the part of customers.\\4\\ \\3\\ See Exchange Act Release No. 63220 (November 1, 2010) 75 FR 68389... eliminating its revenue sharing relationship with Correlix and deleting from its rulebook the listing of fees...

  10. 76 FR 2730 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

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    2011-01-14

    ... exchanges that employ a similar $5 Strike Price Program under their respective rules. Similar reciprocity... securities exchanges. Similar reciprocity currently is permitted with BOX's $1 Strike Program, $.50 Strike... effectiveness of reciprocity provision related to the $5 Strike Price Program). \\15\\ For purposes only of...

  11. 76 FR 12771 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-08

    ... reciprocity in matching other exchanges' Weekly option choices, BOX discontinues trading Weekly option classes... management purposes. \\5\\ As discussed above, because of the reciprocity provision of the Weeklys Program, the...

  12. 75 FR 34490 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-17

    ... customer and proprietary order flow. Given the portability of order flow from one trading venue to another... designed to permit unfair discrimination between customers, issuers, brokers, or dealers. \\7\\ In approving... flow from market participants; and (ii) the availability to market participants of alternatives to...

  13. 76 FR 46337 - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-02

    ... limit on the same side of the market.\\13\\ This has, in light of the huge run-up in SPY option trading... will be beneficial to large market makers (which generally have the greatest potential and actual...

  14. 75 FR 78781 - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-16

    ... Pilot Period of the Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products That Experience a Price Change of 10% or More... the pilot period of the trading pause for individual stocks contained in the Standard & Poor's 500...

  15. 75 FR 3503 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-21

    ... increase in Broker Dealer fees, from $0.20 to $0.25, is in effect. Fees and Charges to SPY, QQQQ, and IWM... that the standard fee for transactions in SPY, QQQQ and IWM be set at $0.10 per contract for Broker... fees charged for transactions in SPY, QQQQ and IWM are $0.20 for both Market Maker and Broker Dealer...

  16. 75 FR 47869 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-09

    ..., including transactions in SPY, QQQQ and IWM, is set at $0.20 per contract, both for Broker Dealers and for...)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is... change pursuant to Section 19(b)(3)(A)(ii) of the Act,\\3\\ and Rule 19b-4(f)(2) thereunder,\\4\\ which...

  17. 75 FR 4431 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-27

    .... (the ``Exchange'') proposes to amend the Fee Schedule of the Boston Options Exchange Group, LLC (``BOX... upon filing.\\5\\ The Exchange proposes to amend the BOX Fee Schedule to institute a new transaction... that registers an options principal and/or representative who is conducting business on BOX is assessed...

  18. 76 FR 58072 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-19

    ... Amend the BOX Fee Schedule September 14, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange... Fee Schedule of the Boston Options Exchange Group, LLC (``BOX''). The changes to the BOX Fee Schedule... structure that provides a discount to BOX Options Participants (``Participants'') that execute transactions...

  19. 76 FR 56845 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-14

    ... increase liquidity for the benefit of all BOX market participants. Additionally, BOX notes that it is one... Amend the BOX Fee Schedule September 8, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange... Schedule of the Boston Options Exchange Group, LLC (``BOX''). While changes to the BOX Fee Schedule...

  20. 77 FR 16877 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-22

    ... Amend the BOX Fee Schedule March 16, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act... Change The Exchange proposes to amend the Fee Schedule of the Boston Options Exchange Group, LLC (``BOX''). The changes to the BOX Fee Schedule pursuant to this proposal will be effective upon filing for March...

  1. 75 FR 16891 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change, as...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-02

    ... the Directed Order to the PIP \\7\\ or send the Directed Order to the BOX Book. When the EP sends the Directed Order to the BOX Book and the EP's quotation on the opposite side of the market from the Directed... the Directed Order is being exposed on the BOX Book. \\7\\ See Chapter V, Section 18 of the BOX Rules...

  2. 75 FR 67416 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-02

    ... Clerical and Grammatical Corrections to Chapter VII, Section 1 (Exercise of Options Contracts) of the... (``BOX'') to make a clerical correction to Chapter VII, Section 1 (Exercise of Options Contracts) of the... Exchange is proposing to make a clerical correction to the rule text of Chapter VII, Section 1 (Exercise of...

  3. 75 FR 56618 - Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-16

    ... Alexander M. Cutler, Chair, Business Roundtable Corporate Leadership Initiative, Business Roundtable, to..., dated July 19, 2010 (``CCMC Letter''); Letter from James J. Angel, Associate Professor of Finance... Vice President-- Legal & Corporate Secretary, NYSE Euronext to Elizabeth M. Murphy, Secretary...

  4. 76 FR 50279 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-12

    ... Adopt a Limited Category of Principal Registration for Proprietary Traders August 8, 2011. Pursuant to..., Categories of Principal Registration, to adopt a new limited category of principal registration for...

  5. 78 FR 55318 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-10

    ... Amend Rule 1120 and Adopt a Corresponding Fee September 4, 2013. Pursuant to Section 19(b)(1) of the... the Commission a proposed rule change to amend Rule 1120 as described below, and to adopt a... the specific continuing education requirements that currently apply and to adopt a continuing...

  6. 75 FR 69484 - Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-12

    ... processor. In addition, the Amendment modifies the proposals so that a market maker's quoting obligations... reported by the responsible single plan processor. Finally, so that the markets may coordinate..., as reported by the responsible single plan processor. The Amendment also modifies that the market...

  7. 78 FR 16746 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-18

    ... volatility, as described further below. The text of the proposed rule change is set forth below. Proposed new... received on the proposed rule change. The text of these statements may be examined at the places specified... Upper Price Band for each NMS Stock are calculated by the Processors.\\9\\ When the National Best Bid...

  8. 78 FR 56249 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-12

    ... executing certain trades that either add liquidity to or remove liquidity from the Exchange's order book in... adopted its fees, it set its fee levels appropriate to the start-up nature of the Exchange's new equities... to perform at a high level of responsiveness and efficiency. \\5\\ Securities Exchange Act Release No...

  9. 78 FR 76344 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-17

    ... environment and on which they may test their automated systems that integrate with the Exchange. For example... Establish Fees Under Rule 7030(d) for Use of the Carteret Testing Facility Test Environment December 11... the Testing Facility (``NTF'') test environment located in Carteret, New Jersey, which will provide a...

  10. 76 FR 13012 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-09

    ... proposes to modify Rule 2251 to prohibit members from voting on the election of a member of the board of directors of an issuer (except for a vote with respect to the uncontested election of a member of the board... the election of a member of the board of directors of an issuer (except for a vote with respect to the...

  11. 77 FR 1968 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-12

    ... permits the Exchange to list up to seven expiration months at any one time for certain broad-based index... the European-style index options approved for trading on BOX, Section 10(a)(5)(ii) references options...

  12. 75 FR 39299 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-08

    ... French as the Bourse de Montr[eacute]al Inc. II. Self-Regulatory Organization's Statement of the Purpose... submitted by any of the following methods: Electronic Comments Use the Commission's Internet comment form...

  13. 75 FR 66820 - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-29

    ... of its financial condition as disclosed in its most recently prepared balance sheet.] * * * * * II... relative to a member's financial condition, as disclosed in its most recent balance sheet, available for... option of delivering their balance sheet, in paper or electronic form, to customers who request it...

  14. 75 FR 57823 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-22

    ... the CBOE Volatility Index Futures to the Definition of a Futures Reference Asset in Chapter IV... products linked to CBOE Volatility Index Futures (``VIX Futures''). The text of the proposed rule change is... for the trading of options on Index-Linked Securities to include products linked to CBOE Volatility...

  15. 76 FR 34284 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-13

    ... participant entered a Post-Only Order to buy at $10.05, the order would be re-priced and displayed at $10.04... at $10 and a Post-Only Order to buy at $10.01 is entered, the order will execute at $10. This aspect...). Accordingly, the rule is being amended to provide a complete description of the order's current behavior when...

  16. 77 FR 13676 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-07

    ... Alberta Investment Management Corporation, Caisse de d[eacute]p[ocirc]t et placement du Qu[eacute]bec... Capital Markets Inc., Fonds de solidarit[eacute] des travailleurs du Qu[eacute]bec (F.T.Q.), GMP Capital... (Qu[eacute]bec), Alberta Securities Commission, British Columbia Securities Commission, Competition...

  17. 77 FR 16288 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-20

    ... Eliminate the 100MB Connectivity Option and Fee March 14, 2012. Pursuant to Section 19(b)(1) of the... proposes to eliminate 100MB connectivity between the Exchange and co-located servers, as well as associated... Proposed Rule Change 1. Purpose The Exchange proposes to modify Rule 7034(b) to eliminate 100MB...

  18. 77 FR 31906 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-30

    ... Eliminate the Fees Under Rule 7003(b) and Adopt a New Equities Regulatory Fee May 23, 2012. Pursuant to... Rule Change The Exchange proposes to eliminate the fees under Rule 7003(b) and replace them with a new...

  19. 75 FR 71163 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-22

    ... current quote traffic, although changes in market maker quoting behavior may reduce that increase by up to... public in accordance with the provisions of 5 U.S.C. 552, will be available for website viewing and...

