Nasdaq BX, Inc. Rulemaking Archive: 2017
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Chronological List for 2017
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-BX-2017-056 | ||
| 34-82367 | Dec. 19, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: January 16, 2018 Comments received are available for this proposal. |
| SR-BX-2017-023 | ||
| 34-82284 | Dec. 11, 2017 | Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Adopt Rule 7004 and Chapter XV, Section 11
Comments due: January 4, 2018 Additional Materials: Exhibit 4, Exhibit 5, Appendix Comments received are available for this proposal. |
| SR-BX-2017-052 | ||
| 34-82210 | Dec. 4, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
Comments due: December 29, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2014-048 | ||
| 34-82198 | Dec. 1, 2017 | Order Granting an Extension to Limited Exemption from Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Price Improvement Program Until June 30, 2018
Additional Materials: Incoming Letter (Nov. 28, 2017), Exhibit 5; Request for Exemption; Response to Request for No Action Relief See also: Order: Rel. No. 34-79448, Order: Rel. No. 34-73702, Notice: Rel. No. 34-73410 |
| SR-BX-2017-055 | ||
| 34-82192 | Dec. 1, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Retail Price Improvement Program Until June 30, 2018
Comments due: December 28, 2017 Additional Materials: Incoming Letter, Exhibit 5 |
| SR-BX-2017-054 | ||
| 34-82174 | Nov. 29, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Shell Structure for the BX Rulebook
Comments due: December 26, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2017-027 | ||
| 34-82135 | Nov. 21, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-81499, Notice: Rel. No. 34-81145, Notice: Rel. No. 34-80814 Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-BX-2017-050 | ||
| 34-82075 | Nov. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018 to Change the Amounts of Certain Credits for Entering Orders that Access Liquidity in the Exchange's Equities System
Comments due: December 11, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-051 | ||
| 34-82059 | Nov. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Options Pricing at Chapter XV, Section 2
Comments due: December 8, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-023 | ||
| 34-82049 | Nov. 9, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
See also: Notice: Rel. No. 34-80697, Order: Rel. No. 34-81067 Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37 |
| SR-BX-2017-048 | ||
| 34-82036 | Nov. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee
Comments due: December 6, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-049 | ||
| 34-81978 | Oct. 30, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove References to Nasdaq Options Services
Comments due: November 24, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-044 | ||
| 34-81953 | Oct. 26, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove References to Surrender Feature for Auto-Match Submissions in the Price Improvement Auction
Comments due: November 22, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-046 | ||
| 34-81948 | Oct. 25, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Name Change
Comments due: November 21, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-040 | ||
| 34-81804 | Oct. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Obsolete Text from Options Regulatory Fee Rule
Comments due: October 31, 2017 |
| Third Quarter | ||
| SR-BX-2017-039 | ||
| 34-81512 | Aug. 31, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Address the Application of Exchange Rule 11140 (Transactions in Securities "Ex-Dividend," "Ex-Rights" or "Ex-Warrants") as it Relates to Establishing Ex-Dividend Dates in connection with the Implementation of the T+2 Settlement Cycle on September 5, 2017
Comments due: September 28, 2017 |
| SR-BX-2017-027 | ||
| 34-81499 | Aug. 30, 2017 | Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-81145, Notice: Rel. No. 34-80814 Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-BX-2017-029 | ||
| 34-81500 | Aug. 30, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80968 Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31 |
| SR-BX-2017-037 | ||
| 34-81381 | Aug. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Clarify When the Exchange Will Utilize the Secondary Source of Data Pursuant to Rule 4759
Comments due: September 7, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-038 | ||
| 34-81348 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions including Obvious Errors
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-032 | ||
| 34-81341 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Rules Regarding the Exchange's Options Regulatory Fee
Comments due: September 5, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2017-034 | ||
| 34-81251 | Jul. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Rules at Chapter IV, Section 6
Comments due: August 23, 2017 |
| SR-BX-2017-029 | ||
