Nasdaq ISE Rulemaking
Note: Effective April 3, 2017, International Securities Exchange, LLC, changed its name to Nasdaq ISE, LLC.
We encourage the public to submit comments on the following Nasdaq ISE LLC filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Third Quarter |
Second Quarter |
First Quarter
Additional Archives
2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001
Chronological List
| Release No. | Date | Details |
|---|---|---|
| Third Quarter | ||
| SR-ISE-2017-82 | ||
| 34-81610 | Sep. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Third Party Developer Fees from the Schedule of Fees
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-ISE-2017-81 | ||
| 34-81605 | Sep. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees to Increase the Priority Customer Taker Fee for Regular Orders in SPY
Comments due: October 10, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-83 | ||
| 34-81598 | Sep. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Non-Substantive, Clarifying Changes to ISE's Rulebook and Schedule of Fees
Comments due: October 10, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-80 | ||
| 34-81555 | Sep. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of SR-ISE-2017-32
Comments due: October 5, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-46 | ||
| 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. 34-80787 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-BX-2017-027, 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-ISE-2017-52 | ||
| 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. 34-80971 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-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31 |
| SR-ISE-2017-78 | ||
| 34-81434 | Aug. 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening
Comments due: September 14, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-79 | ||
| 34-81403 | Aug. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .14 of Rule 504, Entitled "Series of Options Contracts Open for Trading"
Comments due: September 11, 2017 |
| SR-ISE-2017-77 | ||
| 34-81350 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-71 | ||
| 34-81345 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE's Schedule of Fees With Respect to the Options Regulatory Fee
Comments due: September 5, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-ISE-2017-76 | ||
| 34-81322 | Aug. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-ISE-2017-32 | ||
| 34-81263 | Jul. 31, 2017 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Harmonize the Corporate Governance Framework of Nasdaq ISE, LLC with that of The NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc.
Comments due: August 25, 2017 See also: Notice: Rel. No. 34-80923, Notice: Rel. No. 34-80530 |
| SR-ISE-2017-73 | ||
| 34-81213 | Jul. 26, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees
Comments due: August 22, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-75 | ||
| 34-81212 | Jul. 26, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date in Rule 723(b)
Comments due: August 22, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-52 | ||
| 34-81181 | Jul. 20, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 912
See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-80971 |
| SR-ISE-2017-46 | ||
| 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. 34-80787, Notice: Rel. No. 34-81499 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-BX-2017-027; 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-ISE-2017-67 | ||
| 34-81148 | Jul. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-Letter Rulebook Definition
Comments due: August 10, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-69 | ||
| 34-81144 | Jul. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees in Connection with the ISE System Migration
Comments due: August 10, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-66 | ||
| 34-81128 | Jul. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Fees and Rebates for Trades Executed on June 30, 2017 in INET Launch Symbols
Comments due: August 8, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-65 | ||
| 34-81108 | Jul. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Priority Customer Taker Fees for Regular Orders in Select Symbols
Comments due: August 4, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-63 | ||
| 34-81106 | Jul. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Fees and Rebates for Trades in KANG Executed on June 27 - 30, 2017
Comments due: August 4, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-62 | ||
| 34-81095 | Jul. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Ports and Gateways that Members Use to Connect to the Exchange
Comments due: August 3, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-72 | ||
| 34-81094 | 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-ISE-2017-45 | ||
| 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. 34-80715 Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; 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-ISE-2017-58 | ||
| 34-81034 | Jun. 27, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify an Exception to the Manner In Which Market Maker Immediate-or-Cancel Orders Will Be Handled
Comments due: July 24, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-54 | ||
| 34-81024 | Jun. 26, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Non-Priority Customer License Surcharge
Comments due: July 21, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-59 | ||
| 34-80999 | Jun. 22, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section III of the Schedule of Fees
Comments due: July 19, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-52 | ||
| 34-80971 | Jun. 19, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 912
Comments due: July 14, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-81181 Comments received are available for this proposal. |
| SR-ISE-2017-42 | ||
| 34-80944 | Jun. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quotations
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-32 | ||
| 34-80923 | Jun. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Harmonize the Corporate Governance Framework with that of The NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc.