  20. 76 FR 60569 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Amending...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-29

    ... Facilitation Auction, a broadcast message, which will include the proposed execution price of the cross (the ``Facilitation Price''), will be sent to Options Participants giving them one second to enter responses (``Responses'') \\4\\ with the prices and sizes at which they would be willing to participate in the facilitation...

  1. 76 FR 74109 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-30

    ... predetermined prices subject to various timing and other conditions. Like options, the price of rights and... volatility of the stock. As a consequence, the prices of rights and warrants may move more dramatically than the prices of the underlying stocks even when the rights and warrants (and the underlying stock) are...

  2. 77 FR 47158 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-07

    ... not be displayed,\\3\\ a change that will improve system and inter-market price stability. The display... Delay the Implementation Date of Non-Display of Primary Pegged Orders With an Offset Amount August 1... Proposed Rule Change The Exchange proposes a rule change to delay the implementation date for its rule...

  3. 78 FR 48734 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-09

    ... market conditions. The text of the proposed rule change is attached as Exhibit 5.\\3\\ \\3\\ The Commission... event of unusual market conditions. This is a competitive filing that is based on two recently approved... expiration if unusual market conditions exist. The exchanges amended their rules to permit the opening of...

  4. 76 FR 64413 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-18

    ... Customers in Section 1c is $0.07 per executed contract for all non-PIP transactions. The Exchange proposes to amend Section 1c to expand this applicable fee to all non-Auction Transactions and define the term ``Auction Transactions'' to include all transactions executed through PIP, the Solicitation Auction...

  5. 75 FR 68389 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-05

    ... received by Correlix from parties who have contracted directly with Correlix to use their RaceTeam latency...Team customer directly. Pricing for the Correlix RaceTeam product for the Exchange varies depending on..., Correlix will see an individualized unique Exchange-generated identifier that will allow Correlix RaceTeam...

  6. 75 FR 44826 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-29

    ... flexibility and the ability to more closely tailor their investment and risk management strategies and... additional strikes for investment, trading, and risk management purposes. 2. Statutory Basis The Exchange...

  7. 75 FR 40007 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-13

    ... Rules, only Exchange-Traded Fund Shares, or ETFs, that are traded on a national securities exchange and... that holds a specified non-U.S. currency or currencies deposited with the trust or similar entity when... receive the specified non-U.S. currency or currencies and pays the beneficial owner interest and other...

  8. 75 FR 48400 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-10

    ...\\ Id. \\11\\ Id. Under Chapter IV, Section 3(i) of the BOX Rules, Exchange-Traded Fund Shares (``ETFs... traded on BOX: The ETFs must (i) be traded on a national securities exchange; (ii) be defined as an ``NMS... specified non-U.S. currency or currencies deposited with the trust or similar entity when aggregated in some...

  9. 78 FR 64563 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-29

    ... preference to not have a mix of options with open interest that expire on different days in a single month... that European-style options can be exercised only on the expiration date if such day is a business day or, in the case of option contracts expiring on a day that is not a business day, the last business...

  10. 77 FR 47448 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-08

    .... (collectively, the ``Exchanges''), to pause trading during periods of extraordinary market volatility in S&P 500... mechanism to address extraordinary market volatility, if adopted, applies.\\7\\ On June 23, 2011, the... to address extraordinary market volatility, and further extended the pilot period, so that the pilot...

  11. 76 FR 19821 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-08

    ... volatility, if adopted, applies. The text of the proposed rule change is below. Proposed new language is... volatility, if adopted, applies[April 11, 2011]. During the pilot, the term ``Circuit Breaker Securities... of extraordinary market volatility in S&P 500 stocks.\\3\\ The rules require the Listing Markets \\4\\ to...

  12. 76 FR 50781 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-16

    ... volatility, if adopted, applies]. During the pilot, the term ``Circuit Breaker Securities'' shall mean all.... (collectively, the ``Exchanges''), to pause trading during periods of extraordinary market volatility in S&P 500... extraordinary market volatility, if adopted, applies.\\7\\ On June 23, 2011, the Commission approved the expansion...

  13. 77 FR 4387 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-27

    ..., the ``Exchanges''), to pause trading during periods of extraordinary market volatility in S&P 500... mechanism to address extraordinary market volatility, if adopted, applies.\\7\\ On June 23, 2011, the... to address extraordinary market volatility, and further extended the pilot period, so that the pilot...

  14. 78 FR 11930 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-20

    ... Extraordinary Market Volatility or February 4, 2014. The text of the proposed rule change is below. Proposed new... Extraordinary Market Volatility or February 4, 2014[3]. During the pilot, the term ``Circuit Breaker Securities... ``Exchanges''), to pause trading during periods of extraordinary market volatility in S&P 500 stocks.\\3\\ The...

  15. 76 FR 20732 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ... which a limit up/limit down mechanism to address extraordinary market volatility, if adopted, applies... mechanism to address extraordinary market volatility, if adopted, applies [April 11, 2011]. If the pilot is... limit up/limit down mechanism to address extraordinary market volatility, if adopted, applies [April 11...

  16. 75 FR 51306 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-19

    ... systems capacity to handle the additional traffic associated with the listing and trading of $1 strikes... Relating to Establishing Strike Price Intervals for Options on Trust Issued Receipts, Including Holding... Rules of the Boston Options Exchange Group, LLC (``BOX'') to establish strike price intervals for...

  17. 75 FR 77925 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-14

    ... Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities December 8, 2010... Business) of the Rules of the Boston Options Exchange Group, LLC (``BOX'') to establish strike price... proposing to establish strike price intervals and trading hours for these products. The Securities and...

  18. 76 FR 19162 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-06

    ... Amend the BOX Rules To Expand the $2.50 Strike Price Program March 31, 2011. Pursuant to Section 19(b)(1..., LLC (``BOX'') to expand the $2.50 Strike Price Program. The text of the proposed rule change is... Strike Price Program (``Program'') \\4\\ to permit the listing of options with $2.50 strike price intervals...

  19. 76 FR 28256 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-16

    ... for execution at an away market other than on BOX, resulting in a covered sale on that market and an..., Supp. Material .01 of the BOX Trading Rules, to pay the related sales fee of that away market.\\8\\ \\8... by Routing Broker(s), which executes the routed order on the away market on behalf of the Participant...

  20. 78 FR 76353 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-17

    ... fees for routing options to away markets. The text of the proposed rule change is available on the... Exchange incurs for routing and executing certain orders in equity options to away markets. Today, the... assessed. If the away market pays a rebate, the Routing Fee is $0.00 per contract.\\4\\ \\3\\ Including BATS...

  1. 78 FR 14141 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-04

    ... The Exchange proposes to amend fees for routing options to away markets in Chapter XV, entitled... related to routing orders to away markets plus the away market's transaction fee. The Exchange assesses a... exchanges in addition to the actual transaction fee or rebate paid by the away market.\\3\\ \\3\\ Today, the...

  2. 78 FR 3053 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-15

    ... options to away markets. The text of the proposed rule change is provided in Exhibit 5. The text of the... routing and executing certain orders in equity options to away markets. The Exchange proposes to amend Routing Fees for the following away markets: BATS Exchange, Inc. (``BATS''), BOX Options Exchange LLC...

  3. 78 FR 6368 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-30

    ... fees for routing options to away markets. While these amendments are effective upon filing, the... recoup costs the Exchange incurs for routing and executing certain orders in equity options to away... plus the away market transaction fee as noted below. Today, the Exchange calculates Routing Fees by...

  4. 78 FR 53797 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-30

    ... Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead... The Exchange proposes to amend Exchange rules to change the expiration date for most option contracts.... Purpose The Exchange is proposing to change the expiration date for most option contracts to the third...

  5. 78 FR 61427 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-03

    ...\\ (the ``Limit Up-Limit Down Plan''). The Exchange believes the benefits to market participants from the..., which is one year following commencement of operations of the Limit Up-Limit Down Plan. The Exchange... the industry gains further experience operating the Limit Up-Limit Down Plan. \\3\\ Securities Exchange...

  6. 75 FR 67799 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-03

    ... strike, an out-of-the-money option. However, if a $0.50 strike series had been available, the investor would have been able to control 5,000 shares by purchasing 50 exercisable in-the-money $0.50 strike call... the time was $1, an in-the-money option. If a $0.50 strike series had been available, the investor...

  7. 76 FR 34785 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-14

    ... receive the waiver of the installation fee: 1. The new cabinet order must be placed in the CoLo Console \\4\\ during the designated period; and \\4\\ The ``CoLo Console'' is a Web-based ordering tool that is utilized...

  8. 77 FR 71853 - Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX Inc.; Chicago Board Options...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-04

    ..., Commission, dated October 18, 2012; Letter from J. Robert Brown, Jr., Director, Corporate & Commercial Law Program, University of Denver Sturm College of Law to Elizabeth M. Murphy, Secretary, Commission, dated..., dated November 14, 2012. \\6\\ See Letter from J. Robert Brown, Jr., Director, Corporate & Commercial Law...

