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NYSE Arca Rulemaking

We encourage the public to submit comments on the following NYSE Arca, Inc. (NYSE Arca; formerly Pacific Exchange, Inc.) 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
Second Quarter |  First Quarter

NYSE Arca File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
Second Quarter

SR-NYSEArca-2016-57
34-77748 Apr. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.61 Regarding Price Protection for Market Maker Quotes
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEArca-2016-21
34-77682 Apr. 21, 2016 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Procedures for the Allocation of Cages to Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Fee
See also: Notice: Rel. No. 34-77303

SR-NYSEArca-2016-19
34-77641 Apr. 18, 2016 Notice of Filing of Proposed Rule Change Establishing Fees Relating to End Users and Amending the Definition of “Affiliate,” as well as Amending the Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Reflect the Changes
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEArca-2016-55
34-77610 Apr. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-54
34-77588 Apr. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-28
34-77587 Apr. 12, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF under NYSE Arca Equities Rule 8.600
Comments due: 21 days after publication in the Federal Register
See also: Notice: Rel. No. 34-77183, Notice: Rel. No. 34-77571

SR-NYSEArca-2016-46
34-77576 Apr. 11, 2016 Notice of Filing of Proposed Rule Change to List and Trade Shares of AdvisorShares Cornerstone Small Cap ETF under NYSE Arca Equities Rule 8.600
Comments due: 21 days after publication in the Federal Register

SR-NYSEArca-2016-28
34-77571 Apr. 8, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade of Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF under NYSE Arca Equities Rule 8.600
See also: Notice: Rel. No. 34-77183, Notice: Rel. No. 34-77587

SR-NYSEArca-2016-14
34-77549 Apr. 7, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade of Shares of the WBI Tactical Rotation Shares under NYSE Arca Equities Rule 8.600
Comments due:  May 4, 2016

SR-NYSEArca-2016-49
34-77539 Apr. 6, 2016 Notice of Filing of Proposed Rule Change to Rule 6.64 with Respect to Opening Trading in an Options Series
Comments due:  May 3, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-11
34-77535 Apr. 6, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Section 4.01(a) of the NYSE Arca’s Bylaws and NYSE Arca Rule 3.3 to Establish a Committee for Review as a Sub-Committee of the ROC and Making Conforming Changes to NYSE Arca Rules
Comments due:  May 3, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2015-125
34-77522 Apr. 5, 2016 Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to List and Trade Shares of RiverFront Dynamic Unconstrained Income ETF and RiverFront Dynamic Core Income ETF Under NYSE Arca Equities Rule 8.600
Comments due:  May 2, 2016
See also: Notice: Rel. No. 34-77184, Notice: Rel. No. 34-76798

SR-NYSEArca-2016-53
34-77521 Apr. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Add Fees for Reserve Market Maker Options Trading Permits
Comments due:  May 2, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-51
34-77520 Apr. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.16 to Specify that Sell Short Post No Preference Orders and Sell Short PNP Blind Orders Priced At or Below the National Best Bid will be Rejected on Arrival During the Short Sale Period
Comments due:  May 2, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-15
34-77516 Apr. 5, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 6.67(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System ("EOC")
Comments due:  May 2, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-17
34-77512 Apr. 4, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the JPMorgan Diversified Alternative ETF
See also: Notice: Rel. No. 34-77179
First Quarter

SR-NYSEArca-2016-52
34-77484 Mar. 31, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 27, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-NYSEArca-2015-107
34-77463 Mar. 29, 2016 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto, to List and Trade Shares of the REX Gold Hedged S&P 500 ETF and the REX Gold Hedged FTSE Emerging Markets ETF under NYSE Arca Equities Rule 8.600
See also: Notice: Rel. No. 34-77128, Notice: Rel. No. 34-76761

SR-NYSEArca-2016-48
34-77455 Mar. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments due: April 22, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-50
34-77440 Mar. 24, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.2 to Create a Reserve Market Maker Options Trading Permit
Comments due: April 20, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-44
34-77441 Mar. 24, 2016 Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31P(h) to Add a New Discretionary Pegged Order
Comments due: April 20, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-47
34-77425 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program, Which is Currently Scheduled to Expire on March 31, 2016, until August 31, 2016
Comments due: April 19, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-08
34-77405 Mar. 18, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt NYSE Arca Equities Rule 8.900 to Permit Listing and Trading of Managed Portfolio Shares and To Permit Listing and Trading of Shares of Fifteen Issues of the Precidian ETFs Trust
See also: Notice: Rel. No. 34-77117

