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July 05, 2012

Proposed Phlx Rule Change Re: the Authority of the Exchange or NASDAQ Execution Services to Cancel Orders When a Tech or System Issue Occurs and to Describe the Operation of an Error Account for NES

View order in full here (links externally to SEC website).

July 05, 2012

Proposed NYSEMKT Rule Change Amending Certain Exchange Rules Related to Floor Official Duties and Responsibilities in the Exchanges Marketplace (SEC Release)

View release in full here (links externally to SEC website).

July 05, 2012

Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”; Correction

See: 77 FR 39626 The CFTC and SEC are correcting final rules that appeared in the Federal Register of May 23, 2012 (77 FR 30596). The rules further defined the terms swap dealer, security-based swap dealer, major swap participant, major security-based swap participant and eligible contract participant. Only the rules of the CFTC are subject to this correction. This document also corrects a footnote in the Supplementary Information accompanying the final rules. Effective Date: July 23, 2012.

July 05, 2012

Proposed Amendments to NFA's Bylaw 301, Financial Requirements Section 5 and Registration Rules Regarding Swap Dealers, Major Swap Participants and Derivative Transaction Execution Facilities (NFA)

View letter regarding CFTC rule submissions here (links externally to NFA website).

July 05, 2012

Order Granting Approval to Proposed Rule Changes Adopting NYSE Rule 107C, Adopting NYSE Amex Rule 107C, and Granting Exemptions Pursuant to Rule 612(c) of Regulation NMS (SEC Release)

View order in full here (links externally to SEC website).