| 34-81179 | Jul. 20, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 6896 and Chapter IX, Section 9
See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-80968 |
| SR-BX-2017-027 | ||
| 34-81145 | Jul. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-81499, Notice: Rel. No. 34-80814 Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-ISE-2017-46, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-PHLX-2017-43, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-BX-2017-031 | ||
| 34-81138 | Jul. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018
Comments due: August 9, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-030 | ||
| 34-81093 | Jul. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the SPY Pilot Program
Comments due: August 3, 2017 Additional Materials: Exhibit 3, Exhibit 5 |
| Second Quarter | ||
| SR-BX-2017-023 | ||
| 34-81067 | Jun. 30, 2017 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017 Rebuttal comments due: August 11, 2017 See also: Notice: Rel. No. 34-80697, Notice: Rel. No. 34-82049 Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37 Comments received are available for this proposal. |
| SR-BX-2017-029 | ||
| 34-80968 | Jun. 19, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 6896 and Chapter IX, Section 9
Comments due: July 14, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-81179 Comments received are available for this proposal. |
| SR-BX-2017-028 | ||
| 34-80924 | Jun. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-026 | ||
| 34-80824 | May 31, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5
Comments due: June 27, 2017 |
| SR-BX-2017-027 | ||
| 34-80814 | May 30, 2017 | Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 26, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-81499, Notice: Rel. No. 34-81145 Comments received are available for this proposal. |
| SR-BX-2017-023 | ||
| 34-80697 | May 16, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees at Rule 7004 and Chapter XV, Section 11
Comments due: June 12, 2017 Additional Materials: Exhibit 3, Exhibit 5 See also: Order: Rel. No. 34-81067, Notice: Rel. No. 34-82049 Comments received are available for this proposal. |
| SR-BX-2017-022 | ||
| 34-80656 | May 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4770 to Modify the Date of Appendix B Website Data Publication Comments due: June 7, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-013 | ||
| 34-80640 | May 10, 2017 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Shorten the Settlement Cycle from T+3 to T+2
See also: Notice: Rel. No. 34-80282 |
| SR-BX-2017-021 | ||
| 34-80594 | May 4, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 (Order Attributes)
Comments due: May 31, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-020 | ||
| 34-80475 | Apr. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018
Comments due: May 12, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-018 | ||
| 34-80393 | Apr. 6, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its Functionality Relating to Orders with Midpoint Pegging
Comments due: May 3, 2017 |
| First Quarter | ||
| SR-BX-2017-013 | ||
| 34-80282 | Mar. 21, 2017 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Shorten the Settlement Cycle from T+3 to T+2
Comments due: April 17, 2017 Additional Materials: Exhibit 5, Amendment 1 See also: Order: Rel. No. 34-80640 |
| SR-BX-2017-007 | ||
| 34-80256 | Mar. 15, 2017 | Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
See also: Notice: Rel. No. 34-79960 Additional File Nos.: SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03 |
| SR-BX-2017-016 | ||
| 34-80228 | Mar. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Data Reporting Requirements of Rule 4770
Comments due: April 7, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-017 | ||
| 34-80224 | Mar. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018
Comments due: April 7, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-015 | ||
| 34-80161 | Mar. 6, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services
Comments due: March 31, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-014 | ||
| 34-80155 | Mar. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter X, Section 7(a) of the Exchange’s Rules Relating to Minor Rule Violation Penalties for Position Limit Violations
Comments due: March 30, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-011 | ||
| 34-80104 | Feb. 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VII, Section 6 of the Options Rules Relating to Market Maker Quotations
Comments due: March 23, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-010 | ||
| 34-80093 | Feb. 23, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Port-Related Fees at Rules 7015 and 7016(a) to Eliminate Prorated Billing
Comments due: March 22, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-009 | ||
| 34-80055 | Feb. 16, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the BX Options Market Port Fees and Institute a Fee Cap at Chapter XV Section 3
Comments due: March 15, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-008 | ||