SR-NYSEArca-2016-25
34-77385 Mar. 17, 2016 Notice of Filing of Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchange’s Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access
Comments due:  April 12, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-42
34-77374 Mar. 15, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.33 to Conform the Exchange's Rules to Industry-Wide Standards for Recording the Capacity in which an ETP Holder Executes a Transaction
Comments due: April 11, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-39
34-77359 Mar. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule
Comments due: April 8, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-41
34-77357 Mar. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Deadline for Implementing Rule 6.61(a)(2) and (3)
Comments due: April 8, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2015-68
34-77352 Mar. 11, 2016 Notice of Withdrawal of a Proposed Rule Change Relating to Implementation of a Fee on Securities Lending and Repurchase Transactions with Respect to Shares of the CurrencyShares® Euro Trust and the CurrencyShares® Japanese Yen Trust
See also: Notice: Rel. No. 34-75698, Notice: Rel. No. 34-75945, Notice: Rel. No. 34-76472, Notice: Rel. No. 34-77126, Notice: Rel. No. 34-75698, Notice: Rel. No. 34-75945, Notice: Rel. No. 34-76472, Notice: Rel. No. 34-77126

SR-NYSEArca-2016-43
34-77349 Mar. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 7.31P(j) and 7.34P(c) to Allow Q Orders to Participate in the Early Trading Session and Late Trading Session
Comments due: April 7, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2015-93
34-77340 Mar. 10, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600
Comments due: April 6, 2016
Rebuttal comments due: 35 days after publication in the Federal Register
See also: Notice: Rel. No. 34-76955, Notice: Rel. No. 34-76590

SR-NYSEArca-2015-76
34-77337 Mar. 10, 2016 Notice of Withdrawal of a Proposed Rule Change to List and Trade Shares of the Global Currency Gold Fund under NYSE Arca Equities Rule 8.201
See also: Notice: Rel. No. 34-76630, Notice: Rel. No. 34-76291, Notice: Rel. No. 34-76291

SR-NYSEArca-2016-21
34-77303 Mar. 7, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Requirements and Fee
Comments due: April 1, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77682
Comments received are available for this proposal.

SR-NYSEArca-2016-40
34-77294 Mar. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Relating to ByRDs Transaction Fees
Comments due: March 31, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-31
34-77289 Mar. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fees for the NYSE Arca Order Imbalances Data Feed
Comments due: March 30, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-37
34-77281 Mar. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Arca Proprietary Market Data as They Apply to Federal Agency Customers
Comments due: March 29, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-32
34-77276 Mar. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Arca Options Proprietary Market Data as They Apply to Federal Agency Customers
Comments due: March 29, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-35
34-77274 Mar. 2, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments due: March 29, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-36
34-77268 Mar. 1, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7.21, Obligations of Market Maker Authorized Traders
Comments due: March 28, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-30
34-77236 Feb. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.44P Retail Liquidity Program
Comments due: March 23, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2015-110
34-77203 Feb. 22, 2016 Notice of Filing of Amendment No. 4 to, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove, a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, Amending NYSE Arca Equities Rule 8.600 to Adopt Generic Listing Standards for Managed Fund Shares
Comments due:  March 18, 2016
Rebuttal comments due:  April 1, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-76819, Notice: Rel. No. 34-76974, Notice: Rel. No. 34-76486

SR-NYSEArca-2016-34
34-77197 Feb. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31P(a)(2)(C) Relating to Repricing Events
Comments due:  March 17, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-28
34-77183 Feb. 19, 2016

Notice of Filing of Proposed Rule Change to List and Trade Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF under NYSE Arca Equities Rule 8.600
Comments due:  March 17, 2016
See also: Notice: Rel. No. 34-77571, Notice: Rel. No. 34-77587
Comments received are available for this proposal.


SR-NYSEArca-2016-17
34-77179 Feb. 19, 2016 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the JPMorgan Diversified Alternative ETF under NYSE Arca Equities Rule 8.600
Comments due:  March 17, 2016
See also: Notice: Rel. No. 34-77512
Comments received are available for this proposal.

SR-NYSEArca-2015-125
34-77184 Feb. 19, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade of Shares of RiverFront Dynamic Unconstrained Income ETF and RiverFront Dynamic Core Income ETF Under NYSE Arca Equities Rule 8.600
See also: Notice: Rel. No. 34-77522, Notice: Rel. No. 34-76798

SR-NYSEArca-2015-104
34-77170 Feb. 18, 2016 Notice of Withdrawal of a Proposed Rule Change to Adopt a New Policy Relating to Trade Reports for Exchange Traded Products
See also: Notice: Rel. No. 34-76673, Notice: Rel. No. 34-76431

SR-NYSEArca-2016-26
34-77169 Feb. 18, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Schedule of Options Fees and Charges
Comments due:  March 15, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-14
34-77160 Feb. 17, 2016 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of WBI Tactical Rotation Shares under NYSE Arca Equities Rule 8.600
Comments due:  March 15, 2016
Comments received are available for this proposal
See also: 
Notice: Rel. No. 34-34-77549

SR-NYSEArca-2016-27
34-77140 Feb. 16, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.35P to Provide for Price Collar Thresholds for Trading Halt Auctions
Comments due:  March 14, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2015-107
34-77128 Feb. 12, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, to List and Trade Shares of the REX Gold Hedged S&P 500 ETF and the REX Gold Hedged FTSE Emerging Markets ETF under NYSE Arca Equities Rule 8.600
See also: Notice: Rel. No. 34-76761, Order: Rel. No. 34-77463

SR-NYSEArca-2015-68
34-77126 Feb. 12, 2016 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Implementation of a Fee on Securities Lending and Repurchase Transactions with Respect to Shares of the CurrencyShares® Euro Trust and the CurrencyShares® Japanese Yen Trust
See also:  Notice: Rel. No. 34-77352, Notice: Rel. No. 34-76472, Notice: Rel. No. 34-75945, Notice: Rel. No. 34-75698

SR-NYSEArca-2016-18
34-77124 Feb. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments due:  March 11, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-04
34-77118 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange to Include a Means for Co-located Users to Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and the Options Fee Schedule
Comments due:  March 10, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-08
34-77117 Feb. 11, 2016 Notice of Filing of Proposed Rule Change to Adopt NYSE Arca Equities Rule 8.900 to Permit Listing and Trading of Managed Portfolio Shares and To Permit Listing and Trading of Shares of Fifteen Issues of the Precidian ETFs Trust
Comments due:  March 10, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-77405
Comments received are available for this proposal.

SR-NYSEArca-2016-29
34-77111 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Arca Options Deep Market Data Product
Comments due:  March 10, 2016

SR-NYSEArca-2015-102
34-77070 Feb. 5, 2016 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, to Provide that the Co-location Services Offered by the Exchange include Three Time Feeds and Four Partial Cabinet Bundle Options
Comments due: March 3, 2016

SR-NYSEArca-2016-24
34-77067 Feb. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule
Comments due: March 3, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-23
34-77050 Feb. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the AdvisorShares Athena High Dividend ETF's Investments in Sponsored and Unsponsored American Depositary Receipts
Comments due: March 2, 2016

SR-NYSEArca-2015-113
34-77045 Feb. 3, 2016 Order Approving a Proposed Rule Change Relating to the Index Underlying the WisdomTree Put Write Strategy Fund
See also: Notice: Rel. No. 34-76646

SR-NYSEArca-2016-16
34-77044 Feb. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Binary Return Derivatives
Comments due: March 1, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-22
34-77000 Jan. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments due: February 25, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-20
34-76981 Jan. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect Changes to the Investment Strategy for the PowerShares S&P 500® Downside Hedged Portfolio
Comments due: February 24, 2016

SR-NYSEArca-2015-121
34-76994 Jan. 28, 2016 Order Approving Proposed Rule Change to Provide for Price Collar Thresholds for Trading Halt Auctions
See also: Notice: Rel. No. 34-76690

SR-NYSEArca-2015-110
34-76974 Jan. 26, 2016 Notice of Filing of Amendment No. 2 to Proposed Rule Change Amending NYSE Arca Equities Rule 8.600 to Adopt Generic Listing Standards for Managed Fund Shares
Comments due: February 16, 2016
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-77203, Notice: Rel. No. 34-76819, Notice: Rel. No. 34-76486

SR-NYSEArca-2016-13
34-76969 Jan. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange’s Schedule of Fees and Charges to Define the Term “Exchange Traded Products” and to Provide for the Proration of Annual Fees Applicable to Exchange Traded Products That Have Liquidated
Comments due:  February 17, 2016

SR-NYSEArca-2016-10
34-76968 Jan. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Arca Order Imbalances Proprietary Market Data Product
Comments due:  February 17, 2016

SR-NYSEArca-2015-93
34-76955 Jan. 21, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel No. 34-76955A, Notice: Rel. No. 34-76590, 34-77340

SR-NYSEArca-2016-09
34-76937 Jan. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades
Comments due:  February 16, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-03
34-76914 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca Integrated Feed
Comments due:  February 11, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-01
34-76903 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE ArcaBook
Comments due:  February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2015-130
34-76890 Jan. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Market Data Fees for the NYSE Arca Options Product
Comments due: February 10, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2015-86
34-76869 Jan. 11, 2016 Order Granting Approval of Proposed Rule Change, and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 1 and 3 Thereto, Relating to Auctions for Pillar, the Exchange’s New Trading Technology Platform
Comments due: February 5, 2016
See also: Notice: Rel. No. 34-76493, Notice: Rel. No. 34-76085

SR-NYSEArca-2015-114
34-76871 Jan. 11, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Market Vectors Dynamic Put Write ETF under NYSE Arca Equities Rule 8.600
Comments due: February 5, 2016
See also: Notice: Rel. No. 34-76530

SR-NYSEArca-2015-110
34-76819 Jan. 4, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt Generic Listing Standards for Managed Fund Shares
See also: Notice: Rel. No. 34-77203, Notice: Rel. No. 34-76974, Notice: Rel. No. 34-76486


NYSE Arca File Number List for 2016

Release No. Date Details

SR-NYSEArca-2016-57
34-77748 Apr. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.61 Regarding Price Protection for Market Maker Quotes
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEArca-2016-55
34-77610 Apr. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-54
34-77588 Apr. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-53
34-77521 Apr. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Add Fees for Reserve Market Maker Options Trading Permits
Comments due:  May 2, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-52
34-77484 Mar. 31, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 27, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-NYSEArca-2016-51
34-77520 Apr. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.16 to Specify that Sell Short Post No Preference Orders and Sell Short PNP Blind Orders Priced At or Below the National Best Bid will be Rejected on Arrival During the Short Sale Period
Comments due:  May 2, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-50
34-77440 Mar. 24, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.2 to Create a Reserve Market Maker Options Trading Permit
Comments due: April 20, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-49
34-77539 Apr. 6, 2016 Notice of Filing of Proposed Rule Change to Rule 6.64 with Respect to Opening Trading in an Options Series
Comments due:  May 3, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-48
34-77455 Mar. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments due: April 22, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-47
34-77425 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program, Which is Currently Scheduled to Expire on March 31, 2016, until August 31, 2016
Comments due: April 19, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-46
34-77576 Apr. 11, 2016 Notice of Filing of Proposed Rule Change to List and Trade Shares of AdvisorShares Cornerstone Small Cap ETF under NYSE Arca Equities Rule 8.600
Comments due: 21 days after publication in the Federal Register

SR-NYSEArca-2016-44
34-77441 Mar. 24, 2016 Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31P(h) to Add a New Discretionary Pegged Order
Comments due: April 20, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-43
34-77349 Mar. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 7.31P(j) and 7.34P(c) to Allow Q Orders to Participate in the Early Trading Session and Late Trading Session
Comments due: April 7, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-42
34-77374 Mar. 15, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.33 to Conform the Exchange's Rules to Industry-Wide Standards for Recording the Capacity in which an ETP Holder Executes a Transaction
Comments due: April 11, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-41
34-77357 Mar. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Deadline for Implementing Rule 6.61(a)(2) and (3)
Comments due: April 8, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-40
34-77294 Mar. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Relating to ByRDs Transaction Fees
Comments due: March 31, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-39
34-77359 Mar. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule
Comments due: April 8, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-37
34-77281 Mar. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Arca Proprietary Market Data as They Apply to Federal Agency Customers
Comments due: March 29, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-36
34-77268 Mar. 1, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7.21, Obligations of Market Maker Authorized Traders
Comments due: March 28, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-35
34-77274 Mar. 2, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments due: March 29, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-34
34-77197 Feb. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31P(a)(2)(C) Relating to Repricing Events
Comments due:  March 17, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-32
34-77276 Mar. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Arca Options Proprietary Market Data as They Apply to Federal Agency Customers
Comments due: March 29, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-31
34-77289 Mar. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fees for the NYSE Arca Order Imbalances Data Feed
Comments due: March 30, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-30
34-77236 Feb. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.44P Retail Liquidity Program
Comments due: March 23, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-29
34-77111 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Arca Options Deep Market Data Product
Comments due:  March 10, 2016

SR-NYSEArca-2016-28
34-77587 Apr. 12, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF under NYSE Arca Equities Rule 8.600
Comments due: 21 days after publication in the Federal Register
34-77571 Apr. 8, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade of Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF under NYSE Arca Equities Rule 8.600
34-77183 Feb. 19, 2016 Notice of Filing of Proposed Rule Change to List and Trade Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF under NYSE Arca Equities Rule 8.600
Comments due:  March 17, 2016
Comments received are available for this proposal.

SR-NYSEArca-2016-27
34-77140 Feb. 16, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.35P to Provide for Price Collar Thresholds for Trading Halt Auctions
Comments due:  March 14, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-26
34-77169 Feb. 18, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Schedule of Options Fees and Charges
Comments due:  March 15, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-25
34-77385 Mar. 17, 2016 Notice of Filing of Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchange’s Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access
Comments due:  April 12, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-24
34-77067 Feb. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule
Comments due: March 3, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-23
34-77050 Feb. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the AdvisorShares Athena High Dividend ETF's Investments in Sponsored and Unsponsored American Depositary Receipts
Comments due: March 2, 2016

SR-NYSEArca-2016-22
34-77000 Jan. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments due: February 25, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-21
34-77682 Apr. 21, 2016 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Procedures for the Allocation of Cages to Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Fee
34-77303 Mar. 7, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Requirements and Fee
Comments due: April 1, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-20
34-76981 Jan. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect Changes to the Investment Strategy for the PowerShares S&P 500® Downside Hedged Portfolio
Comments due: February 24, 2016

SR-NYSEArca-2016-19
34-77641 Apr. 18, 2016 Notice of Filing of Proposed Rule Change Establishing Fees Relating to End Users and Amending the Definition of “Affiliate,” as well as Amending the Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Reflect the Changes
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEArca-2016-18
34-77124 Feb. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
Comments due:  March 11, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-17
34-77512 Apr. 4, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the JPMorgan Diversified Alternative ETF
34-77179 Feb. 19, 2016 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the JPMorgan Diversified Alternative ETF under NYSE Arca Equities Rule 8.600
Comments due:  March 17, 2016
Comments received are available for this proposal.

SR-NYSEArca-2016-16
34-77044 Feb. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Binary Return Derivatives
Comments due: March 1, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-15
34-77516 Apr. 5, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 6.67(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System ("EOC")
Comments due:  May 2, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-14
34-77549 Apr. 7, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade of Shares of the WBI Tactical Rotation Shares under NYSE Arca Equities Rule 8.600
Comments due:  May 4, 2016
34-77160 Feb. 17, 2016 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of WBI Tactical Rotation Shares under NYSE Arca Equities Rule 8.600
Comments due:  March 15, 2016
Comments received are available for this proposal.

SR-NYSEArca-2016-13
34-76969 Jan. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange’s Schedule of Fees and Charges to Define the Term “Exchange Traded Products” and to Provide for the Proration of Annual Fees Applicable to Exchange Traded Products That Have Liquidated
Comments due:  February 17, 2016

SR-NYSEArca-2016-11
34-77535 Apr. 6, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Section 4.01(a) of the NYSE Arca’s Bylaws and NYSE Arca Rule 3.3 to Establish a Committee for Review as a Sub-Committee of the ROC and Making Conforming Changes to NYSE Arca Rules
Comments due:  May 3, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-10
34-76968 Jan. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Arca Order Imbalances Proprietary Market Data Product
Comments due:  February 17, 2016

SR-NYSEArca-2016-09
34-76937 Jan. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades
Comments due:  February 16, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-08
34-77405 Mar. 18, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt NYSE Arca Equities Rule 8.900 to Permit Listing and Trading of Managed Portfolio Shares and To Permit Listing and Trading of Shares of Fifteen Issues of the Precidian ETFs Trust
34-77117 Feb. 11, 2016 Notice of Filing of Proposed Rule Change to Adopt NYSE Arca Equities Rule 8.900 to Permit Listing and Trading of Managed Portfolio Shares and To Permit Listing and Trading of Shares of Fifteen Issues of the Precidian ETFs Trust
Comments due:  March 10, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-04
34-77118 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange to Include a Means for Co-located Users to Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and the Options Fee Schedule
Comments due:  March 10, 2016
Additional Materials: Exhibit 5

SR-NYSEArca-2016-03
34-76914 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca Integrated Feed
Comments due:  February 11, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2016-01
34-76903 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE ArcaBook
Comments due:  February 11, 2016
Additional Materials: Exhibit 5

 

http://www.sec.gov/rules/sro/nysearca.shtml


Modified: 04/29/2016