  9. 76 FR 16844 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-25

    ...)(4). ix. Exchange Rule 4751(h)(8) to reflect that ``good-til-market close'' \\6\\ orders must be available for entry and potential execution from 7 a.m. ET instead of 8 ET. \\6\\ ``Good-til-market close...

  10. 76 FR 49805 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-11

    ... practices and display execution and trading systems. While the examination is primarily dedicated to topics related to proprietary trading, the Series 56 examination also covers a few general concepts relating to... Trading Systems, 13 questions. Representatives from the applicable SROs intend to meet on a periodic basis...

  11. 78 FR 6391 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-30

    ... shares other than 100.\\8\\ Moreover, the concept of listing and trading parallel options products of... system capacity, the Exchange has analyzed its capacity and represents that it and the Options Price Reporting Authority (``OPRA'') have the necessary systems capacity to handle the potential additional...

  12. 75 FR 26313 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-11

    ... Marvell Technology Group Ltd. EP El Paso Corp. XLP Consumer Staples Select Sector SPDR Fund. SEED Origin... Inc/The. ADBE Adobe Systems Inc. MEE Massey Energy Co. PCX Patriot Coal Corp. CELG Celgene Corp. SPWRA...

  13. 75 FR 77029 - Self-Regulatory Organizations; The NASDAQ OMX BX Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-10

    ... that are obsolete or generally limiting, given the evolution of technologies and systems through which... and manipulative acts and practices, to promote just and equitable principles of trade, to foster...

  14. 77 FR 15169 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-14

    ... Exchange, including a 10Gb fiber connection, a 1Gb copper connection, and a 100 MB connection.\\4\\ In... enable its clients a more efficient connection to the Exchange. The Exchange proposes a 40G [sic] fiber... orders of 10Gb and 40Gb fiber connectivity to the Exchange completed between the effectiveness of this...

  15. 77 FR 43883 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-26

    ...'s Web site at http://www.nasdaqtrader.com/micro.aspx?id=BXRulefilings , at the principal office of... Options market.\\3\\ Specifically, the Exchange adopted the following routing fees in Chapter XV, Section 2(4): \\3\\ See Securities Exchange Act Release No. 67339 (July 3, 2012), 77 FR 405688 (July 10, 2012...

  16. 75 FR 47875 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-09

    ... the Securities and Exchange Commission (``Commission'') to, among other things, expand the number of... Oilwell Varco Inc. TSL Trina Solar Ltd. TWX Time Warner Inc. EWW iShares MSCI Mexico XOP SPDR S&P Oil... Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an e-mail to rule-comments...

  17. 77 FR 28414 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-14

    ... Modify the Exchange's Co-Location Super High Density Cabinet Monthly Fee May 8, 2012. Pursuant to Section... Change The Exchange proposes to modify the Exchange's co-location super high-density cabinet monthly fee... modifying Rule 7034(a) by reducing its co-location super high-density cabinet on-going monthly fee from $15...

  18. 76 FR 80996 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-27

    ... power densities. The co-located customer may obtain a half cabinet, a low density cabinet, a medium density cabinet, a medium-high density cabinet and a high density cabinet.\\3\\ Each cabinet may vary in... by choosing a combination of lower power density cabinets. However, the Exchange is providing a...

  19. 76 FR 24934 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-03

    ... proposed rule change and discussed any comments it received on the proposed rule change. The text of these... the Nominating & Governance Committee; (ii) amended the Phlx reference to reflect a recent conversion... Article IV, Section 4.13(h), the Nominating Committee also conducts certain governance functions such as...

  20. 76 FR 75573 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change With...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-02

    ... three directors, as well as the size of its Nominating & Governance Committee, so long as the Nominating & Governance Committee includes at least two directors. The proposal is intended to provide greater flexibility... & Governance Committee, including independence requirements. Moreover, the Commission notes that the proposal...

  1. 76 FR 40761 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-11

    ... wishes to receive the TSX Quantum Level 1 Feed; and a per-month connectivity fee of $300 if a client wishes to receive the TSX Quantum Level 2 Feed. The Exchange is making the TSX [sic] market data feeds...

  2. 78 FR 27464 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-10

    ... providing more favorable fee economics to members that contribute to market quality and the Exchange's... favor competing venues if they deem fee levels at a particular venue to be excessive, or rebate...

  3. 77 FR 77152 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-31

    ... Relating to Extension of the Exchange's Penny Pilot Program December 21, 2012. Pursuant to Section 19(b)(1... Penny Pilot Program in options classes in certain issues (``Penny Pilot'' or ``Pilot'') and provide a procedure for replacement of any Penny Pilot issues that have been delisted.\\3\\ \\3\\ The Penny Pilot was...

  4. 78 FR 77528 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-23

    ... Relating to Extension of the Exchange's Penny Pilot Program December 17, 2013. Pursuant to Section 19(b)(1... Increments) to: extend through June 30, 2014, the Penny Pilot Program in options classes in certain issues (``Penny Pilot'' or ``Pilot''), and to change the date when delisted classes may be replaced in the Penny...

  5. 76 FR 79231 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-21

    ... Extend the Penny Pilot Program December 15, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange... Chapter V, Section 33 (Penny Pilot Program) of the Rules of the Boston Options Exchange Group, LLC (``BOX... penny increments on BOX (``Penny Pilot Program''). II. Self-Regulatory Organization's Statement of the...

  6. 78 FR 37873 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-24

    ... Extend the Penny Pilot Program June 18, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act..., the Penny Pilot Program in options classes in certain issues (``Penny Pilot'' or ``Pilot''), and to change the date when delisted classes may be replaced in the Penny Pilot.\\3\\ \\3\\ The Penny Pilot was...

  7. 77 FR 40666 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-10

    ... Relating to Extension of the Exchange's Penny Pilot Program July 3, 2012. Pursuant to Section 19(b)(1) \\1... 31, 2012, the Penny Pilot Program in options classes in certain issues (``Penny Pilot'' or ``Pilot'').\\4\\ \\4\\ The Penny Pilot was established in June 2012. See Securities Exchange Act Release No. 67256...

  8. 78 FR 11935 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-20

    ... changes to these fees: Modifying the pricing tier that currently requires providing an average daily... more shares of liquidity would be required; Instituting a new pricing tier under which a member would..., including use of routable orders, will remain unchanged. Moreover, a new pricing tier is being created so...

  9. 77 FR 47886 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-10

    ... routing strategies \\4\\ (the same fee charged for routing to all venues other than the New York Stock Exchange (``NYSE'')), $0.0035 per share executed for orders that use the BMOP routing strategy (the same... charged by PSX for orders that use the BTFY or BCRT routing strategies. \\3\\ See SR-Phlx-2012-102 (July 31...

  10. 76 FR 28248 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-16

    ... Modify Fees for Non Co-Location Services May 9, 2011. Pursuant to Section 19(b)(1) of the Securities... fees for non co-location services. While changes to the Fee Schedule pursuant to this proposal are... operates in a highly competitive market in which exchanges offer non co-location services as a means to...

  11. 77 FR 21122 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-09

    ... Currently, the BOX Fee Schedule lists fingerprint processing fees that are imposed on BOX Participants by... fingerprint processing will now be lower than they previously were. The proposed change is equitable and not unfairly discriminatory because the new, lower fingerprint processing fees will apply to all eligible...

  12. 75 FR 43223 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-23

    ... Process Until July 18, 2011 July 16, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of... Change (a) The Exchange proposes to amend the Supplementary Material to Chapter V, Section 18 (The Price... 18 of Chapter V of the BOX Rules and seeks to extend the operation of the PIP Pilot Program until...

  13. 78 FR 38747 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-27

    ... unlisted trading privileges for which a ``Required Value,'' such as an intraday indicative value or... Managed Fund Shares listed on the Exchange if the Intraday Indicative Value or the index value applicable...

  14. 78 FR 21653 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving, on an Accelerated Basis...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-11

    ... time period before suddenly reversing to prices consistent with their pre-decline levels.\\5\\ This... implemented through a series of rule filings by the equity exchanges and by FINRA.\\6\\ The single-stock circuit breaker was designed to reduce extraordinary market volatility in NMS stocks by imposing a five-minute...

  15. 76 FR 39940 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-07

    ... Program That Permits BOX to Have No Minimum Size Requirement for Orders Entered Into the Price Improvement Period (PIP) Process Until July 18, 2012 June 30, 2011. Pursuant to Section 19(b)(1) of the Securities... Supplementary Material to Chapter V, Section 18 (The Price Improvement Period ``PIP'') of the Rules of the...

  16. 76 FR 54277 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-31

    ... members raises potential conflicts of interest, and the potential for unfair competitive advantage.\\25... firm is affiliated with an exchange of which it is a member, the Exchange previously proposed, and the... instances where a member firm is affiliated with an exchange to which it is routing orders, the Exchange...

  17. 75 FR 20647 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-20

    ... Relating to Chapter V, Section 7 (Customer Orders and Order Flow Providers) Date: April 13, 2010. Pursuant... 17 (Customer Orders and Order Flow Providers) of the Rules of the Boston Options Exchange Group, LLC... Exchange is proposing to amend Chapter V, Section 17 (Customer Orders and Order Flow Providers) of the BOX...