| 34-80046 | Feb. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of its Functionality Relating to Post-Only Orders and Orders with Midpoint Pegging, and its Trade-Now Functionality
Comments due: March 15, 2017 |
| SR-BX-2016-068 | ||
| 34-79996 | Feb. 9, 2017 | Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1s, To Accept Orders Routed Inbound from the International Stock Exchange, LLC, ISE Gemini, LLC, and ISE Mercury, LLC, by Nasdaq Execution Services, LLC
Additional File Nos.: SR-NASDAQ-2016-169, SR-Phlx-2016-120 See also: Notice: Rel. No. 34-79662, Notice: Rel. No. 34-79661, Notice: Rel. No. 34-79660 |
| SR-BX-2017-007 | ||
| 34-79960 | Feb. 3, 2017 | Notice of Filing of Proposed Rule Change to Adopt Rules Regarding the CAT NMS Plan
Comments due: March 2, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-80256 Comments received are available for this proposal. |
| SR-BX-2016-063 | ||
| 34-79812 | Jan. 17, 2017 | Order Granting Approval of Proposed Rule Change to Amend the PRISM Price Improvement Auction in BX Chapter VI, Section 9 and to Make Pilot Program Permanent
See also: Notice: Rel. No. 34-79465 |
Nasdaq BX, Inc. File Number List for 2017
| Release No. | Date | Details |
|---|---|---|
| SR-BX-2017-056 | ||
| 34-82367 | Dec. 19, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: January 16, 2018 Comments received are available for this proposal. |
| SR-BX-2017-055 | ||
| 34-82192 | Dec. 1, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Retail Price Improvement Program Until June 30, 2018
Comments due: December 28, 2017 Additional Materials: Incoming Letter, Exhibit 5 |
| SR-BX-2017-054 | ||
| 34-82174 | Nov. 29, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Shell Structure for the BX Rulebook
Comments due: December 26, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2017-052 | ||
| 34-82210 | Dec. 4, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
Comments due: December 29, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-051 | ||
| 34-82059 | Nov. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Options Pricing at Chapter XV, Section 2
Comments due: December 8, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-050 | ||
| 34-82075 | Nov. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018 to Change the Amounts of Certain Credits for Entering Orders that Access Liquidity in the Exchange's Equities System
Comments due: December 11, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-049 | ||
| 34-81978 | Oct. 30, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove References to Nasdaq Options Services
Comments due: November 24, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-048 | ||
| 34-82036 | Nov. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee
Comments due: December 6, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-046 | ||
| 34-81948 | Oct. 25, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Name Change
Comments due: November 21, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-044 | ||
| 34-81953 | Oct. 26, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove References to Surrender Feature for Auto-Match Submissions in the Price Improvement Auction
Comments due: November 22, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-040 | ||
| 34-81804 | Oct. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Obsolete Text from Options Regulatory Fee Rule
Comments due: October 31, 2017 |
| SR-BX-2017-039 | ||
| 34-81512 | Aug. 31, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Address the Application of Exchange Rule 11140 (Transactions in Securities "Ex-Dividend," "Ex-Rights" or "Ex-Warrants") as it Relates to Establishing Ex-Dividend Dates in connection with the Implementation of the T+2 Settlement Cycle on September 5, 2017
Comments due: September 28, 2017 |
| SR-BX-2017-038 | ||
| 34-81348 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions including Obvious Errors
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-037 | ||
| 34-81381 | Aug. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Clarify When the Exchange Will Utilize the Secondary Source of Data Pursuant to Rule 4759
Comments due: September 7, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-034 | ||
| 34-81251 | Jul. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Rules at Chapter IV, Section 6
Comments due: August 23, 2017 |
| SR-BX-2017-032 | ||
| 34-81341 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Rules Regarding the Exchange's Options Regulatory Fee
Comments due: September 5, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2017-031 | ||
| 34-81138 | Jul. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018
Comments due: August 9, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-030 | ||
| 34-81093 | Jul. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the SPY Pilot Program
Comments due: August 3, 2017 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-BX-2017-029 | ||
| 34-81500 | Aug. 30, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80968 Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31 |