See also: Notice: Rel. No. 34-81263, Notice: Rel. No. 34-80530 |
| SR-ISE-2017-49 | ||
| 34-80922 | Jun. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees to (1) Reduce the Priority Customer Taker Fee for Regular Orders in SPY to $0.35 Per Contract, and (2) Lower the Threshold of Net Zero Complex Contracts
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-51 | ||
| 34-80873 | Jun. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Chapter 21 from the ISE Rulebook
Comments due: July 5, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-48 | ||
| 34-80827 | May 31, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program to Quote and to Trade Certain Options Classes in Penny Increments
Comments due: June 27, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-46 | ||
| 34-80787 | May 26, 2017 | Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 22, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-81145 Comments received are available for this proposal. |
| SR-ISE-2017-41 | ||
| 34-80751 | May 23, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Opening Process
Comments due: June 20, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-47 | ||
| 34-80744 | May 23, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Decrease Member Order Routing Program Rebates
Comments due: June 20, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-44 | ||
| 34-80718 | May 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Suspend the Implementation of QCC with Stock Order Functionality Upon Migration to INET
Comments due: June 14, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-45 | ||
| 34-80715 | May 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Section X of the ISE Fee Schedule
Comments due: June 14, 2017 Additional Materials: Exhibit 3, Exhibit 5 See also: Order: Rel. No. 34-81067 Comments received are available for this proposal. |
| SR-ISE-2017-39 | ||
| 34-80684 | May 16, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Modify Fees and Rebates for PIM Orders
Comments due: June 12, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-35 | ||
| 34-80637 | May 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Schedule of Fees to Amend Pricing Related to Options Overlying NDX and MNX
Comments due: June 6, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-37 | ||
| 34-80613 | May 5, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Quoting
Comments due: June 1, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-34 | ||
| 34-80569 | May 1, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation
Comments due: May 26, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-32 | ||
| 34-80530 | Apr. 26, 2017 | Notice of Filing of Proposed Rule Change to Harmonize the Corporate Governance Framework with that of The NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc.
Comments due: May 23, 2017 Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e See also: Notice: Rel. No. 34-81263, Notice: Rel. No. 34-80923 Comments received are available for this proposal. |
| SR-ISE-2017-33 | ||
| 34-80525 | Apr. 25, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of Simultaneous Complex Order Auctions
Comments due: May 22, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-31 | ||
| 34-80438 | Apr. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .03 to Rule 713 to Change the Allocation Entitlement for Preferred PMMs.
Comments due: May 9, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-03 | ||
| 34-80432 | Apr. 11, 2017 | Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Amend Various Rules in Connection with a System Migration to Nasdaq INET Technology
See also: Notice: Rel. No. 34-80075 |
| SR-ISE-2017-30 | ||
| 34-80429 | Apr. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obvious Errors
Comments due: May 8, 2017 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-ISE-2017-25 | ||
| 34-80325 | Mar. 29, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rename the Exchange as Nasdaq ISE, LLC
Comments due: April 25, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-28 | ||
| 34-80316 | Mar. 27, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of Functionality Associated with Stock-Option Orders
Comments due: April 21, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-27 | ||
| 34-80274 | Mar. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to "Tick-Worse" Functionality
Comments due: April 13, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-24 | ||
| 34-80267 | Mar. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Modify the Member Order Routing Program
Comments due: April 13, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-08 | ||
| 34-80256 | Mar. 15, 2017 | Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
See also: Notice: Rel. No. 34-79967 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-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, 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-ISE-2017-23 | ||
| 34-80249 | Mar. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Schedule of Fees
Comments due: April 11, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-22 | ||
| 34-80219 | Mar. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule to Change the Definition of Net Zero Complex Order
Comments due: April 7, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-02 | ||
| 34-80225 | Mar. 13, 2017 | Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Exchange Opening Process
See also: Notice: Rel. No. 34-79887 |
| SR-ISE-2017-18 | ||
| 34-80212 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Liability Caps and Related Reimbursement Requirements
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-20 | ||
| 34-80194 | Mar. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error in Section 413 of the Exchange's Rules
Comments due: April 5, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-16 | ||
| 34-80188 | Mar. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: April 5, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-17 | ||
| 34-80185 | Mar. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Qualified Contingent Cross and Solicitation Rebate Tiers
Comments due: April 5, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-15 | ||
| 34-80100 | Feb. 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Directed Orders
Comments due: March 22, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-12 | ||
| 34-80090 | Feb. 22, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 715 and Rule 721
Comments due: March 21, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-10 | ||
| 34-80080 | Feb. 22, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: March 20, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-03 | ||
| 34-80075 | Feb. 21, 2017 | Notice of Filing of Proposed Rule Change to Amend Various Rules in Connection with a System Migration to Nasdaq INET Technology
Comments due: March 20, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-80432 Comments received are available for this proposal. |
| SR-ISE-2016-31 | ||
| 34-80009 | Feb. 10, 2017 | Order Approving Proposed Rule Change to Amend the Supplementary Material to ISE Rule 1901
See also: Notice: Rel. No. 34-79686 |
| SR-ISE-2016-27 | ||
| 34-79994 | Feb. 9, 2017 | Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the Exchange's Rules Regarding Routing of Orders, Cancellation of Orders, and Handling of Error Positions, and Permit Nasdaq Execution Services, LLC to become an Affiliated Member of the Exchange to Perform Certain Routing and Other Functions
See also: Notice: Rel. No. 34-79665 |
| SR-ISE-2017-08 | ||
| 34-79967 | Feb. 3, 2017 | Notice of Filing of Proposed Rule Change to Adopt Chapter 9
Comments due: March 2, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-80256 Comments received are available for this proposal. |
| SR-ISE-2017-02 | ||
| 34-79887 | Jan. 27, 2017 | Notice of Filing of Proposed Rule Change to Amend the Opening Process
Comments due: February 23, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-80225 Comments received are available for this proposal. |
| SR-ISE-2016-29 | ||
| 34-79829 | Jan. 18, 2017 | Order Granting Approval of Proposed Rule Change to Amend ISE Rule 723 and to Make Pilot Program Permanent
See also: Notice: Rel. No. 34-79530 |
| SR-ISE-2017-01 | ||
| 34-79811 | Jan. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: February 14, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2016-26 | ||
| 34-79733 | Jan. 4, 2017 | Order Approving a Proposed Rule Change to Modify the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism, and Price Improvement Mechanism
See also: Notice: Rel. No. 34-79352 |
| SR-ISE-2016-32 | ||
| 34-79721 | Jan. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules to Extend a Pilot Program
Comments due: January 30, 2017 Additional Materials: Exhibit 5 |
ISE File Number List for 2017
| Release No. | Date | Details |
|---|---|---|
| SR-ISE-2017-83 | ||
| 34-81598 | Sep. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Non-Substantive, Clarifying Changes to ISE's Rulebook and Schedule of Fees
Comments due: October 10, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-82 | ||
| 34-81610 | Sep. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Third Party Developer Fees from the Schedule of Fees
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-ISE-2017-81 | ||
| 34-81605 | Sep. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees to Increase the Priority Customer Taker Fee for Regular Orders in SPY
Comments due: October 10, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-80 | ||
| 34-81555 | Sep. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of SR-ISE-2017-32
Comments due: October 5, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-79 | ||
| 34-81403 | Aug. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .14 of Rule 504, Entitled "Series of Options Contracts Open for Trading"
Comments due: September 11, 2017 |
| SR-ISE-2017-78 | ||
| 34-81434 | Aug. 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening
Comments due: September 14, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-77 | ||
| 34-81350 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-76 | ||
| 34-81322 | Aug. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-ISE-2017-75 | ||
| 34-81212 | Jul. 26, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date in Rule 723(b)
Comments due: August 22, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-73 | ||
| 34-81213 | Jul. 26, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees
Comments due: August 22, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-72 | ||
| 34-81094 | 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-ISE-2017-71 | ||
| 34-81345 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE's Schedule of Fees With Respect to the Options Regulatory Fee
Comments due: September 5, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-ISE-2017-69 | ||
| 34-81144 | Jul. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees in Connection with the ISE System Migration
Comments due: August 10, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-67 | ||
| 34-81148 | Jul. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-Letter Rulebook Definition
Comments due: August 10, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-66 | ||
| 34-81128 | Jul. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Fees and Rebates for Trades Executed on June 30, 2017 in INET Launch Symbols
Comments due: August 8, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-65 | ||
| 34-81108 | Jul. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Priority Customer Taker Fees for Regular Orders in Select Symbols
Comments due: August 4, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-63 | ||
| 34-81106 | Jul. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Fees and Rebates for Trades in KANG Executed on June 27 - 30, 2017
Comments due: August 4, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-62 | ||
| 34-81095 | Jul. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Ports and Gateways that Members Use to Connect to the Exchange
Comments due: August 3, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-59 | ||
| 34-80999 | Jun. 22, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section III of the Schedule of Fees
Comments due: July 19, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-58 | ||
| 34-81034 | Jun. 27, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify an Exception to the Manner In Which Market Maker Immediate-or-Cancel Orders Will Be Handled
Comments due: July 24, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-54 | ||
| 34-81024 | Jun. 26, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Non-Priority Customer License Surcharge
Comments due: July 21, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-52 | ||
| 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. 34-80971 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-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31 |
| 34-81181 | Jul. 20, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 912 |
| 34-80971 | Jun. 19, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 912
Comments due: July 14, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-ISE-2017-51 | ||
| 34-80873 | Jun. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Chapter 21 from the ISE Rulebook
Comments due: July 5, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-49 | ||
| 34-80922 | Jun. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees to (1) Reduce the Priority Customer Taker Fee for Regular Orders in SPY to $0.35 Per Contract, and (2) Lower the Threshold of Net Zero Complex Contracts
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-48 | ||
| 34-80827 | May 31, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program to Quote and to Trade Certain Options Classes in Penny Increments
Comments due: June 27, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-47 | ||
| 34-80744 | May 23, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Decrease Member Order Routing Program Rebates
Comments due: June 20, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-46 | ||
| 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-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, 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-BX-2017-027; SR-PHLX-2017-43; SR-NYSE- 2017-23; SR-NYSEArca-2017-57; SR-NYSEArca-2017-59; SR-NYSEMKT-2017-29; SR-NYSEMKT-2017-30 |
| 34-80787 | May 26, 2017 | Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 22, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-ISE-2017-45 | ||
| 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-BX-2017-023; 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. |
| 34-80715 | May 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Section X of the ISE Fee Schedule
Comments due: June 14, 2017 Additional Materials: Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-ISE-2017-44 | ||
| 34-80718 | May 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Suspend the Implementation of QCC with Stock Order Functionality Upon Migration to INET
Comments due: June 14, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-42 | ||
| 34-80944 | Jun. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quotations
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-41 | ||
| 34-80751 | May 23, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Opening Process
Comments due: June 20, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-39 | ||
| 34-80684 | May 16, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Modify Fees and Rebates for PIM Orders
Comments due: June 12, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-37 | ||
| 34-80613 | May 5, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Quoting
Comments due: June 1, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-35 | ||
| 34-80637 | May 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Schedule of Fees to Amend Pricing Related to Options Overlying NDX and MNX
Comments due: June 6, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-34 | ||
| 34-80569 | May 1, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation
Comments due: May 26, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-33 | ||
| 34-80525 | Apr. 25, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of Simultaneous Complex Order Auctions
Comments due: May 22, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-32 | ||
| 34-81263 | Jul. 31, 2017 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Harmonize the Corporate Governance Framework of Nasdaq ISE, LLC with that of The NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc.
Comments due: August 25, 2017 |
| 34-80923 | Jun. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Harmonize the Corporate Governance Framework with that of The NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc. |
| 34-80530 | Apr. 26, 2017 | Notice of Filing of Proposed Rule Change to Harmonize the Corporate Governance Framework with that of The NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc.
Comments due: May 23, 2017 Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e Comments received are available for this proposal. |
| SR-ISE-2017-31 | ||
| 34-80438 | Apr. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .03 to Rule 713 to Change the Allocation Entitlement for Preferred PMMs.
Comments due: May 9, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-30 | ||
| 34-80429 | Apr. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obvious Errors
Comments due: May 8, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-28 | ||
| 34-80316 | Mar. 27, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of Functionality Associated with Stock-Option Orders
Comments due: April 21, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-27 | ||
| 34-80274 | Mar. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to "Tick-Worse" Functionality
Comments due: April 13, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-25 | ||
| 34-80325 | Mar. 29, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rename the Exchange as Nasdaq ISE, LLC
Comments due: April 25, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-24 | ||
| 34-80267 | Mar. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Modify the Member Order Routing Program
Comments due: April 13, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-23 | ||
| 34-80249 | Mar. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Schedule of Fees
Comments due: April 11, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-22 | ||
| 34-80219 | Mar. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule to Change the Definition of Net Zero Complex Order
Comments due: April 7, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-20 | ||
| 34-80194 | Mar. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error in Section 413 of the Exchange's Rules
Comments due: April 5, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-18 | ||
| 34-80212 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Liability Caps and Related Reimbursement Requirements
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-17 | ||
| 34-80185 | Mar. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Qualified Contingent Cross and Solicitation Rebate Tiers
Comments due: April 5, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-16 | ||
| 34-80188 | Mar. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: April 5, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-15 | ||
| 34-80100 | Feb. 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Directed Orders
Comments due: March 22, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-12 | ||
| 34-80090 | Feb. 22, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 715 and Rule 721
Comments due: March 21, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-10 | ||
| 34-80080 | Feb. 22, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: March 20, 2017 Additional Materials: Exhibit 5 |
| SR-ISE-2017-08 | ||
| 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-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03 |
| 34-79967 | Feb. 3, 2017 | Notice of Filing of Proposed Rule Change to Adopt Chapter 9
Comments due: March 2, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-ISE-2017-03 | ||
| 34-80432 | Apr. 11, 2017 | Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Amend Various Rules in Connection with a System Migration to Nasdaq INET Technology |
| 34-80075 | Feb. 21, 2017 | Notice of Filing of Proposed Rule Change to Amend Various Rules in Connection with a System Migration to Nasdaq INET Technology
Comments due: March 20, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-ISE-2017-02 | ||
| 34-80225 | Mar. 13, 2017 | Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Exchange Opening Process |
| 34-79887 | Jan. 27, 2017 | Notice of Filing of Proposed Rule Change to Amend the Opening Process
Comments due: February 23, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-ISE-2017-01 | ||
| 34-79811 | Jan. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: February 14, 2017 Additional Materials: Exhibit 5 |