  18. 77 FR 61458 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-09

    ... Offer Members the Ability To Pay a Regulatory Fine Pursuant to an Installment Plan October 2, 2012... pay a regulatory fine pursuant to an installment plan, under certain conditions. The text of the... Action for Failure to Pay'' to offer members the ability to pay a regulatory fine pursuant to an...

  19. 78 FR 19054 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-28

    ... Effectiveness of the Second Amendment to the National Market System Plan to Address Extraordinary Market...-631) (Order Approving, on a Pilot Basis, the National Market System Plan To Address Extraordinary... accommodate more fundamental price moves (as opposed to erroneous trades or momentary gaps in liquidity). All...

  20. 76 FR 62489 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-07

    ... market access. Consistent with the requirements of the Market Access Rule, these tests are designed to... another market center if it posts a bid or offer that locks or crosses the BSTG order.\\9\\ BSKN is a form... it posts a bid or offer that locks or crosses the BSCN order.\\11\\ BSKP is a form of BSCN in which the...

  1. 76 FR 72490 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-23

    ... Program. \\6\\ However, if BOX opens less than twenty (20) short term options for a Short Term Option... maintain an orderly market, to meet customer demand or when the market price of the underlying security... number of classes is customer demand for adding, or not removing, short term option classes from the...

  2. 76 FR 72470 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-23

    ... Simplify the $1 Strike Price Interval Program November 17, 2011. Pursuant to Section 19(b)(1) of the... by the Exchange. The Exchange has designated the proposed rule change as constituting a non...) of the Rules of the Boston Options Exchange Group, LLC (``BOX'') to simplify the $1 Strike Price...

  3. 77 FR 14452 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-09

    ... terrorism to the list of items beyond the control of Exchange Related Persons and/or Entities for which... filed with the Commission, and all written communications relating to the proposed rule change between...

  4. 77 FR 20671 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-05

    ... Primary Pegged Orders with an offset amount will never be displayed. The text of the proposed rule change.... Under the Exchange's current rule, Midpoint Pegged Orders are not displayed, while Primary and Market... messaging and ``quote flickering.'' A [[Page 20672

  5. 78 FR 62814 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Assume... Authority and Supervision September 30, 2013. On July 31, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or...) Manipulation patterns that monitor solely NASDAQ activity, including patterns that monitor the Exchange's...

  6. 77 FR 70857 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-27

    ... 2, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68279; File No. SR-NASDAQ-2012-117] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission...

  7. 78 FR 29193 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-17

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Pilot Restrictions From NASDAQ's Qualified Market Maker and NBBO Setter...\\ thereunder, notice is hereby given that on May 1, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange...

  8. 77 FR 21130 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-09

    ... proposes to modify Chapter XV, Options Pricing, Section 2, of the Options Rules portion of the NASDAQ Rulebook governing pricing for NASDAQ members using The NASDAQ Options Market (``NOM''), NASDAQ's facility... certain Customer Routing Fees to recoup costs incurred by the Exchange in routing to away markets. While...

  9. 77 FR 34453 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-11

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the NASDAQ Options Market Message Traffic Mitigation Rule June 5, 2012...\\ thereunder, notice is hereby given that, on May 29, 2012, The NASDAQ Stock Market LLC (``NASDAQ'') filed with...

  10. 78 FR 48744 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-09

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a...,\\2\\ notice is hereby given that, on July 26, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or..., Section 6 (Series of Options Contracts Open for Trading) of the rules of the NASDAQ Options Market (``NOM...

  11. 75 FR 11213 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-10

    ... of the Proposed Rule Change NASDAQ proposes to modify pricing for NASDAQ members using the NASDAQ... Statutory Basis for, the Proposed Rule Change 1. Purpose NASDAQ is making minor modifications to its pricing... the fee for members using the STGY, SCAN, SKNY, SKIP, or DOTI routing strategies.\\3\\ For orders using...

  12. 75 FR 33878 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-15

    ... the Proposed Rule Change NASDAQ proposes to modify pricing for NASDAQ members using the NASDAQ Market... Statutory Basis for, the Proposed Rule Change 1. Purpose NASDAQ is making modifications to its pricing... for orders using the TFTY routing strategy that execute at the NYSE from $0.0017 per share executed to...

  13. 78 FR 28272 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-14

    ... systems operated by NASDAQ, including the Nasdaq Market Center, the FINRA/NASDAQ Trade Reporting Facility... using any facility or system which the Exchange operates or controls. All similarly situated members are...) for use of VTE terminals. A VTE terminal is a basic front- end user interface used by NASDAQ members...

  14. 78 FR 27466 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-10

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69521; File No. SR-NASDAQ-2013-071] Self... Proposed Rule Change To Amend NASDAQ Rule 4763 May 6, 2013. Pursuant to Section 19(b)(1) of the Securities..., 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and Exchange...

  15. 75 FR 38162 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-01

    ... Nasdaq Short Sale Volume and Monthly Short Sale Transaction Service and Related Fees June 25, 2010. I. Introduction On April 26, 2010, The NASDAQ Stock Market LLC (``Nasdaq'') filed with the Securities and Exchange...\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to establish the Nasdaq Short Sale Volume and...

  16. 77 FR 39543 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-03

    ... the Authority of NASDAQ or NASDAQ Execution Services To Cancel Orders When a Technical or Systems...'') to cancel orders when a technical or systems issue occurs and to describe the operation of an error... causes NASDAQ or NES to cancel orders, if NASDAQ or NES determines that such action is necessary to...

  17. 75 FR 5821 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-04

    ... Exchange proposes to clarify Nasdaq Rule 7023 to make clear that Historical ModelView information will be available via NasdaqTrader.com and that references to the Historical TotalView data product will be deleted... text of the proposed rule change is available from Nasdaq's Web site at http://nasdaq.cchwallstreet.com...

  18. 77 FR 74530 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68395; File No. SR-NASDAQ-2012-134] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the NASDAQ Options Market (``NOM'') With Respect to the Authority of the Exchange or Nasdaq Options Services LLC (``NOS'') To...

  19. 75 FR 47651 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-06

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62605; File No. SR-NASDAQ-2010-068] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change to Establish a Revenue Sharing Program With Correlix, Inc. July 30, 2010. On June 8, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange'') filed wit...

  20. 75 FR 49543 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62663; File No. SR-NASDAQ-2010-077] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections August 9, 2010. On June 21, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange'') filed with the...

  1. 77 FR 50738 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-22

    ... Proposed Rule Change To Remove the Expired Pilot Under Rule 4753(c) From the NASDAQ Rule Book August 16... ``Volatility Guard'') from the NASDAQ rule book. NASDAQ will remove the rule text 30 days after the filing date... proposing to remove the expired pilot under Rule 4753(c) from the rule book. On June 18, 2010, NASDAQ filed...

  2. 77 FR 39314 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-02

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

  3. 75 FR 36460 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-25

    ... directly with Correlix to use their RaceTeam latency measurement service for the NASDAQ Market Center. NASDAQ will not bill or contract with any Correlix RaceTeam customer directly. \\3\\ If approved, this...] proposed in SR-NASDAQ-2009-069 [sic]. Pricing for the Correlix RaceTeam product for the NASDAQ market...

  4. 78 FR 50123 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-16

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change to Assume... NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange'') filed with the Securities and Exchange...: Manipulation patterns that monitor solely NASDAQ activity, including patterns that monitor the Exchange's...

  5. 77 FR 28905 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66964; File No. SR-NASDAQ-2012-057] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change With Respect to the Authority of NASDAQ or NASDAQ Execution Services To Cancel Orders When a Technical or System Issue Occurs and To Describe the Operation of...

  6. 76 FR 2732 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-14

    .... Introduction On June 18, 2010, The NASDAQ Stock Market LLC (``Nasdaq'' or the ``Exchange'') filed with the... trading on Nasdaq when the price of a security moves quickly over a short period of time, will exacerbate...

  7. 77 FR 66907 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-07

    ..., 2013, the issuer of each class of securities that is an ADR listed on [The] the Nasdaq Capital Market... each class of securities that is an ADR listed on the Nasdaq Capital Market shall pay to Nasdaq an...

  8. 75 FR 5829 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-04

    ... proposed rule change is available from NASDAQ's website at http://nasdaq.cchwallstreet.com , at NASDAQ's... Authority have the necessary systems capacity to handle the additional traffic associated with the listing...

  9. 78 FR 3928 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Disapproving Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-17

    ... system protocol, to the NASDAQ matching engine or to the NASDAQ router as needed to complete the... Order application to the order entry gateway of NASDAQ's matching engine, but the amount of time gained... proposal represents another example of the blurring borders between exchanges and broker-dealers, and...

  10. 75 FR 21688 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Accelerated Approval...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-26

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Accelerated Approval of Proposed Rule... 20, 2010. I. Introduction On March 11, 2010, The NASDAQ Stock Market LLC (``Nasdaq'' or ``Exchange.... Strike prices for ETF options are permitted in $1 or greater intervals where the strike price is $200 or...

  11. 75 FR 28839 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-24

    ... imbalance at the end of a trading pause, Nasdaq may delay the re-opening of a security. Nasdaq will issue a notification if it cannot resume trading for a reason other than a significant imbalance. Price moves under... Period, Nasdaq detects an [liquidity] order imbalance in the security, Nasdaq will extend the Display...

  12. 76 FR 16650 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change To Amend...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-24

    ... investors and the public interest; and are not designed to permit unfair discrimination among customers... proposed rule's impact on efficiency, competition, and capital formation. 15 U.S.C. 78c(f). \\9\\ 15 U.S.C... between customers based on the nature and profitability of their business. Currently under BOX's rules, an...

  13. 78 FR 20971 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-08

    ... Participants is nominated to the Board as it is no longer needed. \\10\\ See Securities Exchange Act Release No... having been nominated by the Member Nominating Committee or voted upon by Exchange Members pursuant to... Counsel, and Dhawal Sharma, Attorney Advisor, Division of Trading and Markets, Commission, dated March 29...

  14. 77 FR 316 - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-04

    ...''); Letter to Commission, from James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown... pause mechanism to accommodate more fundamental price moves. In essence, a security would enter a.... McGinness, Senior Vice President, Legal and Corporate Secretary, NYSE Euronext, to Elizabeth M. Murphy...

  15. 77 FR 33531 - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-06

    ..., Associate Professor of Finance, Georgetown University, McDonough School of Business, dated October 25, 2011..., Commission, from Janet McGinness, EVP & Corporate Secretary, General Counsel, NYSE Markets, dated May 10... band, and would be coupled with a trading pause mechanism to accommodate more fundamental price moves...

  16. 76 FR 72492 - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-23

    ...-regulatory organization consents, the Commission shall either approve the proposed rule change, disapprove...-NYSEAmex-2011-73; SR- NYSEArca-2011-68; SR-Phlx-2011-129] Self-Regulatory Organizations; BATS Exchange, Inc... PHLX LLC; Notice of a Designation of a Longer Period for Commission Action on Proposed Rule Changes...

  17. 76 FR 38243 - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-29

    ... Changes Relating To Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to... levels. This severe price volatility led to a large number of trades being executed at temporarily... intended to address extraordinary market volatility in NMS stocks. See Securities Exchange Act Release No...

  18. 77 FR 21603 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-10

    ... monitoring of proprietary trading, market-making or brokerage activities and/or that is engaged in the supervision or training of those engaged in proprietary trading, market-making or brokerage activities will be... behalf of a broker-dealer account, supervises or monitors proprietary trading, market-making or brokerage...

  19. 76 FR 38226 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-29

    ... principal office of the Exchange, at the Commission's Public Reference Room and also on the Exchange's... time priority: (1) Market Maker offer on the Book to buy 100 contracts at $2.00. (2) Public Customer... execute 40 contracts (40% of 100) against the Agency Order; and the Market Maker on the Book would execute...

  20. 78 FR 54941 - Self-Regulatory Organizations; NASDAQ OMX BX Inc.; Notice of Designation of Longer Period for...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-06

    ..., Secretary, Commission, from Janet McGuiness, Executive Vice President, Secretary and General Counsel, NYSE.... Murphy, Secretary, Commission, from Janet McGuiness, Executive Vice President, Secretary and General... Elizabeth M. Murphy, Secretary, Commission, from Janet McGuiness, Executive Vice President, Secretary and...

  1. 78 FR 28912 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-16

    ... Proposed Rule Change Relating to Penny Pilot Options and Non-Penny Pilot Options May 10, 2013. Pursuant to... ``Options Pricing,'' at Section 2 governing pricing for NASDAQ members using the NASDAQ Options Market (``NOM''), NASDAQ's facility for executing and routing standardized equity and index options...

  2. 77 FR 62290 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-12

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on September 27, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange... uniform registration form changes; (2) electronic fingerprint processing; (3) Web EFT TM , which allows...

  3. 78 FR 71018 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70915; File No. SR-NASDAQ-2013-140] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Connectivity Options and Fees November 21, 2013. Pursuant to Section...

  4. 78 FR 59740 - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-27

    ...-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... is hereby given that on September 9, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange.../or Professional liquidity based on increasing percentages of total industry customer equity and ETF...

  5. 77 FR 68877 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-16

    ... pricing for NASDAQ members using the NASDAQ Options Market (``NOM''), NASDAQ's facility for executing and... recoup costs that the Exchange incurs for routing and executing certain orders in equity options to the International Securities Exchange, LLC (``ISE''). The Exchange's Pricing Schedule at Chapter XV, Section 2(4...

  6. 75 FR 69502 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-12

    ... Connection testing [using current Nasdaq access protocols] during the normal operating hours of the NTF; No Charge--For Idle Connection testing [using current Nasdaq access protocols]; $333/hour--For Active Connection testing [using current Nasdaq access protocols] at all times other than the normal operating hours...

  7. 78 FR 23611 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-19

    ... simultaneously trade different asset classes within the same strategy. Because cash equities and options markets...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a... April 1, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and...

  8. 77 FR 74538 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-14

    ... against its members. (2) NASDAQ is redesignating Rule 3060 (Influencing or Rewarding Employees of Others...-027). (3) NASDAQ is redesignating Rule 3090 (Transactions Involving Nasdaq Employees) as Rule 2070A.\\7... national market system, and, in general, to protect investors and the public interest. The proposed changes...

  9. 76 FR 76795 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-08

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...\\ notice is hereby given that on November 22, 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or the... the proposal, market participants will be given the additional options of (1) assigning a group...

  10. 77 FR 52375 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-29

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Market Maker Pre-Opening Obligations on NOM August 23, 2012. Pursuant to... is hereby given that on August 10, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange...

  11. 77 FR 33256 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-05

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... is hereby given that on May 22, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed... Order Fee,\\3\\ aimed at reducing inefficient order entry practices of certain market participants that...

  12. 78 FR 62807 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Credits Applicable to Execution and Routing of... is hereby given that on September 27, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange...

  13. 78 FR 60005 - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-30

    ...-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a... 12, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and... compute the numerator in the calculation of percentage of total industry customer equity and ETF option...

  14. 77 FR 45700 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-01

    ... and BONO Port fees will be assessed to non-NOM Participants and NOM Participants. * * * * * The text... NASDAQ ITCH to Trade Options (``ITTO'') \\4\\ ports to non-NOM Participants and NOM Participants for... options equivalent of the NASDAQ Basic data feed offered for equities under NASDAQ Rule 7047. See Chapter...

  15. 77 FR 77165 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-31

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...\\ notice is hereby given that on December 17, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or the... Equity Technical Update 2012-31 ( http://www.nasdaqtrader.com/TraderNews.aspx?id=ETU2012-31 ). Because...

  16. 76 FR 76786 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-08

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... 29, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed with the Securities and... Options Market (``NOM'') to eliminate from its rules two order types and two data feeds that are not in...

  17. 75 FR 8156 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-23

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... Information Outside of Nasdaq Market Hours February 16, 2010. Pursuant to Section 19(b)(1) of the Securities...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change Nasdaq proposes to...

  18. 75 FR 11958 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-12

    ... the application, entry and annual fees currently charged to issuers listed on the Nasdaq Global and Nasdaq Global Select Markets, as well as the fee for written interpretations of Nasdaq listing rules. The.... Markham, Jr., Roger Myers, and Stephen Ryerson, Holme Roberts & Owen LLP (writing on behalf of Business...

  19. 77 FR 43618 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-25

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67468; File No. SR-NASDAQ-2012-062] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Modify Its Corporate Governance Rules July 19, 2012. I. Introduction On May 17, 2012, The NASDAQ Stock Market LLC...

  20. 78 FR 19352 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69233; File No. SR-NASDAQ-2013-028] Self... NASDAQ Stock Market LLC (``Exchange'' or ``NASDAQ'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b...

  1. 75 FR 18250 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-09

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets April 1, 2010. Pursuant...\\ notice is hereby given that on March 25, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange...

  2. 78 FR 75631 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-12

    ... such, NASDAQ believes it is appropriate to treat these companies the same as domestic companies for... from most of NASDAQ's corporate governance requirements under Rule 5615(a)(3), a foreign company that... exemption from many of NASDAQ's corporate governance rules. While the proposed $7,500 per year fee would...

  3. 78 FR 21663 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-11

    ... price improving orders, and then are eligible to access non-price improving liquidity on the NASDAQ book.... For Type 2 Retail Orders that execute against non-price improving orders on the NASDAQ book, NASDAQ... investment intentions, they promote price discovery and dampen volatility. Accordingly, their presence in the...

  4. 76 FR 48193 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-08

    ... Proposed Rule To Amend Fees Assessed for Use of NASDAQ Pre-Trade Risk Management August 3, 2011. Pursuant... Risk Management (``PRM'') and to make a minor technical correction. NASDAQ will implement the amended... in italics; proposed deletions are in brackets. 7016. Nasdaq Risk Management (a) No change. (b) Users...

  5. 75 FR 18932 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-13

    ... for, the Proposed Rule Change 1. Purpose NASDAQ is making modifications to its pricing schedule for... venue. The change is designed to ensure that NASDAQ does not lose money on trade executions, as is... will eliminate circumstances in which NASDAQ loses money on order executions by paying a rebate that is...

  6. 78 FR 40223 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-03

    ... series of scenarios, and the set has accreted new scenarios from year to year as NASDAQ's system and the... rule manual. NASDAQ has determined to approach contingency planning differently than in the past, and... occurs, NASDAQ will at the earliest possible time communicate to members and the public its determination...

  7. 78 FR 49578 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-14

    ... market center. LIST is a routing strategy that is used by firms that wish for their orders to participate...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a... hereby given that on August 5, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with...

  8. 77 FR 1125 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-09

    ... Proposed Rule Change To Modify Fees for the Trading and Compliance Data Package January 3, 2012. Pursuant... reports available to member firms via NasdaqTrader.com Trading and Compliance Data Package under NASDAQ... deletions are in brackets. 7021. NasdaqTrader.com Trading and Compliance Data Package Fee The charge to be...

  9. 77 FR 45706 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-01

    ... voluntary accommodation policy for claims arising from system difficulties that Nasdaq experienced during... and members that Nasdaq's system difficulties caused objective, discernible harm, and the type and... made by market participants related to systems malfunctions or errors of the Nasdaq Market Center...

  10. 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

    ....] * * * * * 2262. Disclosure of Control Relationship with Issuer Nasdaq Members shall comply with FINRA Rule 2262... corresponding FINRA rules. This filing addresses NASDAQ Rule 2240 entitled ``Disclosure of Control Relationship... Distribution.'' NASDAQ Rule 2262 makes reference to NASD 2240 entitled ``Disclosure of Control Relationship...

  11. 78 FR 3480 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-16

    ... its order flow on Nasdaq, and create both real-time and historical reports of such order flow. Members... OUCH ports on the Nasdaq system in real-time, analyze the latency of messages sent to the Nasdaq system... provides a subscribing member firm with real-time order latency and analytical tools to measure the...

  12. 75 FR 6072 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-05

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61446; File No. SR-NASDAQ-2009-077] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Modify the Procedures Followed When a Listed Company Falls Below Certain Listing Requirements January 29, 2010. I. Introduction On August 17, 2009, The NASDAQ...

  13. 77 FR 38871 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-29

    ... of Depth-of-Book Data June 25, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of... Enterprise License fee for Non-Professional Subscribers of certain NASDAQ Depth-of-Book market data. NASDAQ will implement the proposed revised fee on July 1, 2012. * * * * * 7023. NASDAQ Depth-of-Book Data (a...

  14. 78 FR 76347 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-17

    ... they remain in effect until executed or the end of either regular market hours at 4:00 p.m. or the end...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...\\ thereunder, notice is hereby given that on November 29, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or...

  15. 75 FR 26823 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-12

    ... Proposed Rule Change To Amend Rules 9552, 9554 and 9559 To Conform NASDAQ's Rules to Recent Changes to the..., 9554 and 9559 to conform NASDAQ's rules to recent changes to the rules of the Financial Industry... NASDAQ's rules to recent changes made to corresponding FINRA rules, which will promote the application of...

  16. 77 FR 5085 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-01

    ... listed on the Nasdaq Capital Market or the Nasdaq Global Market may request from Nasdaq a written... modify the fee in connection with such a request. Today, a company is required to submit a non-refundable... Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a...

  17. 77 FR 53957 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-04

    ... Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ notice is hereby given that on... prepared primarily by Nasdaq. Nasdaq filed the proposed rule change pursuant to Section 19(b)(3)(A) of the... Rule Change Nasdaq proposes to modify Rule 5210(c) related to the Direct Registration System (``DRS...

  18. 76 FR 50521 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65063; File No. SR-NASDAQ-2011-110] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to NASDAQ Options Market Rules August 9, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange...

  19. 78 FR 79033 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71167; File No. SR-NASDAQ-2013-160] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Definition of ``System Securities'' in NASDAQ Rule 4751 December 20, 2013. Pursuant to Section 19(b)(1) of the...

  20. 78 FR 12116 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-21

    ... from NASDAQ Rule 2460 (Payment for Market Making). Accordingly, the Commission, pursuant to Section 19...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for... Market Quality Program February 14, 2013. On December 7, 2012, The NASDAQ Stock Market LLC (``Exchange...

  1. 76 FR 53007 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-24

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65159; File No. SR-NASDAQ-2011-118] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Name and Modify the Contents of the NASDAQ Ouch BBO Feed August 18, 2011. Pursuant to Section 19(b)(1) of the...

  2. 76 FR 9620 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63906; File No. SR-NASDAQ-2011-024] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish and Adopt Fees for the New Short Sale Monitor Service and Nasdaq Data Add-On February 14, 2011. Pursuant to Section...

  3. 76 FR 25730 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-05

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change to Adopt... Nasdaq proposes to adopt additional listing requirements for a company that has become public through a... 20, 2010). In response to these concerns, Nasdaq staff has, over the past year, adopted heightened...

  4. 75 FR 36732 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-28

    ....'' Second, NASDAQ replacing existing paragraph (C)(4) of Rule 11890, entitled ``Numerical Guidelines... NASDAQ to deviate from the Numerical Guidelines contained in paragraph (C)(1) (other than under limited... provides flexibility to NASDAQ to use different Numerical Guidelines or Reference Prices in various...

  5. Expression of Wheat High Molecular Weight Glutenin Subunit 1Bx Is Affected by Large Insertions and Deletions Located in the Upstream Flanking Sequences

    PubMed Central

    Hao, Chenyang; Tang, Saijun; Zhang, Xueyong; Li, Tian

    2014-01-01

    To better understand the transcriptional regulation of high molecular weight glutenin subunit (HMW-GS) expression, we isolated four Glu-1Bx promoters from six wheat cultivars exhibiting diverse protein expression levels. The activities of the diverse Glu-1Bx promoters were tested and compared with β-glucuronidase (GUS) reporter fusions. Although all the full-length Glu-1Bx promoters showed endosperm-specific activities, the strongest GUS activity was observed with the 1Bx7OE promoter in both transient expression assays and stable transgenic rice lines. A 43 bp insertion in the 1Bx7OE promoter, which is absent in the 1Bx7 promoter, led to enhanced expression. Analysis of promoter deletion constructs confirmed that a 185 bp MITE (miniature inverted-repeat transposable element) in the 1Bx14 promoter had a weak positive effect on Glu-1Bx expression, and a 54 bp deletion in the 1Bx13 promoter reduced endosperm-specific activity. To investigate the effect of the 43 bp insertion in the 1Bx7OE promoter, a functional marker was developed to screen 505 Chinese varieties and 160 European varieties, and only 1Bx7-type varieties harboring the 43 bp insertion in their promoters showed similar overexpression patterns. Hence, the 1Bx7OE promoter should be important tool in crop genetic engineering as well as in molecular assisted breeding. PMID:25133580

  6. 76 FR 27704 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-12

    ... Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to... operates and amend Rule 4613(a) to simplify certain aspects of the text while also conforming certain of... breaker pilot pause. The text of the proposed rule change is below. Proposed new language is italicized...

  7. 77 FR 5590 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Amendment No. 1, and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-03

    ... Letter to Elizabeth Murphy, Secretary, Commission, from Anthony D. McCormick, Chief Executive Officer..., Commission, from Anthony D. McCormick, Chief Executive Officer, BOX, dated December 9, 2011 (``BOX Response...

  8. 75 FR 36752 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of a Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-28

    ... Securities.'' Second, the Exchange is replacing existing paragraph (C)(4) of Rule 11890, entitled ``Numerical... the ability of the Exchange to deviate from the Numerical Guidelines contained in paragraph (C)(1... flexibility to the Exchange to use different Numerical Guidelines or Reference Prices in various ``Unusual...

  9. 75 FR 25014 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-06

    ... Service Available to Non-Professionals and To Establish an Optional Non-Display Usage Cap for Internal... a $1 per month fee for non- professional use of real-time quotation and order information from the.... (3) Free-Trial Offers (A)-(B) No change. (b) Non-Professional Services (1) The charge to be paid by...

  10. 78 FR 15385 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-11

    ... Series, any adjusted option series, and any option series until the time to expiration for such series is... existing requirement may at times discourage liquidity in particular options series because a market maker... the option is subject to the Price/Time execution algorithm, the Directed Market Maker shall receive...

  11. 78 FR 75645 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-12

    .... Article Fifth, Paragraph D provides that, except for directors elected by the holders of any series of preferred stock, any director, or the entire Board, may be removed from office at any time, but only by the... deletes obsolete references to the following: The 3.75% Series A Convertible Notes due 2012 and the 3.75...

  12. 76 FR 61435 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-04

    ... Determining When to Halt Trading Due to Extraordinary Market Volatility September 28, 2011. Pursuant to... trading in all stocks due to extraordinary market volatility. The proposal is made in conjunction with all... to extraordinary market volatility. The Exchange is proposing this rule change in consultation with...

  13. 77 FR 62547 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-15

    ... 31, 2014. Until a Company is required to comply with the amended listed rules, it must continue to... requirements in certain circumstances, it may rely on a cure period; Companies must adopt a formal, written... does not currently have any listed Companies, it does not believe [[Page 62549

  14. 75 FR 6746 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-10

    ... shrink to 40 cabinets or less, the Exchange will limit new cabinet orders to a maximum of 4 cabinets each... inventory shrink to zero, the Exchange will place firms seeking services on a waiting list based on that...

  15. 76 FR 67013 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change With...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-28

    ... Nominating & Governance Committee in Section 4.13(h) to replace a requirement that the committee comprise... any of the other compositional requirements of the Nominating & Governance Committee, including... the modified authority to increase the size of the Nominating & Governance Committee to six directors...

  16. 78 FR 62841 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... a credit available to all members, regardless of their trading volumes, that exceeds the base credit... million, shares of liquidity during the month, which is a higher rate than the base rate of $0.0007 per... credit exceeds the base rate of $0.0007, the difference is not unfairly discriminatory because the credit...

  17. 75 FR 8416 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-24

    .... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ Amendment No. 1 added clarifying language regarding the... proposing to automate the creation of the Guaranteed Directed Order (``GDO'') and the manner in which the... EP. The Trading Host will use the shelved EP quote as the GDO. In addition, the GDO creation and the...

  18. 76 FR 70184 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-10

    ... rates. In effect, the Exchange is obtaining wholesale rates from the carriers and then charging a markup... a markup to allow the Exchange to cover its administrative costs and to earn a profit on its...

  19. 75 FR 54665 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-08

    ...; (d) Two market makers; and (e) A minimum initial listing price of $0.25 per share for securities... $0.05 per share bid price. Further, with respect to companies not previously listed on a national..., to be eligible to list with a $0.25 per share price. The Exchange believes it appropriate to consider...

  20. 76 FR 64158 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-17

    ... NASDAQ Last Sale product, set forth in NASDAQ Rule 7039. In May 2008, the internet portal Yahoo! began... products that must be obtained in tandem. For example, while the internet portal Yahoo! continues to...

  1. 77 FR 21607 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-10

    ... believes that it is reasonable to charge a $0.0001 per share markup on such routed orders as a means of..., and accordingly, it is equitable for NASDAQ to charge members a markup for making use of NASDAQ's...

  2. ChAy/Bx, a novel chimeric high-molecular-weight glutenin subunit gene apparently created by homoeologous recombination in Triticum turgidum ssp. dicoccoides.

    PubMed

    Guo, Xiao-Hui; Bi, Zhe-Guang; Wu, Bi-Hua; Wang, Zhen-Zhen; Hu, Ji-Liang; Zheng, You-Liang; Liu, Deng-Cai

    2013-12-01

    High-molecular-weight glutenin subunits (HMW-GSs) are of considerable interest, because they play a crucial role in determining dough viscoelastic properties and end-use quality of wheat flour. In this paper, ChAy/Bx, a novel chimeric HMW-GS gene from Triticum turgidum ssp. dicoccoides (AABB, 2n=4x=28) accession D129, was isolated and characterized. Sodium dodecyl sulfate polyacrylamide gel electrophoresis (SDS-PAGE) analysis revealed that the electrophoretic mobility of the glutenin subunit encoded by ChAy/Bx was slightly faster than that of 1Dy12. The complete ORF of ChAy/Bx contained 1,671 bp encoding a deduced polypeptide of 555 amino acid residues (or 534 amino acid residues for the mature protein), making it the smallest HMW-GS gene known from Triticum species. Sequence analysis showed that ChAy/Bx was neither a conventional x-type nor a conventional y-type subunit gene, but a novel chimeric gene. Its first 1305 nt sequence was highly homologous with the corresponding sequence of 1Ay type genes, while its final 366 nt sequence was highly homologous with the corresponding sequence of 1Bx type genes. The mature ChAy/Bx protein consisted of the N-terminus of 1Ay type subunit (the first 414 amino acid residues) and the C-terminus of 1Bx type subunit (the final 120 amino acid residues). Secondary structure prediction showed that ChAy/Bx contained some domains of 1Ay subunit and some domains of 1Bx subunit. The special structure of this HMW glutenin chimera ChAy/Bx subunit might have unique effects on the end-use quality of wheat flour. Here we propose that homoeologous recombination might be a novel pathway for allelic variation or molecular evolution of HMW-GSs. © 2013.

  3. 78 FR 21996 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Accelerated Approval...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69341; File No. SR-NASDAQ-2013-048] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Accelerated Approval of a Proposed Rule... in a Limit State or Straddle State, and unlike normal circumstances, may not be a true reflection of...

  4. 76 FR 9391 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-17

    ... market participants, NASDAQ believes that this increase in distribution is attributable in part to the...-professional user of NASDAQ proprietary data. In addition to increased administrative flexibility, enterprise... believes that capping fees in this manner creates goodwill with broker-dealers and increases transparency...

  5. 78 FR 40815 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-08

    ... using the NASDAQ Information Exchange (``QIX'') protocol,\\7\\ (ii) Financial Information Exchange (``FIX'') trading ports,\\8\\ and (iii) ports using other trading telecommunications protocols.\\9\\ Beginning July 1... because market participants may readily adjust their order routing practices, NASDAQ believes that the...

  6. 75 FR 51138 - Self-Regulatory Organizations; BATS Exchange, Inc.; Chicago Board Options Exchange, Incorporated...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62688; File Nos. SR-BATS-2010-018; SR-BX-2010-044; SR- CBOE-2010-065; SR-CHX-2010-14; SR-EDGA-2010-05; SR-EDGX-2010-05; SR- FINRA-2010-033; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NASDAQ-2010-079; SR-NSX-2010-08] Self-Regulatory Organizations; BATS Exchange,...

  7. 75 FR 53366 - Self-Regulatory Organizations; BATS Exchange, Inc.; Chicago Board Options Exchange, Incorporated...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-31

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62763; File Nos. SR-BATS-2010-018; SR-BX-2010-044; SR- CBOE-2010-065; SR-CHX-2010-14; SR-EDGA-2010-05; SR-EDGX-2010-05; SR- FINRA-2010-033; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NASDAQ-2010-079; SR-NSX-2010-08] Self-Regulatory Organizations; BATS Exchange,...

  8. Relations Between vz and Bx Components in Solar Wind and their Effect on Substorm Onset

    NASA Astrophysics Data System (ADS)

    Kubyshkina, Marina; Semenov, Vladimir; Erkaev, Nikolay; Gordeev, Evgeny; Dubyagin, Stepan; Ganushkina, Natalia; Shukhtina, Maria

    2018-05-01

    We analyze two substorm onset lists, produced by different methods, and show that the (Bx·vz) product of the solar wind (SW) velocity and interplanetary magnetic field (IMF) components for two thirds of all substorm onsets has the same sign as IMF Bz. The explanation we suggest is the efficient displacement of the magnetospheric plasma sheet due to IMF Bx and SW flow vz, which both force the plasma sheet moving in one direction if the sign of (Bx·vz) correlates with the sign Bz. The displacement of the current sheet, in its turn, increases the asymmetry of the magnetotail and can alter the threshold of substorm instabilities. We study the SW and IMF data for the 15-year period (which comprises two substorm lists periods and the whole solar cycle) and reveal the similar asymmetry in the SW, so that the sign of (Bx·vz) coincides with the sign of IMF Bz during about two thirds of all the time. This disproportion can be explained if we admit that about 66% of IMF Bz component is transported to the Earth's orbit by the Alfvén waves with antisunward velocities.

  9. 76 FR 25732 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-05

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64312; File No. SR-NASDAQ-2011-053] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an Order Price Protection Feature Correction In notice document 2011-9971...

  10. 78 FR 76179 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-16

    ... requirements for compensation committee members, certain relevant factors, including the ``source of... consulting, advisory or other compensatory fee from the company or any subsidiary thereof. \\8\\ See Nasdaq... the past few months, however, Nasdaq has received feedback from listed companies and others that the...

  11. 77 FR 39551 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-03

    ... contracted directly with Correlix to use its RaceTeam latency measurement service for the NASDAQ Market... Correlix RaceTeam offering,\\3\\ and thereafter approved codification in NASDAQ's rules of fees imposed by..., to foster cooperation and coordination with persons engaged in regulating, clearing, settling...

  12. 76 FR 75924 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-05

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... November 22, 2011, The NASDAQ Stock Market LLC (``Exchange''), filed with the Securities and Exchange... open orders, use of routing strategies and liquidity code designation. The data provided by QView will...

  13. 76 FR 64403 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65381; File No. SR-NASDAQ-2011-128] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates To Add Liquidity September 22, 2011. Correction In notice...

  14. 78 FR 3940 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-17

    ... Report regarding a Nasdaq security through the NasdaqTrader.com Web site shall be determined in... improvement of web functionality and the inclusion of supplementary equity information, but has not increased... dark pools and electronic communication networks (``ECNs''). Each SRO market competes to produce...

  15. 76 FR 37388 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-27

    ... where Item 407(a)(3) of Regulation S-K requires specific disclosures of any transactions, relationships... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64713; File No. SR-NASDAQ-2011-082] Self... Proposed Rule Change to Align Certain Disclosure Requirements in Nasdaq's Corporate Governance Rules with...

  16. The IP vs. VDE competition as a key factor determining the stability of the MgBX 5 (X = F, Cl) compounds

    NASA Astrophysics Data System (ADS)

    Sikorska, Celina; Skurski, Piotr

    2010-11-01

    The explanation of the MgBX 5 (X = F, Cl) systems existence and stability is provided on the basis of theoretical considerations supported by ab initio calculations. The equilibrium structures and most probable fragmentation processes of 26 (including isomers) MgBX 5 molecules and six OBX 5 compounds (for comparison) were examined and discussed. The competition between the ionization potential (IP) of the MgX subunit and the electron binding energy (VDE) of the BX 4 fragment was found to be the key factor determining the ability to form a stable compound of MgBX 5 type.

  17. 75 FR 59305 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of a Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-27

    ..., as appropriate, shrinks to the greater of: (a) 4 percentage points, or, (b) one-quarter the..., shrinks to the greater of: (a) 4 percentage points, or, (b) one-quarter the applicable percentage...

  18. 75 FR 39086 - Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by NASDAQ OMX BX, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-07

    ... but not in the stocks that underlie that ETF, what consequences might that have for the underlying stocks or other products? What are the potential effects on price discovery for the ETF, the underlying... Vehicles (``ETVs''),\\4\\ and Exchange Traded Notes (``ETNs'').\\5\\ \\3\\ An ETF is an open-ended registered...

  19. 77 FR 68873 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-16

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change To Establish... proposed rule change to establish various ``Benchmark Orders'' under NASDAQ Rule 4751(f). The proposed rule...

  20. 77 FR 48570 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-14

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

  1. 78 FR 62726 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... due, NASDAQ's experience is that the company's plan often requires detailed analysis by staff to...)(A)(iii) [sic]. NASDAQ's experience is that these types of deficiencies often arise unexpectedly from events outside the control of the company, such as the death or resignation of a director. Further...

  2. 77 FR 15163 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-14

    ... troubling trend of reduced participation in the equity markets by individual investors, and that nearly 30... different asset classes within a single strategy. NASDAQ also notes that cash equities and options markets...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...

  3. 76 FR 53518 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-26

    ... Proposed Rule Change NASDAQ proposes to extend the pilot period of Rule 4753(c), NASDAQ's ``Volatility... approved, a limit up/limit down mechanism to address extraordinary market volatility, is approved. The text... to address extraordinary market volatility, is approved [six months after the date of Commission...

  4. 75 FR 9632 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-03

    ... liquidity.\\6\\ Nasdaq seeks to encourage continued market making on NOM and to attract additional market making by establishing this new fee schedule. To receive NOM Market Maker pricing, the firm must be...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...

  5. 78 FR 56962 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70361; File No. SR-NASDAQ-2013-114] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... 7015(g), and the Schedule of Fees and Rebates Under Rule 7018(a) September 10, 2013. Pursuant to...

  6. 77 FR 5606 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-03

    ... 30 seconds. Once triggered, NASDAQ institutes a formal trading halt during which time NASDAQ systems... time was appropriate because, among other things, the additional time would ensure that the Commission... with the Act. Comments may be submitted by any of the following methods: Electronic Comments Use the...

  7. 78 FR 3485 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68519; File No. SR-NASDAQ-2012-143] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny...

  8. 76 FR 79262 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-21

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To... Select Markets December 15, 2011. I. Introduction On August 30, 2011, The NASDAQ Stock Market LLC... Global and Global Select Markets. The proposed rule change was published in the Federal Register on...

  9. Formation Process of Non-Neutral Plasmas by Multiple Electron Beams on BX-U

    NASA Astrophysics Data System (ADS)

    Sanpei, Akio; Himura, Haruhiko; Masamune, Sadao

    An imaging diagnostic system, which is composed of a handmade phosphor screen and a high-speed camera, has been applied to identify the dynamics of multiple electron beams on BX-U. The relaxation process of those toward a non-neutral plasma is experimentally identified. Also, the radial density profile of the plasma is measured as a function of time. Assuming that the plasma is a spheroidal shape, the value of electron density ne is in the range between 2.2 × 106 and 4.4 × 108 cm-3 on BX-U.

  10. 78 FR 72740 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-03

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70945; File No. SR-NASDAQ-2013-142] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given...

  11. 77 FR 20658 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-05

    ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... 19b-4 thereunder,\\2\\ notice is hereby given that on March 23, 2012, The NASDAQ Stock Market LLC...-market price stability. Pegged Orders are orders that, once entered, adjust in price automatically, in...

  12. 78 FR 36800 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69755; File No. SR-NASDAQ-2013-070] Self... (``Exchange'' or ``NASDAQ'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a...

  13. 75 FR 72855 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-26

    ... . NASDAQ has safeguards in place to protect the market from inadvertent entry of large orders. Each member that requests connectivity through an order entry port is required to specify the maximum order size... and procedures in place to ensure the proper entry and monitoring of orders entered into NASDAQ...

  14. Sequence and properties of HMW subunit 1Bx20 from pasta wheat (Triticum durum) which is associated with poor end use properties.

    PubMed

    Shewry, P R; Gilbert, S M; Savage, A W J; Tatham, A S; Wan, Y-F; Belton, P S; Wellner, N; D'Ovidio, R; Békés, F; Halford, N G

    2003-02-01

    The gene encoding high-molecular-weight (HMW) subunit 1Bx20 was isolated from durum wheat cv. Lira. It encodes a mature protein of 774 amino acid residues with an M(r) of 83,913. Comparison with the sequence of subunit 1Bx7 showed over 96% identity, the main difference being the substitution of two cysteine residues in the N-terminal domain of subunit 1Bx7 with tyrosine residues in 1Bx20. Comparison of the structures and stabilities of the two subunits purified from wheat using Fourier-transform infra-red and circular dichroism spectroscopy showed no significant differences. However, incorporation of subunit 1Bx7 into a base flour gave increased dough strength and stability measured by Mixograph analysis, while incorporation of subunit 1Bx20 resulted in small positive or negative effects on the parameters measured. It is concluded that the different effects of the two subunits could relate to the differences in their cysteine contents, thereby affecting the cross-linking and hence properties of the glutenin polymers.

  15. Simultaneous CCD Photometry of Two Eclipsing Binary Stars in Pegasus - Part2: BX Peg

    NASA Astrophysics Data System (ADS)

    Alton, K. B.

    2013-05-01

    BX Peg is an overcontact W UMa binary system (P = 0.280416 d) which has been rather well studied, but not fully understood due to complex changes in eclipse timings and light curve variations attributed to star spots. Photometric data collected in three bandpasses (B, V, and Ic) produced nineteen new times of minimum for BX Peg. These were used to update the linear ephemeris and further analyze potential changes in orbital periodicity by examining long-term changes in eclipse timings. In addition, synthetic fitting of light curves by Roche modeling was accomplished with the assistance of three different programs, two of which employ the Wilson-Devinney code. Different spotted solutions were necessary to achieve the best Roche model fits for BX Peg light curves collected in 2008 and 2011. Overall, the long-;term decrease (9.66 × 10-3 sec y-1) in orbital period defined by the parabolic fit of eclipse timing data could arise from mass transfer or angular momentum loss. The remaining residuals from observed minus predicted eclipse timings for BX Peg exhibit complex but non-random behavior. These may be related to magnetic activity cycles and/or the presence of an unseen mass influencing the times of minimum, however, additional minima need to be collected over a much longer timescale to resolve the nature of these complex changes.

  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

    ...-NASDAQ-2013-041 (March 1, 2013). \\10\\ ``Total Volume'' is defined as Customer, Professional, Firm, Broker... participation in NASDAQ by members that represent retail customers.\\3\\ For purposes of the proposed new tiers and credits, a Designated Retail Order would be defined as an agency or riskless principal \\4\\ order...

  17. 76 FR 45308 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-28

    ... Adopt a Risk Monitor Mechanism July 22, 2011. I. Introduction On June 1, 2011, The NASDAQ Stock Market...,\\2\\ a proposed rule change to adopt a new risk monitor mechanism. The proposed rule change was... (``Notice''). II. Description of the Proposed Rule Change NASDAQ proposes to adopt new Chapter VI, Section...

  18. 75 FR 10541 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-08

    ... Proposed Rule Change To Eliminate Erroneous Citations From Rule 9557 March 1, 2010. Pursuant to Section 19... Change Nasdaq is proposing to eliminate erroneous citations found under Rule 9557. The text of the... Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose Nasdaq is proposing to eliminate...

  19. 76 FR 65765 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-24

    ... Proposed Rule Change Relating to the Establishment of a Direct Market Data Product, NASDAQ Options Trade... establish a direct market data product, NASDAQ Options Trade Outline (``NOTO''). The text of the proposed.... Purpose The purpose of the proposed rule change is to establish the NOTO market data product. NOTO is a...

  20. 78 FR 79539 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71173; File No. SR-NASDAQ-2013-156] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...