| 34-81179 | Jul. 20, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 6896 and Chapter IX, Section 9 |
| 34-80968 | Jun. 19, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 6896 and Chapter IX, Section 9
Comments due: July 14, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2017-028 | ||
| 34-80924 | Jun. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-027 | ||
| 34-82524 | Jan. 17, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| 34-82135 | Nov. 21, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| 34-81499 | Aug. 30, 2017 | Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| 34-81145 | Jul. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-PHLX-2017-43, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| 34-80814 | May 30, 2017 | Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 26, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2017-026 | ||
| 34-80824 | May 31, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5
Comments due: June 27, 2017 |
| SR-BX-2017-023 | ||
| 34-82503 | Jan. 16, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37 |
| 34-82284 | Dec. 11, 2017 | Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Adopt Rule 7004 and Chapter XV, Section 11
Comments due: January 4, 2018 Additional Materials: Exhibit 4, Exhibit 5, Appendix Comments received are available for this proposal. |
| 34-82049 | Nov. 9, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37 |
| 34-81067 | Jun. 30, 2017 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017 Rebuttal comments due: August 11, 2017 Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37 Comments received are available for this proposal. |
| 34-80697 | May 16, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees at Rule 7004 and Chapter XV, Section 11
Comments due: June 12, 2017 Additional Materials: Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2017-022 | ||
| 34-80656 | May 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4770 to Modify the Date of Appendix B Website Data Publication Comments due: June 7, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-021 | ||
| 34-80594 | May 4, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 (Order Attributes)
Comments due: May 31, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-020 | ||
| 34-80475 | Apr. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018
Comments due: May 12, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-018 | ||
| 34-80393 | Apr. 6, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its Functionality Relating to Orders with Midpoint Pegging
Comments due: May 3, 2017 |
| SR-BX-2017-017 | ||
| 34-80224 | Mar. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018
Comments due: April 7, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-016 | ||
| 34-80228 | Mar. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Data Reporting Requirements of Rule 4770
Comments due: April 7, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-015 | ||
| 34-80161 | Mar. 6, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services
Comments due: March 31, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-014 | ||
| 34-80155 | Mar. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter X, Section 7(a) of the Exchange’s Rules Relating to Minor Rule Violation Penalties for Position Limit Violations
Comments due: March 30, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-013 | ||
| 34-80640 | May 10, 2017 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Shorten the Settlement Cycle from T+3 to T+2 |
| 34-80282 | Mar. 21, 2017 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Shorten the Settlement Cycle from T+3 to T+2
Comments due: April 17, 2017 Additional Materials: Exhibit 5, Amendment 1 |
| SR-BX-2017-011 | ||
| 34-80104 | Feb. 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VII, Section 6 of the Options Rules Relating to Market Maker Quotations
Comments due: March 23, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-010 | ||
| 34-80093 | Feb. 23, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Port-Related Fees at Rules 7015 and 7016(a) to Eliminate Prorated Billing
Comments due: March 22, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-009 | ||
| 34-80055 | Feb. 16, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the BX Options Market Port Fees and Institute a Fee Cap at Chapter XV Section 3
Comments due: March 15, 2017 Additional Materials: Exhibit 5 |
| SR-BX-2017-008 | ||
| 34-80046 | Feb. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of its Functionality Relating to Post-Only Orders and Orders with Midpoint Pegging, and its Trade-Now Functionality
Comments due: March 15, 2017 |
| SR-BX-2017-007 | ||
| 34-80256 | Mar. 15, 2017 | Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules Additional File Nos.: SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03 |
| 34-79960 | Feb. 3, 2017 | Notice of Filing of Proposed Rule Change to Adopt Rules Regarding the CAT NMS Plan
Comments due: March 2, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |